J01   1 <#FROWN:J01\><h_><p_>Cosmology, Clustering and Superclustering<p/>
J01   2 <p_>William C. Saslaw<p/><h/>
J01   3 <p_>On large scales, the probability that galaxies occupy a given 
J01   4 size volume of space is not random, like the toss of a coin, but is 
J01   5 related to the presence of nearby galaxies. Positions of galaxies 
J01   6 depend on one another. Details of this dependence may provide 
J01   7 important clues to the origin and evolution of the universe. Modern 
J01   8 systematic searches for these clues started in the 1930s with Edwin 
J01   9 P. Hubble's galaxy counts, accelerated in the 1950s with the 
J01  10 development of new statistical techniques, and surged in the 1970s 
J01  11 and 1980s as computers became powerful enough to handle large 
J01  12 amounts of data and calculate complex simulations of clustering 
J01  13 physics.<p/>
J01  14 <p_>There are two main descriptions of galaxy clustering. The first 
J01  15 is essentially pictorial, derived by searching the sky for 
J01  16 filaments, voids, and overdense regions. Galaxies in projected 
J01  17 high-density regions having similar redshift distances are likely 
J01  18 to form a physically related cluster. If such a cluster has been 
J01  19 bound gravitationally for a large fraction of the present Hubble 
J01  20 time, it evolves fairly independently of its surrounding galaxies. 
J01  21 Occasionally several contiguous large clusters form a supercluster. 
J01  22 This may result partly from the initial positioning of clusters and 
J01  23 partly from their subsequent motions.<p/>
J01  24 <p_>Most galaxies are not in large physically bound clusters. They 
J01  25 are, however, clustered in a more general statistical sense. Rather 
J01  26 than examining individual clusters, this second description looks 
J01  27 for statistical departures from a Poisson distribution (which is 
J01  28 the uniform random spatial distribution of objects whose positions 
J01  29 are entirely independent of one another, i.e., totally 
J01  30 uncorrelated). In a Poisson distribution there will be some regions 
J01  31 where galaxies are strongly clustered just by chance, and other 
J01  32 regions which are unusually empty, also by chance. The observed 
J01  33 numbers and statistics of such regions may then be compared with 
J01  34 those expected from various theories.<p/>
J01  35 <h_><p_>STATISTICAL MEASURES OF CLUSTERING<p/><h/>
J01  36 <p_>The most useful and informative statistics can be measured 
J01  37 objectively from observations and related analytically to physical 
J01  38 processes of clustering and computer experiments. Low-order 
J01  39 correlation functions are one example. The two-point correlation 
J01  40 function <tf|><*_>xi<*/>(r) in its simplest form for a homogeneous 
J01  41 isotropic system is defined by<p/>
J01  42 <p_><O_>formula<O/><p/>
J01  43 <p_>Here <tf|>n(r)dr is the average number of galaxies between 
J01  44 radial distance <tf|>r and <tf|>r+dr from any given galaxy. The 
J01  45 overall average number density of galaxies in the entire system, or 
J01  46 over a very large volume of the universe, is <*_>unch<*/>. For a 
J01  47 random Poisson distribution, <*_>xi<*/>(<tf|>r)=0; so <tf|>n(r) is 
J01  48 determined just by <*_>unch<*/> and geometry. Therefore 
J01  49 <tf|><*_>xi<*/>(r) helps measure departures from the Poisson state. 
J01  50 Higher-order correlation functions use the relative positions of 
J01  51 three or more galaxies for a more refined description that, 
J01  52 unfortunately, is harder to measure observationally. The first 
J01  53 accurate observations of <tf|><*_>xi<*/>(r) for galaxies, made by 
J01  54 H. Totsuji and T. Kihara in 1969, gave a power law of the form 
J01  55 <O_>formula<O/> on scales <O_>formula<O/> (for a Hubble constant of 
J01  56 50 km s<sp_>-1<sp/> Mpc<sp_>-1<sp/>). Large clusters of galaxies 
J01  57 are observed to have a similar two-point correlation function if 
J01  58 each cluster is represented by a single point, but this result is 
J01  59 much more uncertain. On small scales <tf|><*_>xi<*/>(r)>>1, so the 
J01  60 observed clustering is highly nonlinear; that is, correlations 
J01  61 dominate for <tf|>r <*_>unch<*/>10 Mpc.<p/>
J01  62 <p_>Another observed simple objective clustering statistic is the 
J01  63 distribution function <tf|>f(N). This is the probability for 
J01  64 finding <tf|>N galaxies in a volume of size <tf|>V, or projected 
J01  65 onto the sky in an area of size <tf|>A. If the distribution is 
J01  66 statistically homogeneous then it will not depend significantly on 
J01  67 the shape of the volumes or areas, provided they are sufficiently 
J01  68 large and numerous to give a fair average sample. Recent analyses 
J01  69 of the area counts of galaxies show that they have a distribution 
J01  70 of the form<p/>
J01  71 <p_><O_>formula<O/><p/>
J01  72 <p_>where <*_>unch<*/>=<*_>unch<*/>V is the average number in a 
J01  73 volume <tf|>V for an average number density <*_>unch<*/>. The 
J01  74 quantity <tf|>b is a measure of clustering and is related to 
J01  75 gravitational correlations. The observed value of <tf|>b is 
J01  76 0.70<*_>unch<*/>0.05 for galaxies whose separations are typically 
J01  77 1-10 Mpc. For large clusters with separations of 
J01  78 <*_>approximate-sign<*/>10-50 Mpc, <tf|>b=0.3<*_>unch<*/>0.1. For a 
J01  79 sample of faint radio sources with separations <*_>unch<*/>50 Mpc, 
J01  80 <tf|>b=0.0, which is a random Poisson distribution. The <tf|>f(N) 
J01  81 distribution for <tf|>N=0 gives the probability that a region is a 
J01  82 void with no galaxies at all.<p/>
J01  83 <p_>Other statistics applied to galaxy clustering include minimal 
J01  84 spanning trees (the shortest line connecting all the galaxies in a 
J01  85 sample), topological patterns formed by contour maps of regions 
J01  86 with the same density, and multifractal analyses (a single fractal 
J01  87 dimension does not adequately describe galaxy clustering), which 
J01  88 are related to how the average number density of galaxies around a 
J01  89 given galaxy changes with distance from the galaxy. These other 
J01  90 statistics also yield valuable information. Unlike 
J01  91 <tf|><*_>xi<*/>(r) and <tf|>f(N), however, they have not yet been 
J01  92 related generally to an underlying dynamical theory. Some 
J01  93 specialized computer experiments have examined their behavior.<p/>
J01  94 <h_><p_>THEORIES OF CLUSTERING<p/><h/>
J01  95 <p_>To understand the observed statistics we need to know the 
J01  96 initial conditions for clustering as well as a physical theory for 
J01  97 its subsequent evolution. Initial conditions may indicate 
J01  98 properties of the early universe before galaxies formed and perhaps 
J01  99 even close to the Big Bang. Some possibilities are that galaxy 
J01 100 clustering started from a random Poisson distribution, or from a 
J01 101 state with local clustering or from large-scale coherent 
J01 102 structures. No clear observational evidence for any particular 
J01 103 initial state has been found. On small scales the clustering 
J01 104 processes themselves tend to destroy this evidence, while on large 
J01 105 scales it is difficult to detect.<p/>
J01 106 <p_>Different types and distributions of dark matter may also be 
J01 107 important for forming galaxies and clusters. For example, massive 
J01 108 neutrinos, other weakly interacting massive particles, cosmic 
J01 109 strings, quark nuggets, or other currently speculative objects of 
J01 110 various high-energy theories may influence galaxy clustering if 
J01 111 they exist in sufficient quantity.<p/>
J01 112 <p_>All known forms of matter gravitate and gravitation promotes 
J01 113 clustering. Therefore, astronomers have developed analytical 
J01 114 theories and examined many computer simulations to describe the 
J01 115 gravitational clustering of galaxies. Results for different models 
J01 116 are then compared with <tf|><*_>xi <*/>(r) and <tf|>f(N). The 
J01 117 models generally differ in their initial conditions, the role of 
J01 118 dark matter, and the time available for clustering.<p/>
J01 119 <p_>Computer simulations calculate the gravitational orbits of many 
J01 120 thousands of particles, each one representing a galaxy, in the 
J01 121 background of the expanding universe and any dark matter present. 
J01 122 The orbits are found either by integrating the thousands of 
J01 123 equations of motion - each with thousands of terms - directly, or 
J01 124 by averaging the gravitational forces in different ways to simplify 
J01 125 the problem. Averaging sacrifices detailed information in order to 
J01 126 include a larger number of galaxies.<p/>
J01 127 <p_>Computer models which start with strong structure on scales of 
J01 128 tens of megaparsecs frequently do not agree with the observed 
J01 129 correlation and distribution functions. Those that do, often agree 
J01 130 only for a short span of their evolution. On the other hand, models 
J01 131 with fairly homogeneous initial distributions, such as an 
J01 132 uncorrelated Poisson state, evolve gravitationally to agree 
J01 133 reasonably well with the observations and remain in agreement as 
J01 134 they continue to evolve. In other words, they relax into the 
J01 135 observed state and remain there rather than just pass through it. 
J01 136 This may make them more aesthetically pleasing, although it does 
J01 137 not guarantee they are correct. For example, some models in which 
J01 138 galaxies have formed and clustered very recently may conflict with 
J01 139 the uniformity of the cosmic microwave background.<p/>
J01 140 <p_><O_>figure&caption<O/><p/>
J01 141 <p_>Gravitational theory predicted the observed form of <tf|>f(N) 
J01 142 given earlier for relaxed statistically homogeneous clustering of 
J01 143 point masses in a slowly expanding universe. The value of <tf|>b is 
J01 144 essentially the ratio of gravitational correlation energy 
J01 145 (representing departures from a uniform Poisson distribution) to 
J01 146 the kinetic energy of galaxies' peculiar velocities (representing 
J01 147 departures from the Hubble flow). Computer experiments such as the 
J01 148 example in Fig. 1 show that this relaxed state is a very good 
J01 149 description for universes which start with no or little large-scale 
J01 150 correlation, have <O_>formula<O/>, and have expanded by more than 
J01 151 several times their initial radius. As differences with these 
J01 152 conditions become greater, agreement with the observed <tf|>f(N) 
J01 153 decreases. These conditions also lead to two-point correlation 
J01 154 functions in reasonable agreement with the observations provided, 
J01 155 for example, that clustering started at redshift 
J01 156 <tf|>z<*_>approximate-sign<*/>8 in <*_>OMEGA<*/><sb_>0<sb/>=1 
J01 157 models and <tf|>z<*_>approximate-sign<*/>30 in 
J01 158 <*_>OMEGA<*/><sb_>0<sb/>=0.1 models. Therefore, gravitational 
J01 159 clustering starting from fairly simple initial conditions seems 
J01 160 likely to account for the objective statistical evidence now 
J01 161 available. These include large underdense regions and filamentary 
J01 162 structures, some of which could have formed just by chance 
J01 163 concentration of independently clustering regions or their 
J01 164 boundaries. When more subtle statistics are developed further and 
J01 165 related to dynamical evolution, perhaps they will reveal clear 
J01 166 evidence for other processes such as primordial explosions, or 
J01 167 large-scale initial structures.<p/>
J01 168 <h_><p_>Cosmology, Cosmic Strings<p/>
J01 169 <p_>Neil Turok<p/><h/>
J01 170 <p_>One of the most active areas of current research in physics and 
J01 171 astronomy is the search for a theory of the formation of structure 
J01 172 in the universe.<p/>
J01 173 <p_>Historically, this is a result of the success of two different 
J01 174 theories and the attempt to combine them. In astronomy, the Hot Big 
J01 175 Bang model of the universe has three big successes. It successfully 
J01 176 explains the expansion of the universe, the relic microwave 
J01 177 background radiation, and the abundances of the light elements 
J01 178 today. The weakness of the standard Hot Big Bang model is that it 
J01 179 says nothing about how structure in the universe (galaxies and 
J01 180 cluster of galaxies) could have originated.<p/>
J01 181 <p_>In high-energy physics, the idea that the underlying theory of 
J01 182 particles and their interactions has a high degree of symmetry 
J01 183 which is broken at low energies forms the basis of the 
J01 184 Weinberg-Salam model of the electroweak interactions. Over the last 
J01 185 decade many predictions of this model have been confirmed, the 
J01 186 discovery of the <tf|>W and <tf|>Z particles being the most 
J01 187 dramatic. Based on the idea of symmetry breaking, theories which 
J01 188 unify all the forces except gravity (grand unified theories), and 
J01 189 theories including gravity (superstring theories) have been 
J01 190 developed. Unfortunately, at present there are many different 
J01 191 theories, and few ways of testing them.<p/>
J01 192 <p_>One idea, which emerged from particle physics in the early 
J01 193 1980s, was that the same process which broke the symmetry between 
J01 194 the particles and forces might break the spatial symmetry of the 
J01 195 universe, producing the structure we see today. This is physically 
J01 196 a very reasonable idea. In fact, similar processes happen in 
J01 197 everyday substances. Most liquids are quite homogeneous and 
J01 198 isotropic, which is not surprising, because there is nothing in the 
J01 199 description of atoms and their interactions that singles out a 
J01 200 particular direction or place in space as different from any other. 
J01 201 Cool the liquid, however, and it freezes. The crystal structure of 
J01 202 the solid picks a particular direction; but in different regions 
J01 203 different directions are chosen. The result is that (unless the 
J01 204 process happens very slowly) the solid is formed full of defects 
J01 205 where there is a mismatch between neighboring crystalline 
J01 206 regions.<p/>
J01 207 <p_><O_>figure&caption<O/><p/>
J01 208 <p_>Cosmic strings are very similar to these defects. They are 
J01 209 predicted to occur by some grand unified theories and superstring 
J01 210 theories. In the very early universe, at high temperature the 
J01 211 fields in these theories are random, just as the atoms of a liquid. 
J01 212 The density is quite uniform. As the universe cools below a certain 
J01 213 temperature, some of the fields 'freeze.' As they do so, defects 
J01 214 are formed, just as in solids.<p/>
J01 215 <p_>In different theories, the defects may be at points, along 
J01 216 lines, or in sheets. Cosmic strings are the linelike defects: They 
J01 217 have special properties which make them well suited to forming 
J01 218 structure later in the universe. For topological reasons they 
J01 219 cannot have ends; they must form closed loops or continue on 
J01 220 forever. The only way to change the length of a string is if it 
J01 221 crosses itself and reconnects the other way (Fig. 1), chopping off 
J01 222 a loop. This means that if one starts with some strings which 
J01 223 wander right across the universe, there is no way to get rid of 
J01 224 them completely. At best one can progressively chop more and more 
J01 225 of the long string off into loops, and the loops can then radiate 
J01 226 away (see Fig. 1). Thus some of the strings formed at very early 
J01 227 times (around 10<sp_>-34<sp/> s after the Big Bang in most models 
J01 228 predicting strings) survive right up to today.<p/>
J01 229 
J02   1 <#FROWN:J02\> We have attempted to make these bibliographies as 
J02   2 complete and comprehensive as possible. The intensity and 
J02   3 broadening compilations cover the published literature form 
J02   4 November 1983 through June 1990, and they include several earlier 
J02   5 references overlooked in the previous compilations. The 
J02   6 pressure-induced line shift compilation includes all references 
J02   7 published through June 1990 that were available to us. We have also 
J02   8 added a number of more recent references as they came to our 
J02   9 attention in the course of preparing the present bibliography.<p/>
J02  10 <h_><p_>II. INTENSITIES<p/><h/>
J02  11 <p_>Detailed discussions of intensity parameters, units, and 
J02  12 measurement techniques have been given in Refs. [1-2] and will not 
J02  13 be repeated here. However, in order to properly interpret the 
J02  14 values given in Tables II and III and in the individual references, 
J02  15 we must discuss the difference between the vibrational band 
J02  16 intensity, S<sb_><*_>nu<*/><sb/>, and the integrated band intensity 
J02  17 S<sb_>Band<sb/>. S<sb_><*_>nu<*/><sb/> is related to the squared 
J02  18 vibrational transition moment by<p/>
J02  19 <p_><O_>formula<O/><p/>
J02  20 <p_>where <tf|>h is Planck's constant, <tf|>c is the speed of 
J02  21 light, <*_>nu<*/><sb_>0<sb/> is the wavenumber of the band center, 
J02  22 <tf|>N is the total number of molecules of the absorbing gas per 
J02  23 cubic centimeter per atmosphere, <tf|>Q<sb_><*_>nu<*/><sb/> is the 
J02  24 vibrational partition function, and <O_>formula<O/> is the 
J02  25 vibrational transition moment. <tf|>S<sb_>Band<sb/> is defined as 
J02  26 the summation of individual line intensities 
J02  27 <tf|>S<sp_>B<sp/><sb_>A<sb/> for all possible rotational 
J02  28 transitions within the vibrational band; that is,<p/>
J02  29 <p_><O_>formula<O/><p/>
J02  30 <p_>where <tf|>R<sp_>B<sp/><sb_>A<sb/> is the rotational factor, 
J02  31 given by<p/>
J02  32 <p_><O_>formula<O/><p/>
J02  33 <p_>where <tf|>S'<sb_>AB<sb/> is the dimensionless quantity called 
J02  34 the <tf_>line strength<tf/> by Herzberg [3], <tf|>E<sb_>A<sb/> is 
J02  35 the energy of the lower state <tf|>A, <tf|>k is Boltzmann's 
J02  36 constant, <tf|>T is the gas temperature in degrees Kelvin, 
J02  37 <tf|><*_>nu<*/><sb_>AB<sb/> is the wavenumber of the transition 
J02  38 from lower state <tf|>A to upper state <tf|>B, and 
J02  39 <tf|>Q<sb_>r<sb/> is the rotational partition function. In Eqs. 
J02  40 (1-3) we are using the approximation <O_>formula<O/>, where <tf|>Q 
J02  41 is the total internal partition sum; this approximation is valid 
J02  42 except at very high temperatures.<p/>
J02  43 <p_>The <tf|>F-factor in Eq. (2) accounts for the effects of 
J02  44 centrifugal distortion, Fermi- and Coriolis-type interactions, and 
J02  45 other perturbations. For a rigid rotor, the <tf|>F-factor would be 
J02  46 1, and <tf|>S<sb_><*_>nu<*/><sb/> and <tf|>S<sb_>Band<sb/> would be 
J02  47 equal (assuming all possible rotational transitions are included in 
J02  48 the summation). However, if the <tf|>F-factor is significantly 
J02  49 different from 1 for most of the rotational transitions, as the 
J02  50 case for many CO<sb_>2<sb/> bands, <tf|>S<sb_>Band<sb/> is usually 
J02  51 larger than <tf|>S<sb_><*_>nu<*/><sb/>. <tf|>S<sb_>Band <sb/> 
J02  52 values determined from the summation of individual line-intensity 
J02  53 measurements using high-resolution techniques are more appropriate 
J02  54 for comparison to low-resolution band intensity measurements (e.g., 
J02  55 [4]). Therefore, where a given reference reports both 
J02  56 S<sb_><*_>nu<*/><sb/> and <tf|>S<sb_>Band<sb/> values, (e.g., [5]) 
J02  57 we have chosen to include only the <tf|>S<sb_>Band<sb/> values in 
J02  58 Table 2. Unless the reported intensity is designated as 
J02  59 S<sb_><*_>nu<*/><sb/> or <tf|>S<sb_>Band<sb/> in the footnotes to 
J02  60 the table, the reader should obtain more detailed information from 
J02  61 the original reference.<p/>
J02  62 <p_>Table I gives the various units in which band intensities have 
J02  63 been reported in our literature survey, along with the 
J02  64 multiplicative factors used to convert these units to our standard 
J02  65 units (cm<sp_>-2<sp/> atm<sp_>-1<sp/> at 300K) for comparison 
J02  66 purposes. However, because these multiplicative factors do not 
J02  67 account for the temperature dependence of the partition functions 
J02  68 or the exponential factors shown in Eq. (3), the converted values 
J02  69 may not represent the true band intensity at 300K, particularly for 
J02  70 transitions whose lower state is not the ground state. Goldman, 
J02  71 Dang-Nhu and Bouanich [6] give an excellent brief discussion of the 
J02  72 temperature dependence of line intensities.<p/>
J02  73 <p_>Several of the references reporting intensity measurements of 
J02  74 bands of CHCl<sb_>3<sb/>, CDCl<sb_>3<sb/>, CHCl<sb_>2<sb/>F, 
J02  75 CHClF<sb_>2<sb/>, CHD<sb_>2<sb/>F, CHF<sb_>3<sb/>, and 
J02  76 CDF<sb_>3<sb/> give the results not as S<sb_><*_>nu<*/><sb/> or 
J02  77 <tf|>S<sb_>Band<sb/> as defined in Eqs. (1-3), but as a quantity 
J02  78 denoted as <tf|>G. This <tf|>G is identical to the <*_>GAMMA<*/> 
J02  79 originally defined by Golike <tf_>et al.<tf/> [7] and is usually 
J02  80 reported in units of (length)<sp_>2<sp/> mole<sp_>-1<sp/> or 
J02  81 (length)<sp_>2<sp/> molecule<sp_>-1<sp/>. As previously stated in 
J02  82 [2], <tf|>G (or <*_>GAMMA<*/>) may be related to 
J02  83 <tf|>S<sb_>Band<sb/> approximately by <tf|>S<sb_>Band<sb/> = 
J02  84 <tf|>G<*_>nu<*/><sb_>0<sb/>, where <*_>nu<*/><sb_>0<sb/> is the 
J02  85 wavenumber of the observed band center.<p/>
J02  86 <p_>To compare measurements by investigators in different 
J02  87 laboratories and apply their results to atmospheric or 
J02  88 astrophysical measurements, we must also understand the corrections 
J02  89 applied for the isotopic composition of the measured gas samples. 
J02  90 Unfortunately, in many papers, the isotopic composition is not 
J02  91 specified, and the interpretation of 'natural abundance' is left to 
J02  92 the reader. Johns [8] discussed in detail the difference between 
J02  93 the 'natural abundance' of <sp_>13<sp/>C in atmospheric 
J02  94 CO<sb_>2<sb/> and that in commercially supplied CO<sb_>2<sb/>. In 
J02  95 our conversion of reported intensities to a consistent set of 
J02  96 units, we have attempted to rescale each intensity value to 
J02  97 represent the band intensity for a 100% pure sample of a single 
J02  98 isotope. Where no specific isotopic abundance information has been 
J02  99 given in the original reference, we have used the 1986 HITRAN 
J02 100 abundances [9].<p/>
J02 101 <h_><p_>III. COLLISION BROADENING<p/><h/>
J02 102 <p_>For most of the range of pressures typically encountered in the 
J02 103 terrestrial and planetary atmospheres, infrared vibration-rotation 
J02 104 lines have predominantly the Lorentz, or collision-broadened line 
J02 105 shape, in which the width of the line is linearly dependent on the 
J02 106 gas pressure (for a fixed temperature). At very low gas pressures, 
J02 107 the line shapes follow the Doppler profile, where the line width 
J02 108 depends only on the temperature, mass of the molecule, and 
J02 109 wavenumber of the transition. In the intermediate range where the 
J02 110 Doppler and Lorentz profiles both contribute significantly, the 
J02 111 line shape is most often modeled by the Voigt profile, which is the 
J02 112 convolution of these two profiles. Detailed expressions for these 
J02 113 three line profiles have been given in [2] and will not be repeated 
J02 114 here. The dependence of the collision-broadened halfwidth on 
J02 115 pressure and temperature is usually expressed as<p/>
J02 116 <p_><O_>formula<O/><p/>
J02 117 <p_>where <tf|>b<sb_>L<sb/>(p,T) is the collision-broadened 
J02 118 halfwidth of the line at measured pressure <tf|>p and temperature 
J02 119 <tf|>T, <tf|>b<sp_>0<sp/><sb_>L<sb/>(T<sb_>0<sb/>) is the 
J02 120 collision-broadened halfwidth of the line at the reference pressure 
J02 121 (usually 1 atm) and temperature <tf|>T<sb_>0<sb/> (usually 296 K). 
J02 122 According to the classical theory, the exponent <tf|>n should have 
J02 123 the value 0.5; however, many of the experimental results cited in 
J02 124 Table IV of the present compilation and in [2], show quite 
J02 125 different values for <tf|>n. The experimentally determined values 
J02 126 of this exponent appear to vary according to the absorbing and 
J02 127 perturbing gases and the vibrational and rotational quantum 
J02 128 numbers.<p/>
J02 129 <p_>In recent years measurements of Lorentz broadening coefficients 
J02 130 and their temperature dependence have become more numerous. There 
J02 131 have been more measurements of individual line widths within a 
J02 132 band, and very few studies reporting simply an average broadening 
J02 133 coefficient (or <tf|>n value) for an entire band. Recognizing that 
J02 134 temperatures in the terrestrial upper atmosphere and in planetary 
J02 135 atmospheres are quite different from ambient values in the 
J02 136 laboratory, several investigators have pursued measurements of 
J02 137 collision-broadened gas<?_>-<?/>phase spectra at low temperatures 
J02 138 down to about 150K. Other investigators, driven by requirements to 
J02 139 measure the spectra of combustion exhaust gases <tf_>in situ<tf/>, 
J02 140 have recorded laboratory collision-broadened spectra at high 
J02 141 temperatures.<p/>
J02 142 <p_>Another are of increased interest has been the examination of 
J02 143 line shapes that depart from the usual three forms (Lorentz, 
J02 144 Doppler, Voigt) most commonly used to model laboratory, 
J02 145 atmospheric, planetary, or astronomical spectra. Collisional 
J02 146 narrowing is observed for spectral lines whose Lorentz halfwidth 
J02 147 <tf|>b<sb_>L<sb/> is very small. The Galatry line shape [10] is 
J02 148 usually used to model the profiles of absorption lines affected by 
J02 149 collisional narrowing in addition to Doppler and Lorentz 
J02 150 broadening. Other phenomena that have been examined extensively 
J02 151 include non-Lorentzian profiles in the far wings of very strong 
J02 152 absorption lines (particularly for H<sb_>2<sb/>O and CO<sb_>2<sb/>) 
J02 153 and line mixing (also called <tf_>line coupling<tf/>) in regions of 
J02 154 very closely spaced lines such as <tf_>Q<tf/>-branches. References 
J02 155 for laboratory studies of collisional narrowing, far-wing line 
J02 156 shapes, and line mixing have also been included in Table IV.<p/>
J02 157 <h_><p_>IV. PRESSURE-INDUCED LINE SHIFTS<p/><h/>
J02 158 <p_>Shifts in the positions of vibration-rotation lines due to 
J02 159 collisions with other gases have become a concern for certain types 
J02 160 of infrared measurements. Since ambient pressures in the 
J02 161 terrestrial and planetary atmospheres range from several Torr to 
J02 162 several atmospheres, pressure-induced line shifts must be 
J02 163 considered in spectroscopic studies of these atmospheres. Knowledge 
J02 164 of line shifts is also important for certain transitions of 
J02 165 CO<sb_>2<sb/>, CH<sb_>4<sb/>, and other gases that are used for 
J02 166 stabilization of laser frequencies.<p/>
J02 167 <p_>Prior to the mid-1980s, very few measurements of 
J02 168 pressure-induced line shifts appeared in the literature; most of 
J02 169 these were for diatomic molecules such as CO, HBr, HCl, HF, 
J02 170 H<sb_>2<sb/>, and HD. More recent studies have provided extensive 
J02 171 information on shifts in transitions of larger molecules, including 
J02 172 CO<sb_>2<sb/>, H<sb_>2<sb/>O, N<sb_>2<sb/>O, O<sb_>3<sb/>, 
J02 173 NH<sb_>3<sb/>, and CH<sb_>4<sb/>. However, some of these studies 
J02 174 report measurements of shifts for only a small number of lines 
J02 175 within a band.<p/>
J02 176 <p_>Theoretical prediction of pressure-induced line shifts has been 
J02 177 successful only for selected types of molecules such as polar 
J02 178 diatomic molecules [11, 12]. Adequate models for pressure-induced 
J02 179 shifts in bands of other molecules of interest for atmospheric 
J02 180 studies, such as O<sb_>3<sb/> or CH<sb_>4<sb/>, have not yet 
J02 181 appeared. Only a very few measurements of pressure-induced line 
J02 182 shifts at temperatures far above or below room temperature have 
J02 183 been reported, and the form of the temperature dependence of the 
J02 184 shifts is not certain. A number of investigators, including 
J02 185 Grossmann and Browell [13, 14], have modeled pressure-induced line 
J02 186 shifts at low temperatures using a relation similar to that used 
J02 187 for the Lorentz halfwidths:<p/>
J02 188 <p_><O_>formula<O/><p/>
J02 189 <p_>where <tf|><*_>delta<*/>(T) is the shift coefficient (in 
J02 190 cm<sp_>-1<sp/>/atm) at the measured temperature <tf|>T, 
J02 191 <tf|><*_>delta<*/>(T<sb_>0<sb/>) is the shift coefficient at the 
J02 192 reference temperature <tf|>T<sb_>0<sb/>, and the exponent <tf|>n' 
J02 193 is empirically determined. However, the above expression is not 
J02 194 valid in cases where the line shift changes sign with temperature. 
J02 195 Other investigators, such as Houdeau and Boulet [15], have 
J02 196 developed more rigorous theoretical models to account for the 
J02 197 temperature dependence of both halfwidths and shifts.<p/>
J02 198 <h_><p_>V. EXPLANATION OF TABLES AND TABLE REFERENCES<p/><h/>
J02 199 <p_>The tables continue in the format of Refs. [1-2] with one 
J02 200 exception. For carbon dioxide and its isotopic variants, we have 
J02 201 adopted the vibrational band notation of Rothhman and Young [16], 
J02 202 which is also used in the HITRAN and GEISA spectroscopic line 
J02 203 parameters compilations [9, 17]. This notation is widely used by 
J02 204 numerous investigators. Briefly, each vibrational level of 
J02 205 CO<sb_>2<sb/> is designated by an integer whose five digits 
J02 206 correspond to the sequence <O_>formula<O/>, where 
J02 207 <*_>nu<*/><sb_>1<sb/>, <*_>nu<*/><sb_>2<sb/>, and 
J02 208 <*_>nu<*/><sb_>3<sb/> are the vibrational quantum numbers, <tf|>l 
J02 209 is the degeneracy index of the <*_>nu<*/><sb_>2<sb/> vibrational 
J02 210 mode, and <tf|>r indicates the level's ranking in a Fermi resonance 
J02 211 polyad. Thus, the ground state is designated by 00001, the 
J02 212 <*_>nu<*/><sp_>1<sp/><sb_>2<sb/> level by 01101, the 
J02 213 <*_>nu<*/><sb_>1<sb/> level by 10001, and the 
J02 214 2<*_>nu<*/><sp_>0<sp/><sb_>2<sb/> level by 10002. For each 
J02 215 transition the level designations are given with the upper level 
J02 216 first. For example, the <sp_>12<sp/>C<sp_>16<sp/>O<sb_>2<sb/> laser 
J02 217 transition at 961 cm<sp_>-1<sp/>, designated 
J02 218 <*_>nu<*/><sb_>3<sb/>-<*_>nu<*/><sb_>1<sb/> in the previous 
J02 219 compilations, is indicated as 00011-10001 in the present work, and 
J02 220 the <O_>formula<O/> laser transition at 1064 cm<sp_>-1<sp/> is 
J02 221 indicated as 00011-10002.<p/>
J02 222 <p_>The literature values and references for intensities of 
J02 223 vibration-rotation transitions are given in Tables II and III. All 
J02 224 of these values are for electric dipole allowed transitions 
J02 225 measured in the gas phase with a few exceptions. These include the 
J02 226 'forbidden' 03301-00001 band of 
J02 227 <sp_>12<sp/>C<sp_>16<sp/>O<sb_>2<sb/> at 2003 cm<sp_>-1<sp/>, 
J02 228 liquid<?_>-<?/>phase measurements of several N<sb_>2<sb/>O bands 
J02 229 that were published along with gas-phase measurements, and 
J02 230 quadrupole and electrically-induced dipole vibration-rotation 
J02 231 transitions of H<sb_>2<sb/> and N<sb_>2<sb/>. Purely rotational and 
J02 232 electronic transitions are not included in the compilation.<p/>
J02 233 <p_>As in the previous compilations, Table II contains the data for 
J02 234 molecules with 2,3,4, and 5 atoms. The molecular data are sorted 
J02 235 first by number of atoms, then by molecular formula in alphabetical 
J02 236 order, then by isotopic form in order of increasing molecular 
J02 237 weight. If the isotopic forms are not individually spectified, the 
J02 238 reader should assume that the data refer to the most abundant 
J02 239 isotope of the molecule. The first page of Table II serves as an 
J02 240 index to the succeeding pages of the table. The bands for each 
J02 241 molecule are presented in order of increasing wave number, with the 
J02 242 assignments and band centers (in cm<sp_>-1<sp/>) given in the first 
J02 243 column of the table. In the second column, headed <tf_>Reference 
J02 244 Value<tf/>, are listed the integrated band intensity values as 
J02 245 reported in the original references. Any unusual features of the 
J02 246 reported measurements are indicated by footnotes in the relevant 
J02 247 sections of the table.
J02 248 
J02 249 
J03   1 <#FROWN:J03\>If this is indeed the case the data in Fig. 5 may be 
J03   2 skewed upward as <tf|>r/R decreases, since they could still 
J03   3 reflect, in part, the highly aligning nature of the converging 
J03   4 extensional flow at the tube entrance.<p/>
J03   5 <p_>At the highest shear rate studied in this work, 1270 
J03   6 s<sp_>-1<sp/>, a value of 0.66 was found for <tf|>S<sb_>11<sb/>, 
J03   7 indicating essentially perfect fiber alignment (<tf|>S<sb_>11<sb/> 
J03   8 = 2/3).<p/>
J03   9 <p_><tf_>A priori<tf/> predictions may be obtained using Eqs. 
J03  10 (3)-(8) together with the parameters given in Table III. That shown 
J03  11 for <tf|>S<sb_>11<sb/> in Fig. 5 is seen to portray the data quite 
J03  12 well within their experimental uncertainty, and this was equally 
J03  13 true at the other conditions studied. This is the most gratifying 
J03  14 aspect of the analysis: the ability to make at least approximate 
J03  15 predictions of fiber orientation using only the measured apparent 
J03  16 viscosity function.<p/>
J03  17 <p_>(2) The parameter <tf|>S<sb_>12<sb/>, as noted earlier, is a 
J03  18 measure of the skewness of the orientations about the flow 
J03  19 direction. Intuitively one would expect that, for fibers aligned in 
J03  20 a shearing flow, this parameter should be very close to zero, and 
J03  21 all 14 sets of experimental data, including that shown in Fig. 5, 
J03  22 bear this out. The theoretical prediction is thus simply 
J03  23 incorrect.<p/>
J03  24 <p_>(3) The components <tf|>S<sb_>22<sb/> and <tf|>S<sb_>33<sb/> 
J03  25 are smaller than <tf|>S<sb_>11<sb/>, as expected, and are 
J03  26 consequently of lesser interest. The theoretical predictions are 
J03  27 seen to be of the same general magnitude as the data but the 
J03  28 agreement is not at all exact. Again, both data and theory show 
J03  29 very little change with shear rate.<p/>
J03  30 <p_>In conclusion, while further evaluation of the theory will be 
J03  31 needed before fiber orientations can be predicted with confidence 
J03  32 the orientation parameter of greatest interest, <tf|>S<sb_>11<sb/>, 
J03  33 and its variation with shear rate, appear to be predicted well. 
J03  34 Further, very low levels of shearing rate appear to be sufficient 
J03  35 for substantial fiber alignment in these concentrated systems.<p/>
J03  36 <h_><p_>Flow behavior and morphology of extruded polymers<p/><h/>
J03  37 <p_>Die swell and melt fracture are ordinary phenomena which occur 
J03  38 during the extrusion of unfilled polymers from dies of any 
J03  39 geometry. Die swell generally increases with extrusion rate, and 
J03  40 melt fracture occurs at a shear stress near 0.1 MPa, as reported by 
J03  41 Ramamurthy (1986) and others. For extrusion form a tube, die swell 
J03  42 changes the diameter of the extruded filament and melt fracture may 
J03  43 produce surface matteness as well as both longitudinal and radial 
J03  44 ripples. Neither die swell nor melt fracture, however, 
J03  45 significantly changes the shape of a cross section of the extruded 
J03  46 filament from the circular shape induced by the die, except at very 
J03  47 high stress levels well beyond those at which incipient 
J03  48 irregularities are formed.<p/>
J03  49 <p_>The extrusion of fiber-filled polyethylenes and polypropylenes 
J03  50 from a circular die involves reduced die swell (as compared to the 
J03  51 unfilled polymers) and the occurrence of gross surface 
J03  52 irregularities not related to the phenomenon of melt fracture. The 
J03  53 photographs in Figs. 6 and 7 illustrate the surface irregularities 
J03  54 which occur during the extrusion of polypropylene containing 10 and 
J03  55 40 wt % glass fibers. These polymers were extruded at 
J03  56 230<*_>degree<*/>C from a 0.05 in. i.d. by 2 in. long capillary at 
J03  57 the apparent shear rates shown in the figures. Similar morphologies 
J03  58 were observed for the fiber-filled polyethylenes.<p/>
J03  59 <p_>The photographs in Figs. 6 and 7 show that extraordinary 
J03  60 surface irregularities and longitudinal variations in the diameters 
J03  61 of the filaments occurred at the lowest extrusion rates. Numerous 
J03  62 fibers protruded from the surface of the filament giving them a 
J03  63 fuzzy appearance, and the orientations of the protruding fibers 
J03  64 seemed to be random. As extrusion rates increased, the surface 
J03  65 irregularities faded and the diameters of the filaments became much 
J03  66 more uniform. The measured shear stresses for the filaments in 
J03  67 Figs. 6 and 7 obtained at 4.6 and 115 s <sp_>-1<sp/> were well 
J03  68 below the melt fracture stress of 0.1 MPa, and the shear stresses 
J03  69 at 1272 s<sp_>-1<sp/> were only slightly above the critical value. 
J03  70 Melt fracture, therefore, did not seem to be a contributing factor 
J03  71 in the observed surface irregularities, nor was any indication of 
J03  72 sudden changes in surface irregularity observed at the critical 
J03  73 stress of 0.1 MPa.<p/>
J03  74 <p_><O_>figures&captures<O/><p/>
J03  75 <p_>Wu (1979), Crowson <tf_>et al<tf/>. (1980), and Knuttson and 
J03  76 White (1981) have reported similar surface morphologies for 
J03  77 fiber-filled polymer melts. Knuttson and White reported that the 
J03  78 surface of fiber-reinforced polycarbonate extrudates was 
J03  79 significantly rougher under all conditions than that of the 
J03  80 unfilled polymer, but the smoothness of the extrudates increased 
J03  81 with extrusion rate. They attributed the increased smoothness to 
J03  82 increased fiber orientation in the direction of flow, although we 
J03  83 have noted only modest changes for our materials. Crowson <tf_>et 
J03  84 al.<tf/> observed a similar improvement in smoothness with 
J03  85 increased extrusion rate, and they found that shear flow produced a 
J03  86 decrease in fiber alignment parallel to the flow direction. Wu in 
J03  87 his study of glass fiber-filled poly(ethylene terephthalate), 
J03  88 observed three distinct regimes of extrudate surface morphology: a 
J03  89 smooth surface at low shear rates, irregular surface at medium 
J03  90 shear rates, and a somewhat smoother extrudate at high rates. Wu 
J03  91 suggested that the observed morphologies arose from normal stress 
J03  92 effects and rotation of fibers in the velocity field. Thus we see 
J03  93 that a comprehensive and consistent understanding of physical 
J03  94 concepts leading to such extrudate morphologies has not been 
J03  95 developed.<p/>
J03  96 <p_>Cross sections of the extruded glass fiber-filled 
J03  97 polypropylenes are shown in Figs. 8 and 9 for fiber loadings of 10 
J03  98 and 40 wt %, respectively. The cross sections in these figures are 
J03  99 digitized representations obtained from photomicrographs. The 
J03 100 sections are perpendicular to the axis of the filaments, and the 
J03 101 shear rates correspond to those in Figs. 6 and 7. The points in 
J03 102 Figs. 8 and 9 represent the locations of individual, well-aligned 
J03 103 fibers. The most striking observation to be made from Figs. 8 and 9 
J03 104 is that the shapes of the cross sections are extremely distorted at 
J03 105 low shear rates and become largely circular at high rates.<p/>
J03 106 <p_><O_>figures&captures<O/><p/>
J03 107 <p_>The same shear rate dependence of morphology was observed for 
J03 108 suspensions extruded from capillaries with lengths of 1, 2, and 3 
J03 109 in. The distortion disappeared, however, when the materials were 
J03 110 extruded through an orifice. Cross sections of extrudates of the 10 
J03 111 wt % suspension in polypropylene obtained from the orifice are 
J03 112 shown in Fig. 10. The orifice had the same diameter (0.05 in.) as 
J03 113 the capillaries for which surface irregularities were observed, and 
J03 114 it retained the 90<*_>degree<*/> convergence at the entrance. For 
J03 115 the orifice cross sections in Fig. 10, there appears to be slight 
J03 116 reversal in the distortion of the cross-sectional shape; i.e., the 
J03 117 shape is quite circular and smooth at the lowest rate and becomes 
J03 118 more jagged at the highest rate.<p/>
J03 119 <p_><O_>figure&caption<O/><p/>
J03 120 <h_><p_>Factors affecting surface morphology<p/><h/>
J03 121 <p_>A number of factors were considered for the development of a 
J03 122 plausible mechanism for the observed surface morphologies. As 
J03 123 pointed out in the previous section, melt fracture did not appear 
J03 124 to play a role since the shear stresses at which distortion 
J03 125 occurred were too low. Other factors considered by Becraft (1988) 
J03 126 were die swell, thermal connection of the polymer, surface effects 
J03 127 between the polymer and metal, flexing of fibers near the surface 
J03 128 of the extruded filaments, expansion of gas bubbles in the 
J03 129 material, regions of local fiber alignment, stress variations 
J03 130 resulting from fiber concentration inhomogeneities, and velocity 
J03 131 profile rearrangements at the tube exit. The more interesting and 
J03 132 pertinent of these considerations are as follows.<p/>
J03 133 <h_><p_>Die swell<p/><h/>
J03 134 <p_>Die swell was significantly reduced in the fiber-filled 
J03 135 polymers and it was unlikely that the large distortions observed in 
J03 136 the extrudates resulted from swelling of the polymer. Die swell 
J03 137 increased with extrusion rate even for the filled polymers. 
J03 138 Therefore, if swelling were the relevant mechanism, extrudate 
J03 139 distortion should have increased with shear rate, not decreased as 
J03 140 observed.<p/>
J03 141 <h_><p_>Fiber flexing at the surface of extrudates<p/><h/>
J03 142 <p_>The glass fibers in the polyethylenes and polypropylenes are 
J03 143 somewhat flexible, and the flexibility increases with temperature. 
J03 144 This creates the opportunity, with a large enough fiber flexural 
J03 145 modulus, for misaligned or bent fibers near the surface of the 
J03 146 extruded polymers to 'spring out' while the material is still in a 
J03 147 molten state. During this straightening process the fiber may 
J03 148 entrain polymer and conceivably cause the nonuniformities observed 
J03 149 in the cross sections. The photograph in Fig. 11 illustrates 
J03 150 entrainment of polymer by a fiber protruding from the surface. This 
J03 151 photograph was taken at the surface of a distorted extrudate using 
J03 152 polarized light and a magnification of 90x. An envelope of polymer 
J03 153 surrounds the protruding fiber and a surface irregularity has been 
J03 154 created by the entrained polymer. Protruding fibers in all of the 
J03 155 samples showed similar entrainment of polymer.<p/>
J03 156 <p_>To pursue this possible origin of the surface morphology the 
J03 157 dynamics of flow from the tube was observed using a Panasonic VHS 
J03 158 camcorder (model PV200). In the recorded images at low shear rates, 
J03 159 fibers were visibly springing out from the surface of the 
J03 160 extrudates immediately after the material emerged from the 
J03 161 capillary. All fiber motion appeared to be complete within one or 
J03 162 two diameters of the tube exit. It was not possible, however, to 
J03 163 determine from the flow visualization whether the springing out of 
J03 164 fibers was a consequence of long fiber flexibility or of rotation 
J03 165 of rigid fibers. A random side-to-side motion of the exiting 
J03 166 filaments was also evident, and was produced by forces originating 
J03 167 at or prior to the tube exit. At higher shear rates, the frequency 
J03 168 of the side-to-side motion increased dramatically, and the movement 
J03 169 resembled that of a vibrating string although with no obvious 
J03 170 periodicity.<p/>
J03 171 <p_>Fiber flexing and 'spring back' of bent fibers implies the 
J03 172 occurrence of bent fibers within the polymer melt during flow into 
J03 173 and through the tube. No such bent fibers were ever found in any of 
J03 174 these extrudates, possibly because cooling of the emerging 
J03 175 extrudate in the air was slower than the rate of springback of the 
J03 176 fibers. To check, the extrudates were also extruded into a cold 
J03 177 glycol-water bath held within one diameter of the capillary exit (a 
J03 178 closer positioning was not possible). Although perfect quenching 
J03 179 could not be achieved significant differences between quenched and 
J03 180 unquenched extrudates could be found. The quenched extrudates had 
J03 181 only much shorter fibers protruding from the surface, and 
J03 182 examination of quenched sections under polarized light revealed 
J03 183 numerous bent fibers within the frozen polymer. Clearly, then, 
J03 184 fiber flexing contributes to the observed extrudate 
J03 185 irregularities.<p/>
J03 186 <h_><p_>Fiber concentration inhomogeneities<p/><h/>
J03 187 <p_>Evidence of local variations in fiber concentration appears in 
J03 188 the cross section of Figs. 8 -10. Close examination of these cross 
J03 189 sections reveals that there are regions that seem to be completely 
J03 190 free of fibers, and other regions which have high densities of 
J03 191 fibers. Such variations in fiber concentration may cause 
J03 192 point-to-point variations in viscosity and a variable deformation 
J03 193 rate profile across the diameter of the molten polymer as it flows. 
J03 194 The effects would be greatest at low deformation rates when the 
J03 195 local viscosity variations due to differences in fiber 
J03 196 concentration (Figs.2 - 4) are greatest; at increasing shear rates 
J03 197 the viscosity differences diminish and a smoother extrudate would 
J03 198 appear, in attractive agreement with that observation. Radial fiber 
J03 199 migrations were reported for poly(ethylene terephthalate)-glass 
J03 200 systems by Wu (1979) but, in the present work on 
J03 201 polypropylene-glass fiber systems careful measurements revealed no 
J03 202 such large-scale changes. However, local concentration fluctuations 
J03 203 were indeed of large magnitude: in the 10 wt % material the 
J03 204 <tf|>volume fractions of fibers varied between 0 and 0.15 and, for 
J03 205 the 40 wt % system, between 0.09 and 0.35. Using the data of Kitano 
J03 206 <tf_>et al.<tf/> (1981) to estimate the local viscosity variations 
J03 207 tenfold changes are computed. To determine more definitively the 
J03 208 probable effects of large viscosity variations on extrudate 
J03 209 morphology, an experiment was conducted using a 50/50 wt % blend of 
J03 210 high density polyethylene and polypropylene. The viscosities of 
J03 211 these two immiscible polymers varied by nearly an order of 
J03 212 magnitude at low deformation rates and a temperature of 180 
J03 213 <*_>degree<*/>C. The blend was prepared by chopping extruded 
J03 214 strands of the individual polymers into fragments 1 mm or less in 
J03 215 length and mechanically mixing an equal mass of each of the solid 
J03 216 fragments. The blend was extruded through a 2 in. long capillary 
J03 217 with an <tf|>L/D of 40, and cross sections of the extrudates were 
J03 218 examined for distortion.
J03 219 
J04   1 <#FROWN:J04\>We also derive, for the case of random sphere 
J04   2 percolation, an <tf|>exact Smoluchowski equation describing the 
J04   3 scaling behavior of the mean cluster densities. In Sec. III we 
J04   4 focus on the function <tf|>n<sb_>c<sb/>(k), which gives the mean 
J04   5 number of clusters, per unit volume, containing exactly <tf|>k 
J04   6 particles. We obtain an exact differential equation for this 
J04   7 quantity and discuss its solution. We also give an efficient 
J04   8 general numerical method for solving this equation and, thus, for 
J04   9 obtaining cluster-size distributions. In Sec. IV we extend these 
J04  10 methods to clustering in ionic systems. In Sec. V, we show how to 
J04  11 calculate the mean volume of a cluster as a function of cluster 
J04  12 size. To do this, we first extend earlier research by Fanti <tf_>et 
J04  13 al.<tf/> [20] to give a recipe for calculating the mean volume of a 
J04  14 cluster. We then use the ghost-field method developed in previous 
J04  15 sections to obtain the full distribution of mean cluster volumes. 
J04  16 Section VI gives our conclusions. In the Appendix, we give a closed 
J04  17 set of Ornstein-Zernike equations that are satisfied by the 
J04  18 asymmetric (ghost-field-dependent) connectedness functions. We 
J04  19 discuss the difficulties in obtaining the mean-spherical 
J04  20 approximation (MSA) for this system. Finally, we discuss the 
J04  21 relationship between this system of equations and similar systems 
J04  22 encountered in other random media problems, including correlations 
J04  23 of a liquid in porous media and structure of the gel phase in a 
J04  24 percolating medium.<p/>
J04  25 <h_><p_>II. GENERATING FUNCTION FORMALISM FOR CLUSTER 
J04  26 STATISTICS<p/><h/>
J04  27 <p_>In this section we show that including a color field, or ghost 
J04  28 field, in a continuum percolation model allows one to develop 
J04  29 generating functions for the basic quantities describing such a 
J04  30 model. We develop these generating functions using the 
J04  31 continuum-Potts-model formalism already applied to percolation 
J04  32 without a ghost field. Certain basic relations between these 
J04  33 generating functions are also developed. In particular, we show 
J04  34 that the virial theorem for percolation models provides an exact 
J04  35 equation of Smoluchowski type describing the growth and coalescence 
J04  36 of clusters as the density is increased.<p/>
J04  37 <p_>The one-state limit of the continuum Potts model [21-23] gives 
J04  38 a very general correlated, continuum percolation model. We have 
J04  39 previously [12] discussed in detail this relationship, which is the 
J04  40 continuum generalization of the mapping originally developed for 
J04  41 lattice percolation by Fortuin and Kastelyn [14]. Here we add a 
J04  42 ghost field to the Hamiltonian in order to develop the basic 
J04  43 quantities describing this model as generating functions. The ghost 
J04  44 field [16, 18] is an artificial external field of constant 
J04  45 magnitude that acts on particles in all but one species (we choose 
J04  46 species 1 for definiteness). Since the correspondence between 
J04  47 Potts-model quantities and percolation quantities has been 
J04  48 developed in detail previously, we do not repeat this work here. We 
J04  49 rather focus on the additional structure created by including the 
J04  50 ghost field in the CPM.<p/>
J04  51 <p_>The asymmetric CPM is a generalization of the Widom-Rowlinson 
J04  52 model [24]; it describes a mixture of <tf|>s different species 
J04  53 which can undergo phase separation at sufficiently low 
J04  54 temperatures. In the one-state limit, this phase-separation 
J04  55 transition becomes a percolation transition. This mapping exhibits 
J04  56 continuum percolation as an analytic continuation of a many-body 
J04  57 system of a standard type, and allows the methods of liquid-state 
J04  58 physics to be applied to it. The Hamiltonian of this system is<p/>
J04  59 <p_><O_>formula<O/>.<p/>
J04  60 <p_>The first term is a repulsive interaction [we will take 
J04  61 <*_>nu<*/>(x)>0] acting only between particles of different species 
J04  62 (we use the symbol <*_>sigma<*/><sb_>i<sb/> to denote the species 
J04  63 of particle <tf|>i). The second term is a species-independent 
J04  64 potential acting between each pair of particles. In the one-species 
J04  65 limit, the thermodynamic quantities describing this model become 
J04  66 the basic quantities describing a very general model of clustering 
J04  67 and percolation in the continuum. This model consists of particles 
J04  68 with interparticle correlations induced by the potential 
J04  69 <tf|><*_>phi<*/>(x) and bonds connecting each pair of particles 
J04  70 with a separation<?_>-<?/>dependent bond probability 
J04  71 <tf|>p<sb_>b<sb/>(x) given by<p/>
J04  72 <p_><O_>formula<O/>.<p/>
J04  73 <p_>The last term in (2.1) is a ghost field which acts equally on 
J04  74 particles of all species <tf|>except those in one distinguished 
J04  75 species (we choose species 1 for definiteness; henceforth we will 
J04  76 use subscripts <tf|>i and <tf|>j to denote species <tf|>other than 
J04  77 1). This term can be absorbed into the fugacities characterizing 
J04  78 different species; if particles of species 1 have activity 
J04  79 <tf|>z<sb_>1<sb/>, then particles of species <tf|>i have 
J04  80 activity<p/>
J04  81 <p_><O_>formula<O/>,<p/>
J04  82 <p_>with <tf|>H=<*_>beta<*/>h, <tf|><*_>beta<*/>=1/kT the inverse 
J04  83 temperature and <tf|>h the ghost field from (2.1). If particles in 
J04  84 species 1 are present with density <*_>rho<*/><sb_>1<sb/>, those in 
J04  85 every other species have density <*_>rho<*/><sb_>i<sb/>, a 
J04  86 nontrivial function of the fugacities 
J04  87 <tf|>z<sb_>1<sb/>,z<sb_>i<sb/>. The one<?_>-<?/>state limits of 
J04  88 these quantities are<p/>
J04  89 <p_><O_>formula<O/>,<p/>
J04  90 <p_>where <*_>unch<*/> is the percolation density, while<p/>
J04  91 <p_><O_>formula<O/>,<p/>
J04  92 <p_>where <tf|>n<sb_>c<sb/>(K) is the density, or number per unit 
J04  93 volume, of clusters containing exactly <tf|>k particles. The 
J04  94 quantity <*_>unch<*/><sb_>i<sb/>(H) is a generating function for 
J04  95 the cluster densities <tf|>n<sb_>c<sb/>(k). Furthermore, if the 
J04  96 field <tf|>H were pure imaginary, we could recover the individual 
J04  97 cluster densities from the function <*_>unch<*/><sb_>i<sb/>(H) by 
J04  98 performing an inverse Fourier transform. The convergence of the 
J04  99 series (2.5) for purely imaginary values of <tf|>H follows from the 
J04 100 exponential decay, as a function of cluster size <tf|>k, of the 
J04 101 {<tf|>n<sb_>c<sb/>(k)}. We will make this program explicit in Sec. 
J04 102 III. Here, we will assume that inversions [25] of this kind are in 
J04 103 fact possible and focus on presenting formal results. That is, we 
J04 104 will give the other basic generating functions provided by the CPM 
J04 105 mapping and state the results of performing the inverse transform 
J04 106 just described. Note that, according to (2.5), setting <tf|>H to 
J04 107 zero gives<O_>formula<O/> [we treat here only the regime below the 
J04 108 percolation transition, and thus all particles are contained in 
J04 109 finite clusters; see, however, the discussion below Eq. (A18) in 
J04 110 the Appendix].<p/>
J04 111 <p_>The other low-order moments of the generating function are also 
J04 112 given by basic CPM quantities. The one<?_>-<?/>state limit of the 
J04 113 pressure is<p/>
J04 114 <p_><O_>formula<O/>.<p/>
J04 115 <p_>We can also define the <tf|>H-dependent version of the mean 
J04 116 cluster size,<p/>
J04 117 <p_><O_>formula<O/>.<p/>
J04 118 <p_>We give an integral equation satisfied by this function below. 
J04 119 The one-species limits of the distribution functions are also 
J04 120 generating functions for useful quantities, as we now show. As 
J04 121 before, we will use subscripts <tf|>i and <tf|>j to denote two 
J04 122 <tf|>different species other than species 1, which we have 
J04 123 distinguished by applying a ghost field. In the one-species limit 
J04 124 s<*_>arrow<*/>1, the CPM distribution functions give connectedness 
J04 125 and blocking functions, denoted <tf|>g<sb_>c<sb/>(x,H) and 
J04 126 <tf|>g<sb_>b<sb/>(x,H), respectively, according to<p/>
J04 127 <p_><O_>formulae<O/>.<p/>
J04 128 <p_>The zero-field limits of these functions, which we write simply 
J04 129 as <tf|>g<sb_>b<sb/>(x) and <tf|>g<sb_>c<sb/>(x), respectively, 
J04 130 have a direct physical interpretation: The connectedness function 
J04 131 <tf|>g<sb_>c<sb/>(x) is the probability density associated with 
J04 132 finding two particles with separation <tf|>x both in the same 
J04 133 cluster. Similarly, the blocking function <tf|>g<sb_>b<sb/>(x) is 
J04 134 the probability density associated with finding two particles with 
J04 135 separation <tf|>x but in different clusters. These two functions 
J04 136 are related by<p/>
J04 137 <p_><O_>formula<O/>,<p/>
J04 138 <p_>with <tf|>g<sb_>t<sb/>(x) the thermal correlation function 
J04 139 associated with the potential interaction <tf|><*_>phi<*/>(x). For 
J04 140 the nonzero <tf|>H field, the <tf_>H<tf/>-dependent CPM 
J04 141 distribution functions, in the <tf|>s<*_>arrow<*/>1 limit, give 
J04 142 generating functions for blocking and connectedness distribution 
J04 143 functions restricted to clusters of specified size, which we denote 
J04 144 <O_>formula<O/>, <O_>formula<O/>, according to<p/>
J04 145 <p_><O_>formulae<O/>.<p/>
J04 146 <p_>Here <O_>formula<O/> is the probability density associated with 
J04 147 finding two particles separated by a distance <tf|>x, but in 
J04 148 different clusters, one of size <tf|>m, one of size <tf|>n. Also, 
J04 149 <O_>formula<O/> is the probability density associated with finding 
J04 150 two particles separated by distance <tf|>x and both in the same 
J04 151 <tf|>m-particle cluster. An explicit system of Ornstein-Zernike 
J04 152 equations obeyed by the correlation functions of an asymmetric CPM 
J04 153 is presented in the Appendix. Our strategy is to solve these 
J04 154 equations in the <tf|>s<*_>arrow<*/>1 limit, and use their 
J04 155 solutions, as indicated in (2.11) and (2.12) to recover the 
J04 156 <tf_>H<tf/>-dependent connectedness functions. The function 
J04 157 <tf|>g<sb_>ij<sb/> is itself useful as a generating function. It is 
J04 158 valuable as an intermediate quantity because it obeys the relation 
J04 159 <O_>formula<O/>. It is also important because it obeys the 
J04 160 Ornstein-Zernike equation<p/>
J04 161 <p_><O_>formula<O/>.<p/>
J04 162 <p_>Here the symbol <*_>unch<*/> denotes a convolution. A basic 
J04 163 equation relating the above generating functions is the virial 
J04 164 theorem for the CPM, and its <tf|>s<*_>arrow<*/>1 limit, the virial 
J04 165 theorem for percolation. This theorem has been developed [12] for 
J04 166 the general correlated percolation model defined below Eq. (2.1). 
J04 167 However, for simplicity, we discuss here only the case of random 
J04 168 sphere percolation, in which randomly located particles are 
J04 169 directly connected if and only if they are closer together than a 
J04 170 fixed distance <tf|>a. The virial theorem for the zero-field case 
J04 171 of this model is<p/>
J04 172 <p_><O_>formula<O/>.<p/>
J04 173 <p_>For the model of sphere percolation, <tf|>n<sb_>c<sb/> depends 
J04 174 only on the dimensionless variable <O_>formula<O/>. Thus we can 
J04 175 rewrite<p/>
J04 176 <p_><O_>formula<O/>.<p/>
J04 177 <p_>This equation can be given a direct physical interpretation by 
J04 178 identifying the particle diameter <tf|>a with the time variable in 
J04 179 a particular growth process. Specifically, we imagine randomly 
J04 180 distributed particles with zero diameter at time <tf|>t=0, with 
J04 181 their diameters growing at a constant rate so as to remain 
J04 182 proportional to the time. As the particles grow, they overlap, and 
J04 183 form successively larger clusters. Now we focus on a specific 
J04 184 particle at the moment when its diameter has just grown to size 
J04 185 <tf|>a. The quantity <O_>formula<O/> gives the density of particles 
J04 186 that are in different clusters from the particle in question, and 
J04 187 are about to become directly connected to it. The factor 
J04 188 4<*_>pi<*/>a<sp_>2<sp/> gives the total surface area on which this 
J04 189 can happen, while the factor of 1/2 prevents double counting. Such 
J04 190 coalescence events are precisely the ones that decrease the total 
J04 191 number of clusters.<p/>
J04 192 <p_>We can extend this result to show that the cluster densities 
J04 193 {<tf|>n<sb_>c<sb/>(k)} for random continuum percolation obey an 
J04 194 <tf|>exact equation of Smoluchowski type. To see this, we write 
J04 195 down the virial theorem for our asymmetric Potts model, 
J04 196 analytically continue the ghost field <tf|>H to purely imaginary 
J04 197 values, and then perform an inverse Fourier transform. It is 
J04 198 convenient to express the result in terms of reaction rates 
J04 199 describing the fusion and breakup of clusters. To do this, we 
J04 200 define an <tf_>H<tf/>-dependent blocking function 
J04 201 <tf|>g<sb_>b<sb/>(x,H) in terms of the function 
J04 202 <*_>rho<*/><sb_>b<sb/>(x,H) already defined:<p/>
J04 203 <p_><O_>formula<O/>.<p/>
J04 204 <p_>This function, evaluated at contact, is a generating function 
J04 205 for reaction rates according to<p/>
J04 206 <p_><O_>formula<O/>.<p/>
J04 207 <p_>In terms of these quantities, we can write the following 
J04 208 equation of Smoluchowski type for the cluster densities:<p/>
J04 209 <p_><O_>formula<O_>.<p/>
J04 210 <p_>We pause to note the connection between this equation and the 
J04 211 form of Smoluchowski equation which is furnished by a mean-field 
J04 212 treatment. If we replace the function <tf|>g<sb_>b<sb/>(x,H) on the 
J04 213 right-hand side (RHS) of Eq. (2.16) by the function 
J04 214 <tf|>g<sb_>b<sb/>(x), i.e., if we ignore the <tf|>H dependence of 
J04 215 this function, the summations over the subscripts <tf|>m and <tf|>n 
J04 216 in the terms on the RHS of Eq. (2.18) will be eliminated. If we set 
J04 217 <tf|>m=0 and <tf|>n=0 in these terms, a mean<?_>-<?/>field 
J04 218 Smoluchowski equation results. The probabilistic interpretation of 
J04 219 such an equation is immediate: The first term on the RHS gives the 
J04 220 rate at which pairs of smaller clusters coalesce to give <tf|>k 
J04 221 clusters. The second term on the RHS gives the rate at which <tf|>k 
J04 222 clusters are removed by fusing into larger clusters. Equation 
J04 223 (2.18) thus has the form of a generalized Smoluchowski equation 
J04 224 [26]; we emphasize that this equation is exact. Here the contact 
J04 225 values of blocking functions play the role of rate constants. These 
J04 226 contact values can be derived for random sphere percolation by 
J04 227 using an asymmetric version of the scaled-particle theory for 
J04 228 percolation [13]. In the general case a variety of integral 
J04 229 equation methods have been developed for calculating these 
J04 230 quantities, as we discuss in Sec. III and also in the Appendix.<p/>
J04 231 <h_><p_>III. GENERAL ALGORITHM FOR CLUSTER-SIZE 
J04 232 DISTRIBUTIONS<p/><h/>
J04 233 <p_>In this section we discuss the cluster-size distribution in a 
J04 234 very general correlated continuum percolation model. We first use 
J04 235 the formalism of Sec. II to develop a differential equation for the 
J04 236 quantity <O_>formula<O/>, which, as we have shown, is the 
J04 237 generating function for the cluster densities <tf|>n<sb_>c<sb/>(k). 
J04 238 The RHS of this differential equation involves the volume integral 
J04 239 of the <tf_>H<tf/>-dependent connectedness function 
J04 240 <*_>rho<*/><sb_>c<sb/>(x,H). Numerical solution of this equation is 
J04 241 computationally demanding; we discuss efficient methods for solving 
J04 242 this equation.<p/>
J04 243 <p_>The analog, for percolation, of the compressibility theorem is 
J04 244 the theorem giving the mean cluster size as an integral over the 
J04 245 two-point connectedness function. The probabilistic argument that 
J04 246 gives this theorem has a form specific to <tf|>k clusters which we 
J04 247 now describe.
J04 248 
J05   1 <#FROWN:J05\>Thus, each finger is related by a rotation of 3 x 
J05   2 32<*_>degree<*/> and a translation of about 10 A<*_>circlet<*/> (3 
J05   3 x 3.3 A<*_>circlet<*/>) along the DNA axis. Unlike the recognition 
J05   4 helix of the helix-turn-helix motif, the <*_>alpha<*/> helix in the 
J05   5 zinc finger is tipped at an angle away from the major groove. The 
J05   6 <*_>beta<*/> sheet is on the back of the helix away from the base 
J05   7 pairs and is shifted towards one side of the major groove. The two 
J05   8 strands of the <*_>beta<*/> sheet have different roles. The first 
J05   9 <*_>beta<*/> strand does not make contact with the DNA, whereas the 
J05  10 second <*_>beta<*/> strand is in contact with the sugar phosphate 
J05  11 backbone along one strand of DNA.<p/>
J05  12 <p_>The zinc finger peptide makes 11 hydrogen bonds with the bases 
J05  13 in the major groove. Six amino acid side chains interact with the 
J05  14 base pairs, two from each zinc finger. However, five of the six 
J05  15 residues that are binding to the nucleic acids are arginine 
J05  16 residues. One of these arginines immediately precedes the 
J05  17 <*_>alpha<*/> helix in each of the three fingers, and it also 
J05  18 includes the residues from either the second, the third, or the 
J05  19 sixth residues in the <*_>alpha<*/> helix. All of these form 
J05  20 hydrogen bonds with the G-rich strand of the consensus binding 
J05  21 site. Figure 7 shows the interactions of the various arginine 
J05  22 residues and one histidine residue from the three fingers. It can 
J05  23 be seen that five of the six interactions are those postulated at 
J05  24 an earlier time in an analysis of protein<?_>-<?/>nucleic acid 
J05  25 recognition (Fig. 3).<p/>
J05  26 <p_>Each zinc finger interacts with a subset of three bases. All of 
J05  27 them interact with the first base in the subset. However, two of 
J05  28 them interact with the third base of the subset and one with the 
J05  29 second base. The detailed interactions are listed in Table II and 
J05  30 are also shown in Fig. 7. Some of the arginine residues binding to 
J05  31 guanine are also stabilized by aspartic acids that occur as the 
J05  32 second residue in the <*_>alpha<*/> helices. It is likely that this 
J05  33 side-chain interaction helps to stabilize the binding of the 
J05  34 arginine to the guanine residue, although it is not found in all of 
J05  35 the fingers. The recognition system is relatively simple. The 
J05  36 residue immediately preceding the <*_>alpha<*/> helix contacts the 
J05  37 third base on the primary strand of the substrate at the 5' end. 
J05  38 The third residue on the <*_>alpha<*/> helix can contact the second 
J05  39 base on the primary strand, and the sixth residue can contact the 
J05  40 first base. In this structure, each zinc finger came in contact 
J05  41 with only two bases of each three-base subset. It is not known 
J05  42 whether it would be possible to have other zinc fingers in which 
J05  43 all three bases are recognized.<p/>
J05  44 <p_>The DNA is essentially in the form of a B-type helix with small 
J05  45 distortions. There are small changes in base-pair twist going from 
J05  46 one site to the next, although the overall conformation is similar 
J05  47 to normal B-DNA. Each of the three fingers binds in a similar 
J05  48 orientation and has similar contacts with the three base pairs of 
J05  49 the DNA. In a formal sense, the relationship of one zinc finger to 
J05  50 the next is in the form of a translational rotation or a screw 
J05  51 operation that tracks the inside of the major groove of the double 
J05  52 helix.<p/>
J05  53 <p_>Even though the zinc finger uses the <*_>alpha<*/> helix for 
J05  54 recognition, it has several unique features that differentiate it 
J05  55 from the helix-turn-helix interactions. First, of all, the zinc 
J05  56 finger complex is formed out of modular units that can be repeated 
J05  57 a large number of times. This entails the possibility of 
J05  58 recognizing very long stretches of DNA by simply having a larger 
J05  59 number of zinc fingers. As mentioned, some proteins have very large 
J05  60 numbers of zinc fingers and may actually use this. The second 
J05  61 characteristic is that the contacts seem to be largely with one 
J05  62 strand only of DNA, in this particular case with the purine-rich or 
J05  63 guanine-rich strand. The recognition depends largely on interaction 
J05  64 with the bases, and there are fewer hydrogen bonds with the DNA 
J05  65 backbone than are seen in the other structures.<p/>
J05  66 <p_>Even though studies of other protein-DNA complexes appear not 
J05  67 to have a recognition code, the zinc finger complex appears to have 
J05  68 a recognition code which is largely based on the arginine-guanine 
J05  69 contacts, at least for the Zif complex. It remains to be seen 
J05  70 whether these types of contacts will be found more specifically 
J05  71 when the structures of more zinc fingers have been done. Solution 
J05  72 of this structure will make it possible to synthesize new zinc 
J05  73 finger binding domains with different nucleotide binding 
J05  74 specificities. Thus, it will be possible to explore the full gamut 
J05  75 of interactions found in this widely used recognition motif in 
J05  76 eukaryotic systems.<p/>
J05  77 <h_><p_>THE GLUCOCORTICOID RECEPTOR ALSO CONTAINS ZINC IONS<p/><h/>
J05  78 <p_>The glucocorticoid receptor has the property of binding a 
J05  79 hormone, such as estrogen or another steroid, and is then 
J05  80 translocated from the cytoplasm to the nucleus, where it binds to 
J05  81 specific DNA sequences, called <tf_>glucocorticoid response 
J05  82 elements<tf/> (GREs). The binding affects transcription of the 
J05  83 genes. A large number of these exist; they include receptors for 
J05  84 steroid hormones, retinoids, vitamin D, thyroid hormones, and 
J05  85 others. Members of this superfamily have a common amino acid 
J05  86 sequence organization with discrete domains that are used for 
J05  87 binding DNA as well as zinc. All of these nuclear receptors are 
J05  88 characterized by a pattern containing eight cystenes and, in the 
J05  89 glucocorticoid receptor, these cystenes coordinate two zinc ions in 
J05  90 a tetrahedral manner. The structure of the glucocorticoid receptor 
J05  91 bound to DNA has been determined recently by Luisi <tf_>et al.<tf/> 
J05  92 (1991). Unlike the typical zinc fingers, the glucocorticoid 
J05  93 receptor forms a distinct globular binding domain and does not 
J05  94 occur in a long series of modular units, as is often found in the 
J05  95 typical zinc finger DNA binding.<p/>
J05  96 <p_>The structure of the glucocorticoid receptor bound to DNA 
J05  97 reveals that the receptor dimerizes onto a DNA molecule that 
J05  98 contains two repeats of the glucocorticoid response element 
J05  99 sequence, each with the major groove facing in the same direction. 
J05 100 Each of the proteins forms a compact globular structure in which 
J05 101 the two zinc ions serve to nucleate the formation of a conformation 
J05 102 in which an <*_>alpha<*/> helix is positioned in the major groove 
J05 103 of B-DNA and thereby has sequence-specific binding. The 
J05 104 glucocorticoid receptor conformation may be looked upon as a 
J05 105 conformation similar in some respects to the helix-turn-helix 
J05 106 conformation, except that zinc ions are used in maintaining the 
J05 107 stable fold of the protein rather than the helix interactions found 
J05 108 in the helix-turn-helix system. A number of interactions are found 
J05 109 between the glucocorticoid receptor and the DNA. However, three of 
J05 110 them are interactions with bases that are important for determining 
J05 111 sequence specificity. One of the most important of these is an 
J05 112 arginine 466 that binds to guanine 4 using the system of 
J05 113 arginine-guanine interactions, which has been described above using 
J05 114 two hydrogen bonds. Another hydrophobic interaction involves valine 
J05 115 462 interacting with the methyl group of thymine 5 while a lysine 
J05 116 461 forms a single hydrogen bond to N7 of guanine 7 as well as to a 
J05 117 water molecule, which in turn binds to O6 of guanine and O4 of 
J05 118 thymine in an adjacent base pair. If arginine 466 is replaced by 
J05 119 lysine or glycine, the protein no longer functions <tf_>in 
J05 120 vivo<tf/>. Arginine 466 and lysine 461 are absolutely conserved in 
J05 121 the superfamily of nuclear receptors; their targeted bases, guanine 
J05 122 4 and guanine 7, also occur consistently in all the known sequences 
J05 123 of the hormone response elements (Luisi <tf_>et al.<tf/>, 1991).<p/>
J05 124 <p_>The major difference between the zinc-containing glucocorticoid 
J05 125 response element and the traditional zinc finger is the fact that 
J05 126 the latter conformation is stabilized individually by an extensive 
J05 127 hydrophobic core as well as by the zinc ion. Furthermore, it 
J05 128 assumes this conformation independent of the presence or absence of 
J05 129 DNA. In contrast, experiments with the glucocorticoid receptor show 
J05 130 that it only condenses as a dimer in the presence of the DNA. The 
J05 131 dimerization is stabilized both by the DNA as well as by contacts 
J05 132 between the protein.<p/>
J05 133 <p_>The arginine-guanine interaction, which played so predominant a 
J05 134 part in five of the six interactions seen in the three modules of 
J05 135 the traditional zinc finger structure, also plays a role in 
J05 136 interactions with the glucocorticoid response element. However, in 
J05 137 this case, only one of the three interactions that are 
J05 138 sequence-determining involves the arginine-guanine interaction.<p/>
J05 139 <h_><p_>ECO RI ENDONUCLEASE BINDING TO DNA<p/><h/>
J05 140 <p_>Restriction endonucleases are very important tools in molecular 
J05 141 biology since they cleave DNA molecules at specific sequences. One 
J05 142 of the widely used enzymes was obtained from <tf_>E. coli<tf/> and 
J05 143 is called Eco RI endonuclease. It cleaves DNA at a specific 
J05 144 double-stranded sequence (d(GAATTC)). Eco RI contains 276 amino 
J05 145 acids, and it has been crystallized with a fragment of DNA 
J05 146 containing 13 base pairs. The solved structure revealed a complex 
J05 147 interaction between a globular protein and a DNA double helix 
J05 148 (McClarin <tf_>et al.<tf/>, 1986; Kim <tf_>et al.<tf/>, 1986). The 
J05 149 DNA recognition motif consists of a parallel bundle of four 
J05 150 <*_>alpha<*/> helices penetrating the major groove of the DNA. 
J05 151 There, amino acids at the end of the <*_>alpha<*/> helix interact 
J05 152 with the bases in the major groove. Although <*_>alpha<*/> helices 
J05 153 are employed, this motif differs from the interaction seen both in 
J05 154 the helix-turn-helix proteins and the zinc fingers. In this case, a 
J05 155 cluster of very long <*_>alpha<*/>-helical segments interact with 
J05 156 the DNA at their ends. In addition, a segment of extended 
J05 157 polypeptide chain runs along the major groove of the DNA roughly 
J05 158 parallel to the DNA backbone. This is anchored at one end by one of 
J05 159 the recognition helices, and it has several contacts with bases. 
J05 160 Among the interactions that are described is one involving arginine 
J05 161 200 binding to guanine in a manner similar to that described in 
J05 162 Fig. 3.<p/>
J05 163 <p_>We do not know whether this structure is likely to be a general 
J05 164 structure for the recognition of DNA by restriction endonucleases. 
J05 165 However, one of the interesting projects arising from solution of 
J05 166 this protein-DNA complex is the possibility of modifying side 
J05 167 chains to alter recognition modes so that one might be able to make 
J05 168 restriction enzymes with altered cleavage specificities using the 
J05 169 Eco RI framework for carrying this out. Further work will be 
J05 170 necessary before we know whether this is a general recognition 
J05 171 motif for other enzymes as well. However, it is important to 
J05 172 emphasize that the mode of interaction is quite distinct from that 
J05 173 seen in any other protein-nucleic acid cocrystal.<p/>
J05 174 <h_><p_><*_>beta<*/> SHEET DNA BINDING PROTEINS<p/><h/>
J05 175 <p_>The methionine repressor controls its own gene as well as 
J05 176 structural genes for enzymes involved in the synthesis of 
J05 177 methionine. It is a protein with 104 amino acids and forms stable 
J05 178 dimers in solution. The structure had been determined by Phillips 
J05 179 and colleagues, and it consists of two highly intertwined monomers 
J05 180 that form a two-stranded antiparallel <*_>beta<*/> sheet with one 
J05 181 strand coming from each monomer (Rafferty <tf_>et al.<tf/>, 1989). 
J05 182 This <*_>beta<*/> sheet forms a protrusion on the surface of the 
J05 183 molecule. A similar structure has been deduced for the Arc 
J05 184 repressor based on NMR studies (Kaptain <tf_>et al.<tf/>, 1985). 
J05 185 Phillips has also solved the structure of the Met repressor bound 
J05 186 to a synthetic DNA fragment containing 18 base pairs (S. Phillips, 
J05 187 personal communication). The structure of the Met dimer is not 
J05 188 changed greatly by binding to the DNA, which is largely in the B 
J05 189 conformation. The two-stranded <*_>beta<*/> sheet of the repressor 
J05 190 is found in the major groove of the DNA with side chains from the 
J05 191 <*_>beta<*/> strands interacting with base pairs within the 
J05 192 operator sequences. These interactions are the base 
J05 193 sequence-specific interactions. The DNA itself is somewhat kinked 
J05 194 in the center of the operator sequence. That has the effect of 
J05 195 narrowing the major groove slightly so that it can form closer 
J05 196 bonding to the side chains of the <*_>beta<*/> sheet.<p/>
J05 197 <p_>The two-stranded <*_>beta<*/> sheet is thus another DNA binding 
J05 198 motif which, unlike the others mentioned above, does not use an 
J05 199 <*_>alpha<*/> helix for recognition but rather an extended 
J05 200 polypeptide chain.<p/>
J05 201 <p_>The listing of protein structural motifs that are involved in 
J05 202 recognizing DNA sequences (Table I) is necessarily incomplete.
J05 203 
J06   1 <#FROWN:J06\><h_><p_>II. EXPERIMENT<p/><h/>
J06   2 <p_>The molecular beam time-of-flight mass spectrometer (TOFMS) 
J06   3 used in this study is identical to that in Paper I, to which the 
J06   4 reader is referred. A given 
J06   5 C<sb_>6<sb/>H<sb_>6<sb/>-(CH<sb_>3<sb/>OH)<sb_>n<sb/> neutral 
J06   6 cluster size is selected for photoionization using resonance 
J06   7 enhancement through the S<sb_>0<sb/>-S<sb_>1<sb/> transitions of 
J06   8 the C<sb_>6<sb/>H<sb_>6<sb/> chromophore in the cluster. Resonant 
J06   9 two-photon ionization scans utilize the unfocused, doubled output 
J06  10 of an excimer-pumped dye laser. Typical peak UV laser powers are 
J06  11 3x10<sp_>5<sp/> W/cm<sp_>2<sp/>. Laser power studies indicate that 
J06  12 the observed product ions result from two-photon processes. 
J06  13 Relative product yields are determined from scans over the resonant 
J06  14 features of the reactant complex while simultaneously monitoring 
J06  15 ion signals from all relevant product mass channels using a 100 MHz 
J06  16 digital oscilloscope.<p/>
J06  17 <h_><p_>III. RESULTS<p/><h/>
J06  18 <p_>In Paper I, we reported on the spectroscopy of neutral 
J06  19 C<sb_>6<sb/>H<sb_>6<sb/>-(CH<sb_>3<sb/>OH)<sb_>n<sb/> clusters. In 
J06  20 that case, attention was focused on R2PI spectra taken monitoring 
J06  21 unreactive ion mass channels 
J06  22 [C<sb_>6<sb/>H<sb_>6<sb/>-(CH<sb_>3<sb/>OH)<sb_>n<sb/>]<sp_>+<sp/>. 
J06  23 Figures 1-3 present a series of scans over the same 
J06  24 6<sp_>1<sp/><sb_>0<sb/> region including scans monitoring mass 
J06  25 channels which arise from intracluster ion-molecule chemistry. As 
J06  26 is readily apparent from these spectra, resonant two-photon ionized 
J06  27 C<sb_>6<sb/>H<sb_>6<sb/>-(CH<sb_>3<sb/>OH)<sb_>n<sb/> clusters with 
J06  28 <tf|>n<*_>unch<*/>3 [Eq. (1)] react by dissociative electron 
J06  29 transfer (DET) to form (CH<sb_>3<sb/>HO)<sb_>n<sb/><sp_>+<sp/> [Eq. 
J06  30 (3)], while those with <tf|>n<*_>unch<*/>4 also undergo 
J06  31 dissociative proton transfer (DPT) to form 
J06  32 H<sp_>+<sp/>(CH<sb_>3<sb/>OH)<sb_>n<sb/> ions [Eq. (4)]. This 
J06  33 intracluster ion chemistry is completely absent from the resonantly 
J06  34 photoionized C<sb_>6<sb/>H<sb_>6<sb/>-(H<sb_>2<sb/>O)<sb_>n<sb/> 
J06  35 clusters and from 
J06  36 C<sb_>6<sb/>H<sb_>6<sb/>-(CH<sb_>3<sb/>OH)<sb_>n<sb/> with 
J06  37 <tf|>n<*_>unch<*/>2 [Fig. 1(b)]. In all cases, the ion chemistry 
J06  38 occurs in competition with fragmentation of the cluster [Eq. (2)] 
J06  39 via loss of one (or sometimes two) methanol molecules.<p/>
J06  40 <p_><O_>formulae<O/><p/>
J06  41 <p_>The dissociative electron transfer channel to form 
J06  42 [(CH<sb_>3<sb/>OH)<sb_>n<sb/><sp_>+<sp/>] is quite unexpected since 
J06  43 only protonated methanol cluster ions are observed in either 
J06  44 electron bombardment or photoionized pure methanol clusters. While 
J06  45 the resolution of our reflectron TOFMS is easily capable of 
J06  46 distinguishing protonated from unprotonated clusters 
J06  47 (<O_>formula<O/>), we have as an additional check carried out 
J06  48 resonant two-photon ionization (R2PI) scans using CH<sb_>3<sb/>OD 
J06  49 which confirm that the major product is 
J06  50 [(CH<sb_>3<sb/>OD)<sb_>n<sb/><sp_>+<sp/>] and not 
J06  51 [(CH<sb_>3<sb/>OD)<sb_>n<sb/>D]<sp_>+<sp/> or 
J06  52 [(CH<sb_>3<sb/>OD)<sb_>n<sb/>H]<sp_>+<sp/>.<p/>
J06  53 <p_>Figures 4 and 5 present the relative product yields for the 
J06  54 observed fragmentation, DET, and DPT channels following resonant 
J06  55 ionization through the 6<sp_>1<sp/><sb_>0<sb/> and <O_>formula<O/> 
J06  56 transitions of the 1:2, 1:3, 1:4, and 1:5 clusters. These yields 
J06  57 are obtained by integrating the peak intensities of the 
J06  58 6<sp_>1<sp/><sb_>0<sb/> or <O_>formula<O/> ion signals in the 
J06  59 relevant product channels in order to avoid nonresonant 
J06  60 contributions from the signal. The measurements at <O_>formula<O/> 
J06  61 increase the maximum internal energy in the cluster ion (determined 
J06  62 by the photon energy) by 5.2 kcal/mol from those using the 
J06  63 6<sp_>1<sp/><sb_>0<sb/> transition as the intermediate state.<p/>
J06  64 <p_><O_>figure&caption<O/><p/>
J06  65 <h_><p_>IV. DISCUSSION<p/><h/>
J06  66 <p_>One factor which plays a major role in determining the presence 
J06  67 and efficiency of a given product channel is the energetic 
J06  68 threshold for the channel relative to the internal energy of the 
J06  69 photoionized reactant cluster. In photoionization, a distribution 
J06  70 of ion internal energies is produced which reflect both direct 
J06  71 ionization and autoionization processes in the cluster. In the free 
J06  72 C<sb_>6<sb/>H<sb_>6<sb/> molecule, R2PI through the 
J06  73 6<sp_>1<sp/><sb_>0<sb/> transition reaches 8 kcal/mol above the 
J06  74 ionization threshold. In that case, the largely 
J06  75 <*_>DELTA<*/><*_>nu<*/>=0 Franck-Condon factors between the 
J06  76 <tf|>S<sb_>1<sb/> state of the neutral and the ground states of the 
J06  77 ion result in the electron taking away most of the excess energy as 
J06  78 kinetic energy.<p/>
J06  79 <p_><O_>figure&caption<O/><p/>
J06  80 <p_>In clusters, on the other hand, the nature and strength of the 
J06  81 intermolecular forces change significantly upon ionization, often 
J06  82 leading to very different lowest-energy structures for the neutral 
J06  83 and ionic clusters. This is particularly true for the present 
J06  84 clusters containing polar methanol molecules as solvent, where the 
J06  85 good Franck-Condon factors between the <tf|>S<sb_>1<sb/> state and 
J06  86 the ion are to regions of the ionic potential energy surface far 
J06  87 above the adiabatic ionization threshold for the cluster. As we saw 
J06  88 in Paper I, the efficient fragmentation of the photoionized 
J06  89 clusters is one result of the high ion internal energies produced. 
J06  90 Here, since the same photoionization process also initiates the 
J06  91 intracluster ion chemistry, we expect to form a distribution of 
J06  92 reactant cluster ion internal energies which favors ion internal 
J06  93 energies near the maximum allowed by the photon energy.<p/>
J06  94 <p_>Figures 6-8 present energy level diagrams reflecting our best 
J06  95 estimates of the energies of fragmentation, DET, and DPT product 
J06  96 thresholds relative to the maximum ion energies produced by 
J06  97 photoionization. Experimentally observed product channels are 
J06  98 highlighted by placing them in boxes. In the figures, the zero of 
J06  99 the energy level scales is taken to be the energy of the 
J06 100 <O_>formula<O/> asymptote. Table I collects the heats of formation 
J06 101 of the relevant species. The thermochemistry of the protonated 
J06 102 methanol clusters is known with good accuracy by virtue of several 
J06 103 studies of these clusters. The neutral cluster binding energies are 
J06 104 not known from experiment. We estimate them using the calculations 
J06 105 of Paper I after approximate correction for zero point energy 
J06 106 effects.<p/>
J06 107 <p_><O_>figure&caption<O/><p/>
J06 108 <p_>An upper bound for the energy of the DET channel [Eq. (3)] on 
J06 109 our relative scale is determined by the threshold for reaction 
J06 110 (5)<p/>
J06 111 <p_><O_>formula<O/><p/>
J06 112 <p_>whose thermochemistry is determined by well-known heats of 
J06 113 formation for all species. If the CH<sb_>3<sb/>O radical is formed 
J06 114 instead of CH<sb_>2<sb/>OH, the upper bound for DET would be 10 
J06 115 kcal/mol higher. We assume that the observation of 
J06 116 [(CH<sb_>3<sb/>OH)<sb_>n<sb/>]<sp_>+<sp/> ions in the present 
J06 117 experiment arises because there is an energetic barrier to breakup 
J06 118 of this ion to <O_>formula<O/>. The shaded region in the diagrams 
J06 119 place some reasonable bounds on the height of such a barrier (0-10 
J06 120 kcal/mol) and thus loosely brackets the threshold for DET.<p/>
J06 121 <p_><O_>figure&caption<O/><p/>
J06 122 <h_><p_>A. The 1:2 cluster<p/><h/>
J06 123 <p_>As Fig. 4 indicates, the only observed product channel in 
J06 124 one-color R2PI of the 1:2 cluster is fragmentation via loss of a 
J06 125 single CH<sb_>3<sb/>OH to form <O_>formula<O/>. Fragmentation is 
J06 126 86% <*_>unch<*/> 5% efficient using the 6<sp_>1<sp/> level of the 
J06 127 <tf|>S<sb_>1<sb/>state as the intermediate state and 80% 
J06 128 <*_>unch<*/> 10% efficient at 0<sp_>0<sp/>, despite our use of 
J06 129 laser powers for which three-photon contributions to the ion 
J06 130 signals are negligible. The small change in the percentage of 
J06 131 fragmentation accompanying the 3 kcal/mol increase in the 
J06 132 two-photon energy confirms the notion that most of the cluster ions 
J06 133 have an internal energy near the two-photon energy in Fig. 4, well 
J06 134 in excess of the <O_>formula<O/> dissociation asymptote in both the 
J06 135 O<sp_>0<sp/> and 6<sp_>1<sp/> scans. Loss of CH<sb_>3<sb/>OH from 
J06 136 the ionic cluster occurs on a time scale fast compared to movement 
J06 137 of the cluster ion in the ion source (<tf|>t<1<*_>mu<*/>s), since 
J06 138 no asymmetry is observed in the arrival time profile of the parent 
J06 139 or fragment. Fragmentation occurs almost exclusively by loss of a 
J06 140 methanol monomer rather than a methanol dimer, despite the fact 
J06 141 that the latter channel should be accessible to many of the 
J06 142 clusters. This favoring of evaporative loss of monomer units has 
J06 143 been a trademark of cluster fragmentation in many types of 
J06 144 clusters.<p/>
J06 145 <p_><O_>figures&captions<O/><p/>
J06 146 <p_>The lack of ion-molecule chemistry in the <O_>formula<O/> 
J06 147 cluster appears to be a direct consequence of energetic 
J06 148 constraints. Dissociative electron transfer, which is the 
J06 149 dominating reaction channel in higher clusters, is predicted to be 
J06 150 endothermic in R2PI through 6<sp_>1<sp/> (Fig. 6). This is the case 
J06 151 because the ionization potential of CH<sb_>3<sb/>OH is some 37 
J06 152 kcal/mol above that for C<sb_>6<sb/>H<sb_>6<sb/> (Table I), so that 
J06 153 even with the stabilization of CH<sb_>3<sb/>OH<sp_>+<sp/> provided 
J06 154 by a second methanol molecule, formation of 
J06 155 [(CH<sb_>3<sb/>OH)<sb_>2<sb/>]<sp_>+<sp/> is still endothermic. 
J06 156 Similarly, the high proton affinity of C<sb_>6<sb/>H<sb_>5<sb/> 
J06 157 (which clearly precludes proton transfer of 
J06 158 C<sb_>6<sb/>H<sb_>6<sb/><sp_>+<sp/> to CH<sb_>3<sb/>OH) is nearly 
J06 159 thermoneutral for transfer to (CH<sb_>3<sb/>OH)<sb_>2<sb/> (see 
J06 160 Table I and Fig. 6). Hence it is not surprising that no reaction 
J06 161 products beside fragmentations are observed in the 1:2 clusters.<p/>
J06 162 <h_><p_>B. The 1:3 cluster<p/><h/>
J06 163 <p_>The <O_>formula<O/> cluster ion is the smallest sized 
J06 164 1:<tf_>n<tf/> cluster to undergo intrascluster ion-molecule 
J06 165 chemistry. The appearance of 
J06 166 [(CH<sb_>3<sb/>OH)<sb_>3<sb/>)]<sp_>+<sp/> (i.e., mass 96) is 
J06 167 consistent with the energy level diagram of Fig. 7 which shows that 
J06 168 the asymptote for DET is now well below the maximum ion internal 
J06 169 energy produced in R2PI. Nevertheless, DET is still only a minor 
J06 170 channel (6%) which competes only poorly with fragmentation via loss 
J06 171 of CH<sb_>3<sb/>OH (94%).<p/>
J06 172 <h_><p_>1. The formation of 
J06 173 [(CH<sb_>3<sb/>OH)<sb_>3<sb/>]<sp_>+<sp/><p/><h/>
J06 174 <p_>The formation of a reaction product at mass 96 is notable for 
J06 175 being exclusively the unprotonated methanol cluster ion. As 
J06 176 mentioned earlier, when pure methanol clusters are either electron 
J06 177 bombardment or photoionized, only protonated cluster ions are 
J06 178 observed due to exothermic ion-molecule reactions of the type<p/>
J06 179 <p_><O_>formulae<O/><p/>
J06 180 <p_>The bimolecular analogs of these reactions<p/>
J06 181 <p_><O_>formula<O/><p/>
J06 182 <p_>are exothermic by 24 and 14 kcal/mol, respectively. Both these 
J06 183 facts suggest that the initially unprotonated cluster ions would be 
J06 184 inherently unstable with respect to loss of CH<sb_>2<sb/>OH or 
J06 185 CH<sb_>3<sb/>O. However, in recent experiments by Vaidyanathan 
J06 186 <tf_>et al.<tf/>, electron bombardment ionization of 
J06 187 Ar/CH<sb_>3<sb/>OH heteroclusters has successfully produced 
J06 188 significant quantities of unprotonated <O_>formula<O/> ions via 
J06 189 intracluster Penning ionization involving high-lying states of the 
J06 190 argon neutrals. The present study offers a second example of the 
J06 191 formation of unprotonated methanol cluster ions, this time mediated 
J06 192 by C<sb_>6<sb/>H<sb_>6<sb/>. The attachment of the methanol 
J06 193 clusters to a C<sb_>6<sb/>H<sb_>6<sb/> chromophore offers an 
J06 194 extremely gentle means of producing unprotonated 
J06 195 M<sb_>n<sb/><sp_>+<sp/> clusters by photoionizing the cluster with 
J06 196 only 9.60 eV energy via the C<sb_>6<sb/>H<sb_>6<sb/> chromophore. 
J06 197 In the case of the 1:3 cluster, the unprotonated 
J06 198 M<sb_>3<sb/><sp_>+<sp/> products can be formed completely free from 
J06 199 interference from protonated clusters. This mechanism thus provides 
J06 200 a route producing the novel M<sb_>n<sb/><sp_>+<sp/> cluster ions 
J06 201 for subsequent spectroscopic and mass spectrometric study.<p/>
J06 202 <p_>The formation of the DET product M<sb_>3<sb/><sp_>+<sp/> (M = 
J06 203 methanol) provides supporting evidence for the neutral 
J06 204 C<sb_>6<sb/>H<sb_>6<sb/>-M<sb_>3<sb/> cluster possessing a 
J06 205 structure composed of hydrogen-bonded methanols all attached to the 
J06 206 same side of the benzene ring (Paper I). It seems unlikely that DET 
J06 207 to form M<sb_>3<sb/><sp_>+<sp/> would occur from an initial 
J06 208 geometry in which methanol molecules are on both sides of the 
J06 209 benzene ring rather than as an aggregate on the same side.<p/>
J06 210 <p_>The structure of the mass 96 ion is not determined in the 
J06 211 present work. However, it seems likely that the 
J06 212 M<sb_>3<sb/><sp_>+<sp/> cluster exists either as <O_>formula<O/> or 
J06 213 as <O_>formula<O/> in which proton transfer within the methanol 
J06 214 cluster has occurred with cluster energy insufficient to allow its 
J06 215 breakup to form the protonated M<sb_>2<sb/>H<sp_>+<sp/> ion. Loss 
J06 216 of the C<sb_>6<sb/>H<sb_>6<sb/> molecule form the cluster provides 
J06 217 the means by which the M<sb_>3<sb/><sp_>+<sp/> ion is stabilized 
J06 218 below its M<sb_>2<sb/>H + CH<sb_>2<sb/>OH/CH<sb_>3<sb/>O 
J06 219 dissociation asymptote.<p/>
J06 220 <p_>The only energetically allowed channel which competes 
J06 221 successfully with DET is fragmentation to form <O_>formula<O/>, 
J06 222 which dominates the product distribution (94%). No parent 1:3 
J06 223 cluster ions are observed in our experiment. Thus the observed 
J06 224 processes are the following:<p/>
J06 225 <p_><O_>formulae<O/><p/>
J06 226 <p_>One could imagine two limiting cases for the competition 
J06 227 between DET and fragmentation. In one limit, the energy dependence 
J06 228 of the rate constants is either small enough or similar enough in 
J06 229 the two channels that the observed product distribution directly 
J06 230 reflects the relative magnitudes of the rate constants for 
J06 231 fragmentation and DET; i.e., the product yields are kinetically 
J06 232 controlled. In this case, the rate of fragmentation would provide 
J06 233 and 'internal clock' for the DET reaction if it could be determined 
J06 234 by other means.<p/>
J06 235 <p_>In the second limit, the observed product distribution will 
J06 236 reflect energetic constraints rather than kinetics. This would 
J06 237 occur if <tf|>k<sb_>frag<sb/>(E) is much greater then 
J06 238 <tf|>k<sb_>DET<sb/>(E) for energies where fragmentation can occur. 
J06 239 Then all cluster ions with internal energies above the 
J06 240 fragmentation threshold would undergo fragmentation, while the 
J06 241 remaining, lower energy cluster ions would react via DET. More 
J06 242 complete control over the ion internal energies produced or 
J06 243 detected (e.g., via photoelectron-photoion coincidence 
J06 244 measurements) will be required before the energy dependences of the 
J06 245 reaction rates can be determined unambiguously.<p/>
J06 246 <h_><p_>2. Reactions which are not observed<p/><h/>
J06 247 <p_>The formation of unprotonated M<sb_>3<sb/><sp_>+<sp/> ions is 
J06 248 unusual in a second respect - it occurs to the exclusion of several 
J06 249 other energetically open channels, most notably those involving 
J06 250 dissociative proton transfer [Eq. (4)]. Careful searches for the 
J06 251 DPT products <O_>formula<O/> and <O_>formula<O/>, or the 
J06 252 CH<sb_>2<sb/>OH loss channel to produce <O_>formula<O/> place upper 
J06 253 bounds on these channels at less than 1% of the 1:2 fragment 
J06 254 channel (Fig. 4), nearly ten times less than the observed yield of 
J06 255 DET products.<p/>
J06 256 <p_>Again, energetics could play a significant role in suppressing 
J06 257 the proton transfer channels if the rate constants for the product 
J06 258 channels were sensitively dependent on their exothermicity.
J06 259 
J07   1 <#FROWN:J07\><p_>Let's briefly examine what this might do. If the 
J07   2 acceleration is <tf|>a, the change in the potential energy is 
J07   3 <O_>formula<O/> and the total kinetic energy gained is 
J07   4 <O_>formula<O/>. Here the rate of growth is<*_>tau<*/><sp_>-1<sp/> 
J07   5 and <*_>delta<*/><tf|>z is the displacement. Then the growth time 
J07   6 scale is given by<p/>
J07   7 <p_><O_>formula<O/><p/>
J07   8 <p_>where <tf|>k<*_>approximate-sign<*/><tf|>z<sp_>-1<sp/> is the 
J07   9 wave number for the disturbance (assuming that the wavelength is of 
J07  10 order <tf|>z). The instability is guaranteed if the density 
J07  11 gradient is in the opposite direction to the local acceleration. 
J07  12 Now by noting that any acceleration is locally equivalent to 
J07  13 gravitation (this is after all the basis of general relativity), we 
J07  14 can replace <tf|>a by <*_>DELTA<*/><tf|>P, the pressure jump across 
J07  15 the shock front at the wind-wind interface. We could also use 
J07  16 <tf|>g<sb_>eff<sb/>, the effective gravity including radiation 
J07  17 pressure. Let's concentrate on the first choice. Across a shock, 
J07  18 which moves with a speed <tf|>v<sb_><*_>SIGMA<*/><sb/> into the 
J07  19 surrounding gas, the pressure is given by<p/>
J07  20 <p_><O_>formula<O/><p/>
J07  21 <p_>For a perfect gas this is larger on the postshocked side and 
J07  22 the pressure jump is <O_>formula<O/>. The interface is unstable to 
J07  23 the formation of knots and blobs. As we have already discussed, as 
J07  24 these rise, they tend to show induced vorticity and develop the 
J07  25 characteristically mushroom-shaped structures so 
J07  26 <}_><-|>familar<+|>familiar<}/> from both violent explosions (like 
J07  27 nuclear blasts) and simulations of supernova envelopes. This same 
J07  28 condition will certainly prevail during the formation of planetary 
J07  29 nebulae, and the wind-wind collision should generate stringy and 
J07  30 bloblike structures because of this instability. If optically 
J07  31 thick, they will shadow the material in the slow wind, and the 
J07  32 result is that low ionization regions should be mixed into the H II 
J07  33 region. One expectation is that in any of the blastlike expansions, 
J07  34 be they Wolf-Rayet winds, planetary nebulae, or supernova remnants, 
J07  35 it should be possible to see the effects of the wind collision 
J07  36 preserved in these structures.<p/>
J07  37 <h_><p_>8.7 Accretion Disks in Astrophysics<p/><h/>
J07  38 <h_><p_>8.7.1 Some Observational Motivations<p/><h/>
J07  39 <p_>We have invoked binary systems frequently in this chapter, and 
J07  40 it is therefore appropriate to end it with a discussion of a most 
J07  41 interesting confluence of rotation and viscosity, namely accretion 
J07  42 disks around massive objects. But first, before launching into an 
J07  43 extended expos<*_>e-acute<*/> of the properties of the disks 
J07  44 themselves, let's examine the conditions under which rotating 
J07  45 accretion flows may arise.<p/>
J07  46 <p_>For many binaries, especially ones of long period, this is 
J07  47 precisely what is observed. The more evolved star really is the 
J07  48 more massive. In the case of Algol (<*_>beta<*/> Persei), an 
J07  49 extremely well-studied star and the first discovered eclipsing 
J07  50 binary, just the opposite is observed. Algol consists of a G giant 
J07  51 and a B main sequence star. The mass ratio is 
J07  52 <*_>approximate-sign<*/>3, <tf_>but in favor of the main sequence B 
J07  53 star<tf/>. The orbital period is short, less than 3 days. the light 
J07  54 curve data and modeling the equilibrium shapes of the stars show 
J07  55 that the red subgiant completely fills its Roche surface. This is 
J07  56 the limiting surface for tidal interaction, given approximately 
J07  57 by<p/>
J07  58 <p_><O_>formula<O/><p/>
J07  59 <p_>where <tf|>a is the semimajor axis given by Kepler's law 
J07  60 <O_>formula<O/> for circular orbits, <tf|>q is the mass ratio, and 
J07  61 <tf|>M is the total mass of the system. The reason for the peculiar 
J07  62 mass of the red giant is that it has been significantly altered by 
J07  63 mass loss from the binary system and by mass transfer onto the main 
J07  64 sequence star. The fact that this is still going on, in both this 
J07  65 and related <tf|>semidetached systems (the term comes from the fact 
J07  66 that only one of the stars is in contact with the critical 
J07  67 surface), means that accretion flows onto the companion have played 
J07  68 a role in the orbital dynamics and that this has fed back into the 
J07  69 stellar evolution through the alteration of the mass and boundary 
J07  70 conditions on the stars. The observation, for a number of these 
J07  71 stars, of emission lines which are formed in a Keplerian disk 
J07  72 surrounding one of the components adds fuel to the argument, 
J07  73 although in Algol it does not appear that an extensive accretion 
J07  74 disk is observed.<p/>
J07  75 <h_><p_>8.7.2 Flow through the Inner Lagrangian Point<p/><h/>
J07  76 <p_>First, a binary system, that is, a close system, is one that is 
J07  77 not spherically symmetric. The presence of the companion star, as 
J07  78 well as the rotation of the mass-losing star due to spin-orbit 
J07  79 coupling, produces immediate departures from sphericity. To see 
J07  80 what happens to the mass transfer at the inner Lagrangian point, 
J07  81 also called <tf|>L<sb_>1<sb/>, we need to consider the flow of 
J07  82 material in a potential that switches sign at some point in the 
J07  83 flow (see Fig. 8.4).<p/>
J07  84 <p_>Let's look back at the spherical case for a moment. The mass 
J07  85 loss is driven by the combined effect of pressure gradient and 
J07  86 retardation due to gravity. At some point, where the outward 
J07  87 driving becomes strong enough relative to gravity, the material 
J07  88 coasts at the sound speed and then accelerates as the gravitational 
J07  89 acceleration continues to fall off. In other words, the reason the 
J07  90 effective gravity vanishes is that at some point, <tf|>g is 
J07  91 balanced by <*_>unch<*/><tf|>p. But what about other possible 
J07  92 cases? We've already seen that if <tf|>g is balanced by 
J07  93 <*_>unch<*/><tf|>p<sb_>rad<sb/>, or at some point <tf|>g(1 - 
J07  94 <*_>GAMMA<*/>) vanishes, then the material becomes supersonic and a 
J07  95 strong wind. Both of these depend on the presence of a pressure 
J07  96 gradient to do the job of producing a sign change in the 
J07  97 acceleration. The alternative is to say that the gravity itself 
J07  98 reverses sign, something impossible for a single star but normal 
J07  99 for a close binary. Put differently, imagine that the potential is 
J07 100 taken to be<p/>
J07 101 <p_><O_>formula<O/><p/>
J07 102 <p_>in the vicinity of the <tf|>L<sb_>1<sb/> point. The problem can 
J07 103 be rendered one dimensional if we assume that we look at the flow 
J07 104 only in the vicinity of the Lagrangian point and that the system is 
J07 105 not so rapidly rotating that the Coriolis deviation of the flow is 
J07 106 large compared with rectilinear flow. This means that 
J07 107 <*_>OMEGA<*/><<tf|>u', where the prime denotes the spatial 
J07 108 derivative of the velocity.<p/>
J07 109 <p_><O_>figure&caption<O/><p/>
J07 110 <p_>The fact that the equation of motion can be written as<p/>
J07 111 <p_><O_>formula<O/><p/>
J07 112 <p_>means that we can apply the same condition that we had in the 
J07 113 spherical Parker wind solution. Take a look at the flow through a 
J07 114 small region around the <tf|>L<sb_>1<sb/> point. The equipotentials 
J07 115 on either side of <tf|>L<sb_>1<sb/>, along the line of centers, 
J07 116 give a local critical point to the flow. This is because there is a 
J07 117 local maximum in the gravitational field. Perpendicular to the line 
J07 118 of centers the gradient has a local minimum. (See Fig. 8.5.) The 
J07 119 <tf|>L<sb_>1<sb/> point is a saddle point in the gravitational 
J07 120 potential; the gravitational acceleration changes sing on crossing 
J07 121 this point. For the case of one-dimensional flow, this has the same 
J07 122 effect as the changing gravitational acceleration relative to the 
J07 123 pressure gradient. The critical condition for stream formation is 
J07 124 similar to the Parker solution; that is, <tf|>u = <tf|>a<sb_>s<sb/> 
J07 125 at <tf|>L<sb_>1<sb/>. Thereafter, as the gravitational field 
J07 126 increases toward the secondary, the flow accelerates. As material 
J07 127 is forced through this point, it has the same effect as the passage 
J07 128 through the <tf|>g<sb_>eff<sb/> = 0 point in a spherical wind. The 
J07 129 pressure gradient does not vanish, so the material is accelerated 
J07 130 and the sound speed is reached, after which the flow is ballistic 
J07 131 toward the secondary. Stream formation is important because it 
J07 132 transfers material with high specific angular momentum toward the 
J07 133 accreting star. Once in the vicinity of the companion, the matter 
J07 134 forms an accretion disk, the details of which we shall now 
J07 135 discuss.<p/>
J07 136 <p_><O_>figure&caption<O/><p/>
J07 137 <h_><p_>8.7.3 Some Consequences of Mass Transfer<p/><h/>
J07 138 <p_>The observation of tidal distortion leads immediately to 
J07 139 important hydrodynamic consequences. The existence of the Roche 
J07 140 surface in general, and the limiting radius in particular, is the 
J07 141 result of the three-body problem. The inner Lagrangian point, 
J07 142 <tf|>L<sb_>1<sb/>, is the point along the line of centers at which 
J07 143 the effective gravitational acceleration vanishes. However, since 
J07 144 the pressure does not vanish even though the gravitational 
J07 145 acceleration does, matter will be forced to exit through this 
J07 146 region and begin to flow to the other star. In effect, we have set 
J07 147 up the de Laval nozzle problem from Chapter 1. The variation in the 
J07 148 effective gravity acts like the nozzle (although without many 
J07 149 material walls) to accelerate the flow through the sonic point and 
J07 150 eventually to hypersonic speeds. The matter carries some net 
J07 151 angular momentum because the <tf|>L<sb_>1<sb/> point is generally 
J07 152 not at the center of mass, and therefore the deviation of the flow 
J07 153 and its acceleration toward the companion produce an accretion 
J07 154 disk.<p/>
J07 155 <p_>The stream must eventually rid itself of this excess angular 
J07 156 momentum before it can accrete onto the companion even for direct 
J07 157 impact. Several mechanisms are available, probably all of which 
J07 158 operate somewhere in the universe. One is turbulent viscosity. That 
J07 159 is the one we shall mainly deal with here. Another is magnetic 
J07 160 breaking. If the material forms a disk that becomes 
J07 161 Kelvin-Helmholtz unstable at the boundary of a stellar 
J07 162 magnetosphere, blobs may be formed that accrete onto the companion. 
J07 163 The process is certainly not well understood but can be simulated 
J07 164 for neutron star accretion and is well established as a scenario. 
J07 165 For direct impact, the stream may submerge and pump angular 
J07 166 momentum into a deeply generated boundary layer.<p/>
J07 167 <p_>The final mechanism is spiral shocks. Since the matter falls 
J07 168 into the disk with excess angular momentum and drives spiral waves 
J07 169 in the disk, these may form stable circulating structures that 
J07 170 serve to deviate the flow onto the companion and dissipate energy 
J07 171 and momentum. (See Fig. 8.6.) Presently, however, the details of 
J07 172 the accretion process are the most schematic parts of accretion 
J07 173 disk theory. This is a pity, because these details contain 
J07 174 virtually all of the essential physics.<p/>
J07 175 <p_>If the mass-accreting star is a compact object, like a white 
J07 176 dwarf, neutron star, or black hole, the disks reach temperatures 
J07 177 considerably higher than for main sequence stars. The simple reason 
J07 178 is that the gravitational well around the accreting object is very 
J07 179 deep and the energy source for the dynamics is consequently 
J07 180 greater. Any dissipative processes fed by the global circulation 
J07 181 will therefore find a very large reservoir of energy which can be 
J07 182 tapped, and the resulting emission of radiation can take place in 
J07 183 the ultraviolet or even the x-ray. It was the latter wavelength 
J07 184 region, observed with satellites like Uhuru and Einstein, that 
J07 185 first signaled the presence of accretion disks around neutron stars 
J07 186 like Hercules X-1 = HZ Her and black holes like Cygnus X-1 = HD 
J07 187 226868. The added discovery that the optical counterparts of these 
J07 188 and other galactic x-ray sources are spectroscopic binaries and the 
J07 189 observation of optical emission lines which tracked the compact 
J07 190 star clinch the argument for accretion powering the radiation.<p/>
J07 191 <p_><O_>figure&caption<O/><p/>
J07 192 <p_>The observation of strong emission lines arising in a very 
J07 193 compact region in the cores of active galaxies like quasars and 
J07 194 Seyferts also indicates that accretion can occur on a scale of 
J07 195 extremely massive but otherwise 'single' collapsed objects. These 
J07 196 galaxies have emission line widths indicative of velocities of 
J07 197 order 1000 to 10<sp_>4<sp/> km s<sp_>-1<sp/> coming from a region 
J07 198 less than 1 pc across. The temperature of the regions, indicated by 
J07 199 the presence of extremely high radiation rates for x-rays, argues 
J07 200 that accretion flow around a black hole is the likely source of the 
J07 201 observed luminosity.<p/>
J07 202 <p_>In light of these observations, and because the range of 
J07 203 physics required for an understanding of such flows touches on 
J07 204 virtually all aspects of astrophysical hydrodynamics, we will 
J07 205 discuss accretion disk theory at some length.<p/>
J07 206 <h_><p_>8.7.4 Heating the Disks: Dissipation and Viscous 
J07 207 Torques<p/><h/>
J07 208 <p_>We first take up the question of the effect of the generation 
J07 209 of energy by the shearing within the disk due to its differential 
J07 210 rotation. Recall that the viscous energy dissipation rate is given 
J07 211 by<p/>
J07 212 <p_><O_>formula<O/><p/>
J07 213 <p_>where <tf|>T<sb_>ij<sb/> is the stress tensor and 
J07 214 <*_>sigma<*/><sb_>ij<sb/> is the shear. The shear for an 
J07 215 axi<?_>-<?/>symmetric system is given by <O_>formula<O/>. The 
J07 216 negative sign in the second term comes from <O_>formula<O/>. In 
J07 217 light of the previous discussion, the disk is Keplerian, and since 
J07 218 the angular frequency is given by <O_>formula<O/>, the shear is 
J07 219 <O_>formula<O/>. Since the shear varies with radius for such a 
J07 220 disk, so does the rate of energy generation.
J07 221 
J08   1 <#FROWN:J08\><h_><p_>Global Warming and Potential Changes in 
J08   2 Host-Parasite and Disease-Vector Relationships<p/>
J08   3 <p_>ANDREW DOBSON AND ROBIN CARPER<p/>
J08   4 <p_>I. INTRODUCTION<p/><h/>
J08   5 <p_>Parasitology has always been a discipline in which purely 
J08   6 academic studies of the evolution of parasites and their life 
J08   7 cycles have progressed as a necessary complement to the study of 
J08   8 the pathology and control of the major tropical diseases of humans 
J08   9 and their livestock. Indeed, the most striking feature of 
J08  10 parasitology is the diversity of parasites in the warm tropical 
J08  11 regions of the world and the frightening levels of debilitation and 
J08  12 misery they cause. Determining how long-term climatic changes will 
J08  13 affect the distributions of different parasites and pathogens at 
J08  14 first seems a daunting task that almost defies quantification. 
J08  15 Nevertheless, as parasitologists have always been concerned with 
J08  16 the influence of climatological effects on different parasite 
J08  17 species, it is possible to begin to speculate on the ways that 
J08  18 global warming might affect the distributions of some specific 
J08  19 tropical diseases. Similarly, the study of parasite population 
J08  20 dynamics has developed within a solid theoretical framework 
J08  21 (Anderson and May 1979, May and Anderson 1979). This permits the 
J08  22 development of quantitative speculation in more general studies 
J08  23 concerned with how parasite-host interactions may respond to 
J08  24 perturbation.<p/>
J08  25 <p_>This chapter addresses both general questions about the 
J08  26 response of parasite-host systems to long-term climatic changes and 
J08  27 the specific response of one particular pathogen, <tf|>Trypanosoma, 
J08  28 to the changes in climate predicted for the next hundred years.<p/>
J08  29 <h_><p_>A. Macroparasites and Microparasites<p/><h/>
J08  30 <p_>Current estimates suggest that parasitism of one form or 
J08  31 another may be the most common life-history strategy in at least 
J08  32 three of the five major phylogenetic kingdoms (May 1988, Toft 
J08  33 1986). The enormous array of pathogens that infect humans and other 
J08  34 animals may be conveniently divided on epidemiological grounds into 
J08  35 microparasites and macroparasites (Anderson and May 1979, May and 
J08  36 Anderson 1979). The former include the viruses, bacteria, and fungi 
J08  37 and are characterized by their ability to reproduce directly within 
J08  38 individual hosts, their small size and relatively short duration of 
J08  39 infection, and the production of an immune response in infected and 
J08  40 recovered individuals. Mathematical models examining the dynamics 
J08  41 of microparasites divide the host population into susceptible, 
J08  42 infected, and recovered classes. In contrast, the macroparasites 
J08  43 (the parasitic helminths and arthropods) do not multiply directly 
J08  44 within an infected individual but instead produce infective stages 
J08  45 that usually pass out of the host before transmission to another 
J08  46 host. Macroparasites tend to produce a limited immune response in 
J08  47 infected hosts; they are relatively long-lived and usually visible 
J08  48 to the naked eye. Mathematical models of the population dynamics of 
J08  49 macroparasites have to consider the statistical distribution of 
J08  50 parasites within the host population.<p/>
J08  51 <h_><p_>B. Direct and Indirect Life Cycles<p/><h/>
J08  52 <p_>A second division of parasite life histories distinguishes 
J08  53 between those species with monoxenic life cycles and those with 
J08  54 heteroxenic life cycles. The former produce infective stages that 
J08  55 can directly infect another susceptible definitive host individual. 
J08  56 Heteroxenic species utilize a number of intermediate hosts or 
J08  57 vectors in their transmission between definitive hosts. The 
J08  58 evolution of complex heteroxenic life cycles permits parasite 
J08  59 species to colonize hosts from a wide range of ephemeral and 
J08  60 permanent environments, while also permitting them to exploit host 
J08  61 populations at lower population densities than would be possible 
J08  62 with simple direct transmission (Anderson 1988, Dobson 1988, 
J08  63 Mackiewicz 1988, Shoop 1988). However, heteroxenic life cycles 
J08  64 essentially confine the parasite to areas where the distribution of 
J08  65 all the hosts in the life cycle overlap. Shifts in the distribution 
J08  66 of these host species due to climatic changes, will therefore be 
J08  67 important in determining the areas where parasites may persist and 
J08  68 areas where parasites may be able to colonize new hosts.<p/>
J08  69 <h_><p_>C. Aquatic and Terrestrial Hosts<p/><h/>
J08  70 <p_>Climatic changes are likely to have different effects on 
J08  71 aquatic and terrestrial environments (chapter 24). The heteroxenic 
J08  72 life cycles of some parasite species often allow them to utilize 
J08  73 hosts sequentially from either type of habitat. It is thus 
J08  74 important to determine the different responses of the terrestrial 
J08  75 and aquatic stages of a parasite's life cycle to climatic change. 
J08  76 That, along with an examination of other parasite responses to 
J08  77 climatic change, demands a quantitative framework within which to 
J08  78 discuss parasite life-history strategies.<p/>
J08  79 <h_><p_>II. PARASITE LIFE-HISTORY STRATEGIES<p/><h/>
J08  80 <p_>The complexities of parasite host population dynamics may be 
J08  81 reduced by the derivation of expressions that describe the most 
J08  82 important epidemiological features of a parasite's life cycle 
J08  83 (Anderson and May 1979, May and Anderson 1979, Dobson 1988). Three 
J08  84 parameters are important in describing the dynamics of a pathogen: 
J08  85 the rate it will spread in a population, the threshold number of 
J08  86 hosts required for the parasite to establish, and the mean levels 
J08  87 of infection for the parasite in the host population.<p/>
J08  88 <p_><tf_>Basic reproductive rate of a parasite,<tf/> Ro: The basic 
J08  89 reproductive rate, <tf|>Ro, of a microparasite may be formally 
J08  90 defined as the number of new infections that a solitary infected 
J08  91 individual is able to produce in a population of susceptible hosts 
J08  92 (Anderson and May 1979). In contrast, <tf|>Ro for a macroparasite 
J08  93 is defined as the number of daughters that are established in a 
J08  94 host population following the introduction of a solitary fertilized 
J08  95 female worm. In both cases the resultant expression for <tf|>Ro 
J08  96 usually consists of a term for the rates of parasite transmission 
J08  97 divided by an expression for the rate of mortality of the parasite 
J08  98 in each stage in the life cycle (Dobson 1989). Increases in host 
J08  99 population size or rates of transmission tend to increase <tf|>Ro, 
J08 100 and increases in parasite virulence or other sources of parasite 
J08 101 mortality tend to reduce the spread of the pathogen through the 
J08 102 population.<p/>
J08 103 <p_><tf_>Threshold for establishment,<tf/> H<sb_>T<sb/>: The 
J08 104 threshold for establishment of a parasite, <tf|>H<sb_>T<sb/>, is 
J08 105 the minimum number of hosts required to sustain an infection of the 
J08 106 pathogen. An expression for <tf|>H<sb_>T<sb/>, may be obtained by 
J08 107 rearranging the expression for <tf|>Ro to find the population 
J08 108 density at which <tf|>Ro equals unity. This may be done for both 
J08 109 micro- and macroparasites with either simple or complex life 
J08 110 cycles. The resultant expressions suggest that changes in the 
J08 111 parameters that tend to increase <tf|>Ro tend to reduce 
J08 112 <tf|>H<sb_>T<sb/>, and vice versa. Although many virulent species 
J08 113 require large populations to sustain 
J08 114 <}_><-|>themselvles<+|>themselves<}/>, reductions in the mortality 
J08 115 rate of transmission stages may allow parasites to compensate for 
J08 116 increased virulence and maintain infections in populations 
J08 117 previously too small to sustain them.<p/>
J08 118 <p_><tf_>Mean prevalence and burden at equilibrium:<tf/> It is also 
J08 119 possible to derive expressions for the levels of prevalence 
J08 120 (proportion of the hosts infected) and incidence (mean parasite 
J08 121 burden) of parasites in the host populations. In general, 
J08 122 parameters that tend to increase <tf|>Ro also tend to give 
J08 123 increases in the proportion of hosts infected by a microparasite 
J08 124 and increases in the mean levels of abundance of any particular 
J08 125 macroparasite (Anderson and May 1979, May and Anderson 1979, Dobson 
J08 126 1988). Most important, increases in the size of the host population 
J08 127 usually lead to increases in the prevalence and incidence of the 
J08 128 parasite population (fig. 16.1).<p/>
J08 129 <p_>These expressions, which characterize the most important 
J08 130 features of a parasite's interaction with its host at the 
J08 131 population level, can be used to ascertain how parasites with 
J08 132 different life cycles will respond to long-term climatic changes. 
J08 133 This may best be undertaken by determining which stages of the life 
J08 134 cycles are most susceptible to climatic variation and by 
J08 135 quantifying the response of those stages to climatic change.<p/>
J08 136 <p_><O_>figure&caption<O/><p/>
J08 137 <h_><p_>III. EFFECT OF TEMPERATURE ON PARASITE TRANSMISSION 
J08 138 RATES<p/><h/>
J08 139 <p_>The physiology of adult parasites is intimately linked with the 
J08 140 physiology of their hosts. Providing the hosts can withstand 
J08 141 environmental changes, it seems unlikely that the 
J08 142 within<?_>-<?/>host component of the parasite life cycle will be 
J08 143 significantly affected. However, any form of increased stress on 
J08 144 the host may lead to increase in rates of parasite-induced host 
J08 145 mortality (Esch et al. 1975). In the absence of data from the 
J08 146 specific experimental studies that could throw considerable light 
J08 147 on these relationships, this study will concentrate on the effect 
J08 148 of changes in meteorological factors on the free-living infective 
J08 149 stages of different groups of parasites.<p/>
J08 150 <h_><p_>A. Parasites with Aquatic Transmission Stages<p/><h/>
J08 151 <p_>Several detailed laboratory studies have examined the effect of 
J08 152 temperature on the transmission success of parasites with aquatic 
J08 153 infective stages. The parasitic trematodes are probably the most 
J08 154 important class of parasites to utilize an aquatic stage for at 
J08 155 least part of their life cycle. The data presented in figure 16.2 
J08 156 are for an echinostome species that is a parasite of ducks. 
J08 157 Increased temperature leads to increased mortality of the larval 
J08 158 infective stages of the parasite. It also leads to increased 
J08 159 infectivity of the larval stage. The interaction between larval 
J08 160 infectivity and survival means that net transmission efficiency 
J08 161 peaks at some intermediate temperature but remains relatively 
J08 162 efficient over a broad range of values 
J08 163 (16<*_>degree<*/>-36<*_>degree<*/>C for <tf_>Echinostoma liei<tf/> 
J08 164 cercariae; fig. 16.2). These synergistic interactions between the 
J08 165 different physiological processes determining survival and 
J08 166 infectivity allow the aquatic parasites to infect hosts at a 
J08 167 relatively constant rate over the entire spectrum of water 
J08 168 temperatures that they are likely to experience in their natural 
J08 169 habitats (Evans 1985).<p/>
J08 170 <h_><p_>B. Poikilothermic Hosts<p/><h/>
J08 171 <p_>The effect of temperature on the developmental rate of 
J08 172 parasites in both aquatic and terrestrial hosts has been examined 
J08 173 for several of the major parasites of humans in the tropics. In 
J08 174 contrast to the effect on transmission efficiency, increases in 
J08 175 temperature usually lead to reduced development times for parasites 
J08 176 that utilize poikilothermic hosts (fig. 16.3). As with many 
J08 177 physiological processes, a 10<*_>degree<*/> increase in temperature 
J08 178 seems to lead to a halving of the developmental time. This may 
J08 179 allow parasite populations to build up rapidly following increases 
J08 180 in temperature.<p/>
J08 181 <h_><p_>C. Parasite Populations in Thermal Cooling Streams<p/><h/>
J08 182 <p_>The expressions for <tf|>Ro and <tf|>H<sb_>T<sb/>, derived in 
J08 183 the first part of this chapter, suggest that increases in 
J08 184 transmission efficiency and reductions in development time induced 
J08 185 by temperature changes allow parasites to establish in smaller 
J08 186 populations and grow at more rapid rates. This is observed to some 
J08 187 extent in a pair of long-term studies that compare the parasite 
J08 188 burdens of mosquito fish (<tf_>Gambuis affinis<tf/>) populations in 
J08 189 artificially heated and control sections of the Savannah River in 
J08 190 South Carolina. The data for the trematode <tf_>Ornithodiplostomum 
J08 191 ptychocheilus<tf/> show significant differences between heated and 
J08 192 ambient sites during the earlier period of the study when 
J08 193 temperature differences were most pronounced. Infection by the 
J08 194 parasites starts several months earlier each year in the thermally 
J08 195 altered sites (fig. 16.4). However, infection rates decline in the 
J08 196 summer in the artificially heated sites when populations of hosts 
J08 197 decline in response to high water temperatures (Camp et al. 1982). 
J08 198 This effect may be compounded by the movement of the waterfowl that 
J08 199 act as definitive hosts for the parasite. These birds tend to 
J08 200 prefer the warmer water in winter and cooler water in the summer. 
J08 201 Similar but less clearly defined patterns are observed in the data 
J08 202 for <tf_>Diplostomum scheuringi<tf/> from the same site (Aho et al. 
J08 203 1982).<p/>
J08 204 <p_>These studies illustrate the important role of host population 
J08 205 density in the response of a parasite's transmission rate to 
J08 206 thermal stress, while also demonstrating the ability of parasites 
J08 207 to capitalize on improved opportunities for transmission and to 
J08 208 establish whenever opportunities arise. Obviously the data are open 
J08 209 to several interpretations, but they do emphasize the importance of 
J08 210 long-term experiments in determining the possible effects of global 
J08 211 warming on the distribution of parasites.<p/>
J08 212 <h_><p_>D. Terrestrial Hosts<p/><h/>
J08 213 <p_>The survival rates of the infective stages of the parasites of 
J08 214 most terrestrial species tend to decrease with increasing 
J08 215 temperature (fig. 16.5a). Although little evidence is available to 
J08 216 determine how the infectivity of these larvae is affected by 
J08 217 temperature, rates of larval development tend to increase with 
J08 218 increasing temperatures (fig.16.5b). These two processes again 
J08 219 interact synergistically - as an increase in temperature depresses 
J08 220 survival, development speeds up - allowing the parasite to 
J08 221 establish at a broad range of environmental temperatures. In 
J08 222 contrast to parasites that utilize aquatic hosts, parasites of 
J08 223 terrestrial hosts have transmission stages that are susceptible to 
J08 224 reduced humidity, and these stages are highly susceptible to 
J08 225 desiccation (Wallace 1961). To compensate for reduced opportunities 
J08 226 for transmission during periods of severely adverse climate, 
J08 227 parasites of terrestrial hosts have evolved adaptations such as 
J08 228 hypobiosis, the ability to remain in a state of arrested 
J08 229 development within the relatively protected environment provided by 
J08 230 their hosts until such time as transmission through the external 
J08 231 environment proves more effective.
J08 232 
J09   1 <#FROWN:J09\><h_><p_>EXTRACELLULAR SIGNAL-REGULATED KINASES IN T 
J09   2 CELLS<p/>
J09   3 <p_>Anti-CD3 and 4<*_>beta<*/>-Phorbol 12-Myristate 
J09   4 13-Acetate-Induced Phosphorylation and Activation<p/>
J09   5 <p_>CHARLES E. WHITEHURST, TERI G. BOULTON, MELANIE H. COBB, AND 
J09   6 THOMAS D. GEPPERT<p/><h/>
J09   7 <p_><tf_>Extracellular signal-regulated kinases (ERK) 1 and 2 are 
J09   8 growth factor- and cytokine-sensitive serine/threonine kinases that 
J09   9 are known to phosphorylate microtubule-associated protein 2 and 
J09  10 myelin basic protein. The current studies examined whether ERK1 
J09  11 and/or ERK2 was present in T cells and whether they were 
J09  12 phoshorylated and activated as a consequence of T cell activation. 
J09  13 The data demonstrated that both ERK1 and ERK2 were present in 
J09  14 Jurkat cells and peripheral blood T cells. In T cells, ERK2 was 
J09  15 more prevalent than ERK1. The concentrations of ERK1 and ERK2 were 
J09  16 not altered by stimulating the cells for 16 h with immobilized 
J09  17 anti-CD3 mAb or anti-CD3 mAb and phorbol myristate acetate. mAb to 
J09  18 CD3 and phorbol myristate acetate stimulated an increase in ERK1 
J09  19 and ERK2 MBP kinase activity. Anti-CD3 mAb triggered an increase 
J09  20 their phosphate content which was detectable at 2 min but reached a 
J09  21 maximum at 5 min. A portion of the increase in phosphate was caused 
J09  22 by an increase in phosphotyrosine. We also examined the rate of 
J09  23 ERK2 degradation. ERK2 was stable for up to 36 h, and its 
J09  24 degradation was unaffected by the activation state of the cells. 
J09  25 The data demonstrate that ERK1 and ERK2 are part of an 
J09  26 anti<?_>-<?/>CD3 mAb-stimulated signal transduction cascade that is 
J09  27 downstream of protein kinase C and, therefore, suggest that these 
J09  28 kinases play an important role in T cell activation.<tf/><p/>
J09  29 <p_>T cell activation is triggered by an interaction between the 
J09  30 TCR and a complex formed by the antigenic peptide and a class I or 
J09  31 II MHC molecule. The recognition of Ag by the TCR leads to a 
J09  32 variety of early biochemical changes (1-4). Among the earliest 
J09  33 occurring within seconds of engagement of the TCR, is the 
J09  34 phosphorylation of a variety of substrates on tyrosine residues 
J09  35 (5). The kinase or kinases responsible for these first 
J09  36 phosphorylation events have not been identified, although a member 
J09  37 of the src family of tyrosine kinase, fyn, appears to be physically 
J09  38 associated with the CD3 complex (6). The subsequent steps in the 
J09  39 cascade of reactions have not been well characterized. Temporally, 
J09  40 activation of tyrosine phosphorylation precedes activation of 
J09  41 phospholipase C (PLC) (5). Further, inhibitors of tyrosine kinases 
J09  42 block the activation of PLC, demonstrating that tyrosine 
J09  43 phosphorylation is necessary even for the stimulation of PLC (5, 
J09  44 7). As in other systems, PLC releases two products, inositol 
J09  45 phosphates, that elevate intracellular calcium, and diacylglycerol, 
J09  46 that activates and translocates protein kinase C (PKC) to the 
J09  47 membrane, where it is in proximity to membrane substrates (2-4, 8, 
J09  48 9). In addition to these events triggered by engagement of the TCR 
J09  49 complex, cross-linking CD4 or CD8 molecules on T cells leads to the 
J09  50 activation of a tyrosine kinase, p56<sp_>1ck<sp/>, or the src 
J09  51 family (10, 11). Based on burgeoning evidence from studies of T 
J09  52 cell activation and by analogy to other receptor signaling systems, 
J09  53 it is believed that these early biochemical phenomena result in the 
J09  54 activation of additional cascades of protein kinases which are 
J09  55 responsible for the subsequent cellular events. In other systems, 
J09  56 the vast majority of these subsequent phosphorylations occur on 
J09  57 serine and threonine residues.<p/>
J09  58 <p_>Of the data suggesting that other kinases are stimulated in T 
J09  59 cells, the most convincing is for a MAP2 kinase activity that is 
J09  60 increased by cross-linking the TCR complex (12-14) or by the 
J09  61 phorbol ester, PMA (13). The stimulation of this serine/threonine 
J09  62 kinase activity by a mAb to the TCR complex is diminished but not 
J09  63 eliminated by an inhibitor of PKC (H7) or by prior depletion of PKC 
J09  64 (13). Cross-linking CD4 on T cells stimulates the tyrosine 
J09  65 phosphorylation of a 43-kDa protein that co-migrates with a protein 
J09  66 with MAP2 kinase-like activity (12, 14). Cross-linking CD3 together 
J09  67 with CD4 results in a greater increase in MAP2 kinase activity than 
J09  68 cross-linking CD3 alone (14). This combination of stimuli also 
J09  69 delivers a more effective activation signal than cross-linking the 
J09  70 TCR complex alone (15-17), indicating a correlation between MAP2 
J09  71 kinase activity and T cell activation. Taken together these 
J09  72 findings suggest that MAP2 kinase plays an important role in T cell 
J09  73 activation.<p/>
J09  74 <p_>Recently, cDNA have been cloned and sequenced from human, rat, 
J09  75 mouse, and <tf|>Xenopus libraries which encode two proteins with 
J09  76 insulin and nerve growth factor-sensitive MAP2/MBP kinase activity 
J09  77 (18-23). These two proteins are 90% identical within their 
J09  78 catalytic domains and have been named extracellular 
J09  79 signal-regulated kinase (ERK) 1 and 2 because of the wide variety 
J09  80 of extra<?_>-<?/>cellular signals which stimulate their activity 
J09  81 (13, 14, 18, 20, 24-32). Moreover, they are highly conserved across 
J09  82 species (19). The activation of these two serine/threonine kinases 
J09  83 is correlated with increases in the phosphorylation of their 
J09  84 tyrosine and threonine residues (20). Phosphatases specific for 
J09  85 either tyrosine (CD45) or serine/threonine (2a) residues partially 
J09  86 inactivate ERK1 and ERK2 (25), indicating that full activation of 
J09  87 these kinases requires both tyrosine and serine/threonine 
J09  88 phosphorylation.<p/>
J09  89 <p_>The current studies were carried out, therefore, to determine 
J09  90 whether ERK1 and/or ERK2 is present in T cells and to determine 
J09  91 whether they are phosphorylated and/or activated as a consequence 
J09  92 of activation. We found that both ERK1 and ERK2 are present in 
J09  93 Jurkat cells and peripheral blood T cells and that ERK2 is more 
J09  94 abundant. The concentration of both ERKs was not altered by 
J09  95 stimulating the cells for 16 h with immobilized anti-CD3 mAb or 
J09  96 anti-CD3 and PMA. Both anti-CD3 and PMA stimulated the 
J09  97 phosphorylation of ERK1 and ERK2 in Jurkat cells and induced an 
J09  98 increase in ERK1 and ERK2 MBP kinase activity. The data suggest 
J09  99 that ERK1 and ERK2 may play an important role in T cell activation. 
J09 100 Moreover, the size, kinetics of activation, and substrate 
J09 101 specificity of ERK1 and ERK2 are similar to properties of kinases 
J09 102 with anti-CD3-inducible MAP2 kinase-like activity noted in previous 
J09 103 reports. Thus, the studies strongly support the hypothesis that 
J09 104 ERK1 and ERK2 are the kinases responsible for this activity.<p/>
J09 105 <p_>MATERIALS AND METHODS<p/>
J09 106 <p_><tf_>Reagents, mAb, and mitogens.<tf/> PMA (Sigma Chemical Co., 
J09 107 St. Louis, MO) and phorbol 12,13-dibutyrate (PDB; Sigma) were 
J09 108 dissolved in ethanol and added to the cultures at a final 
J09 109 concentration of 10 ng/ml for PMA and 20 ng/ml for phorbol 
J09 110 12,13-dibutyrate, and 0.1% ethanol. The mAb used were OKT3 and 64.1 
J09 111 (American Type Culture Collection, Rockville, MD), IgG2a mAb 
J09 112 directed at the CD3 molecular complex on mature T cells; TS1/18, an 
J09 113 IgG1 mAb directed at the <*_>beta<*/>-chain of CD18; and P1.17, an 
J09 114 IgG2a mAb or irrelevant specificity. All mAb were purified over a 
J09 115 column of Sepharose 4B coupled with staphylococcal protein A and 
J09 116 used at final concentrations as indicated in the figure legends. 
J09 117 PHA (Wellcome Reagents Division, Burroughs Wellcome Co., Research 
J09 118 Triangle Park, NC) was used at a final concentration of 0.5 
J09 119 <*_>mu<*/>g/ml. Orthophosphate (H<sb_>3<sb/>PO<sb_>4<sb/>; 285Ci/mg 
J09 120 P) and <sp_>35<sp/>S-labeled amino acids (Tran<sp_>35<sp/>S-label; 
J09 121 >1000 Ci/mmol) were purchased from ICN Biomedicals, Inc., Costa 
J09 122 Mesa, CA.<p/>
J09 123 <p_><tf_>Cell preparation.<tf/> PBMC were obtained from healthy 
J09 124 adult volunteers by centrifugation of heparin-treated venous blood 
J09 125 over sodium diatrizoate/Ficoll gradients (Isolymph; Gallard 
J09 126 Schlesinger Chemical Manufacturing Corp., Carle Place, NY). Cells 
J09 127 were washed once in HBSS and twice in saline before further 
J09 128 processing. T cells were prepared from PBMC by isolating the cells 
J09 129 forming rosettes with neuraminidase-treated SRBC and passing them 
J09 130 over a nylon wool column to deplete B cells and macrophages. Jurkat 
J09 131 cells, a malignant T cell line, were generously provided by Dr. 
J09 132 Arthur Weiss (33).<p/>
J09 133 <p_><tf_>Antipeptide antisera.<tf/> Antisera raised to peptides at 
J09 134 the carboxyl terminus (837; IFQETARFQPGAPEAP) and subdomain XI 
J09 135 (691; KRITVEEALAHPYLEQYYDPTDE) of rat ERK1 had characteristics 
J09 136 described previously (25). Antiserum A249 was raised to a peptide 
J09 137 at the carboxyl terminus of rat ERK2 (ELIFEETARFQPGYRS) using the 
J09 138 same methodologies described previously (25). The sequences of 
J09 139 human ERK1 and ERK2 are identical to the rat sequences in the 
J09 140 region of the peptides used to derive 691 and A249 (19). The 
J09 141 sequence of the carboxyl terminus of human ERK1 differs slightly 
J09 142 from that of rat ERK1 (IFQETARFQPGVLEAP).<p/>
J09 143 <p_><tf_>Preparation of cell lysates and immunoblotting.<tf/> After 
J09 144 T cells or Jurkat cells were treated with the various stimuli as 
J09 145 indicated in the figure legends the cells were homogenized or 
J09 146 sonicated in homogenization buffer (20 mM Tris, pH 7.5, 20 mM 
J09 147 <tf|>p-nitrophenyl phosphate, 1 mM EGTA, 50 mM NaF, 50 <*_>mu<*/>M 
J09 148 sodium vanadate, 3 <*_>mu<*/>g/ml aprotinin, 1 mM leupeptin, 1 mM 
J09 149 PMSF, and 10 mM iodoacetamide), the lysates clarified by 
J09 150 centrifugation, and the soluble protein concentrations were 
J09 151 determined using the bicinchoninic acid/Cu<sp_>2+<sp/> reagent 
J09 152 (Micro BCA kit; Pierce Chemical Co., Rockford, IL). Equivalent 
J09 153 amounts of protein/lane were analyzed by electrophoresis on 10 to 
J09 154 14% SDS-polyacrylamide gels, transferred to nitrocellulose or 
J09 155 Immobilon-P (Millipore), and immunoblotted with a mAb to 
J09 156 phospho<?_>-<?/>tyrosine (hybridoma 4G10; Upstate Biotechnology 
J09 157 Ind., Lake Placid, NY) or antiserum 691 or A249. Reactive proteins 
J09 158 were visualized with goat anti-rabbit or mouse IgG (Cappel) 
J09 159 conjugated to horseradish peroxidase and 4-chloro-1-napthol, or 
J09 160 with chemiluminescent procedure per manufacturers' specifications 
J09 161 (Amersham Corp., Arlington Heights, IL). For chemiluminescent 
J09 162 detection, the films were preflashed before exposure.<p/>
J09 163 <p_><tf_>Radiolabeling of Jurkat cells and 
J09 164 immunoprecipitations.<tf/> Jurkat cells (40 x 10<sp_>6<sp/> 
J09 165 cells/ml) were preincubated in phosphate-free RPMI 1640 containing 
J09 166 1% BSA for 50 to 60 min at 37<*_>degree<*/>C, 
J09 167 [<sp_>32<sp/>P]orthophosphate was added (1.0 mCi/ml), and the cells 
J09 168 were incubated an additional 50 to 60 min at 37<*_>degree<*/>C. 
J09 169 After washing twice in ice-cold 0.9% NaCl, the cells were 
J09 170 resuspended in RPMI 1640, stimulated as described in the figure 
J09 171 legends, pelleted, and lysed. For immunoprecipitation with A249, 
J09 172 the cells were lysed in homogenization buffer containing 1% NP-40 
J09 173 and 2 mM MgCl<sb_>2<sb/>, pH 8.0, for 10 min at 4<*_>degree<*/>C. 
J09 174 Insoluble debris was removed by centrifugation. For 
J09 175 immunoprecipitation with 837 the proteins were denatured either by 
J09 176 boiling the lysates in SDS (0.2%) or by lysing the cells directly 
J09 177 in 1% SDS. With the latter technique the lysate was later diluted 
J09 178 so that the concentration of SDS was <0.2% for immunoprecipitation. 
J09 179 For immunoprecipitations, the antisera were either added directly 
J09 180 to the supernatants (10 <*_>mu<*/>l/sample), incubated for at least 
J09 181 1 h at 4<*_>degree<*/>C, and then precipitated with SPA-agarose (30 
J09 182 <*_>mu<*/>l of packed SPA-agarose/sample) for at least 1 hour at 
J09 183 4<*_>degree<*/>C, or alternatively, saturating amounts of the 
J09 184 antisera were preabsorbed to SPA-agarose, and this complex was 
J09 185 added to the lysates (30 <*_>mu<*/>l of packed preabsorbed 
J09 186 SPA-agarose/sample and incubated in the same manner. The results of 
J09 187 using these two methods were comparable. The immunoprecipitates 
J09 188 were washed four times in homogenization buffer containing 1% 
J09 189 NP-40, 0.1% SDS, and 150 mM NaCl, boiled in gel loading buffer 
J09 190 containing <*_>beta<*/>-ME, and analyzed by SDS-PAGE and 
J09 191 autoradiograhy. To correlate the molecular weights of the proteins 
J09 192 immunoprecipitated by anti<?_>-<?/>serum 837 with those detected by 
J09 193 antiserum 691 on an immunoblot, 837 immunoprecipitates or a whole 
J09 194 cell lysate were electrophoresed on each side of a molecular weight 
J09 195 standard on an SDS-PAGE gel. The gel was then sliced in half down 
J09 196 the middle of the lane containing molecular weight standards, and 
J09 197 the half of the gel containing the 837 immunoprecipitates was dried 
J09 198 and used for autoradiography. The proteins on the other half of the 
J09 199 gel were transferred to a polyvinylidene difluoride membrane for 
J09 200 immunoblotting with antiserum 691. Exposures from the 
J09 201 autoradiograph and immunoblot were then aligned using the molecular 
J09 202 weight markers. Sequential immunoprecipitations were performed by 
J09 203 immunoprecipitating with A249 as described earlier, boiling the 
J09 204 immunoprecipitate in 1% SDS, and then diluting the supernatant to 
J09 205 0.2% SDS using 1% NP-40 homogenization buffer. 837 
J09 206 immunoprecipitates were then performed as described above.<p/>
J09 207 <p_><tf|>Chromatography. Jurkat cells (200 x 10<sp_>6<sp/> 
J09 208 cells/group) were stimulated for 5 min as indicated in the figure 
J09 209 legends, pelleted, and then resuspended in 1 ml of homogenization 
J09 210 buffer at 4<*_>degree<*/>C (20 mM Tris, pH 7.5, 1 mM EGTA, 50 mM 
J09 211 NaF, 20 mM <tf|>p-nitrophenyl phosphate, 1 mM sodium vanadate, 1 mM 
J09 212 PMSF). The cells were sonicated with two 10-s bursts using a 
J09 213 Vibracell (model ASI; Sonics and Materials Inc., Danbury, CT) and 
J09 214 the cellular debris pelleted by centrifugation for 10 min at 15,000 
J09 215 x <tf|>g. The supernatants were stored at -80<*_>degree<*/>C. For 
J09 216 chromatography, the sonicates were thawed on ice, diluted with 3 
J09 217 vol. of water, and loaded onto a Mono Q HR5/5 column equilibrated 
J09 218 with buffer A (50 mM <*_>beta<*/>glycerophosphate, pH 7.3, 1 mM 
J09 219 EGTA, 0.1 mM sodium orthovanadate, and 0.1 <*_>mu<*/>M pepstatin).
J09 220 
J10   1 <#FROWN:J10\>Such trade-offs would make genetic load and the cost 
J10   2 of natural selection greater than they would be with functional 
J10   3 independence.<p/>
J10   4 <p_>Wallace (1987, 1989; Reeve <tf_>et al.<tf/> 1988) recently 
J10   5 renewed his effort to lay the problem to rest with arguments and 
J10   6 evidence that the traditional genetic-load argument, such as mine 
J10   7 above, is based on faulty logic and a misunderstanding of the 
J10   8 dynamics of viability selection during the culling of an age 
J10   9 cohort. He emphasizes that much culling must take place in every 
J10  10 population because of the universal Malthusian factor of 
J10  11 over-production of offspring. He envisions a world in which an 
J10  12 individual dying as a result of some genetic deficiency is thereby 
J10  13 making room for a better endowed individual. If one does not die 
J10  14 the other one would. Given that populations do remain finite, the 
J10  15 argument fits the facts. Yet the conceptual problem remains, 
J10  16 especially in low-fecundity species like our own, because the 
J10  17 genetic-load arithmetic makes us expect far more culling than is 
J10  18 actually found, and far more than the population could bear.<p/>
J10  19 <p_>Wallace's (1987) illustrative model of cohort culling is the 
J10  20 competition between seedlings in an experimental tray (e.g. Schmidt 
J10  21 and Ehrhardt 1990). The space available will permit only a limited 
J10  22 plant biomass to develop, and this will be produced by the small 
J10  23 number of successful contenders. The great majority will do very 
J10  24 little growing and gradually die out. The possibly small fraction 
J10  25 that survives to maturity will be enormously variable in size and 
J10  26 fitness. This result seems to be unaffected by levels of genetic 
J10  27 load in the seeds used. If a thousand viable seeds are sown in one 
J10  28 tray and a thousand with 90% lethal genotypes in another, the two 
J10  29 trays may produce about the same number of ultimate survivors, 
J10  30 total biomass, and phenotypic fitness variation.<p/>
J10  31 <p_>I would suggest another kind of experiment as more relevant to 
J10  32 the problem Haldane had in mind. Sow only 100 of the viable seeds 
J10  33 in the first tray and 100 with a high incidence of genetic load in 
J10  34 the other, and also in each tray sow 900 seeds of competing 
J10  35 species. I would expect the 100 viables to win much more 
J10  36 representation in their tray than the ten viables and 90 lethals in 
J10  37 the other, and this result would be a closer parallel to what 
J10  38 usually takes place in the culling of a plant cohort in nature. For 
J10  39 most animals, Wallace's experimental model is even less realistic. 
J10  40 Only sessile invertebrates meet intense and inescapable competition 
J10  41 from near neighbors. Wallace's seedling experiment would be broadly 
J10  42 applicable to animal populations only with competition for social 
J10  43 status, West Eberhard's (1983) <tf_>social selection<tf/>, of which 
J10  44 sexual selection would be a special case. Social status is a 
J10  45 resource that can seldom be appropriated by a member of a different 
J10  46 species.<p/>
J10  47 <p_>The central problem with Wallace's model, which he calls 
J10  48 <tf_>soft selection<tf/>, is that it implies unrealistically strong 
J10  49 density dependence with an age cohort. Most populations in nature 
J10  50 are extremely sparse. The tendency for field ecologists to study 
J10  51 organisms that are abundant enough to study may greatly bias our 
J10  52 impressions. Populations in nature are seldom dense enough to cause 
J10  53 any obvious resource depression (Tilman 1982). The most convincing 
J10  54 examples of resource depression result from exploitation by many 
J10  55 species, such as the reduction of marine invertebrate biomass on 
J10  56 mudflats from concerted onslaughts of many species of migratory 
J10  57 bird (Schneider 1978). Even the extraordinarily dense populations 
J10  58 commonly studied by field ecologists, e.g. by Andrewartha and Birch 
J10  59 (1954), usually show numerical changes that look like random 
J10  60 fluctuation and seldom give clear evidence of density effects in 
J10  61 short-term studies. Individual survival must be mainly a matter of 
J10  62 chance, partly a matter of many kinds of adaptive performance, and 
J10  63 only to a minor degree affected by density-dependent competition 
J10  64 with conspecifics.<p/>
J10  65 <p_>Near neighbors, sessile or motile, will often be of different 
J10  66 species in diverse natural communities, and the death of one 
J10  67 individual will often allow the survival of a member of a competing 
J10  68 species. In such situations we most clearly confront the challenge 
J10  69 of genetic load in relation to population survival, the problem 
J10  70 that worried Haldane. If too large a dose of its population's 
J10  71 genetic load causes one individual to die, it is likely to mean 
J10  72 that the abundance of that species will be reduced by one. A 
J10  73 reduced genetic load would make it more likely for the population 
J10  74 to survive in competition with other species. Every (1-<tf|>s) that 
J10  75 enters into a fitness calculation means a finite deficiency in some 
J10  76 sort of adaptive performance. Any such deficiency implies not only 
J10  77 adverse selection within a population, but also a decreased 
J10  78 representation of the population in the community. Dudash's (1990) 
J10  79 experiments nicely confirm this expectation. Fitness differences 
J10  80 between her inbred and outbred seedlings were much greater in the 
J10  81 field than in greenhouse monoculture. The expectation is that the 
J10  82 natural populations that are still available for study should be 
J10  83 those that have extremely low levels of genetic load, and this is 
J10  84 not what is found.<p/>
J10  85 <p_>Wallace (1989) claims that Haldane and others have been 
J10  86 needlessly worried about a mere <quote_>"computational 
J10  87 artifact."<quote/> They arbitrarily assign a fitness of 1 to a 
J10  88 favored genotype and of 1-<tf|>s to an unfavored competitor. If 
J10  89 instead we used 1+<tf|>s and 1 we would not calculate such low 
J10  90 fitness values for so many multi-locus genotypes. This is true, but 
J10  91 the change is merely cosmetic. We would still get the same 
J10  92 variation in fitness and be faced with the same problem of how fit 
J10  93 the average individual can possibly be. Also, the traditional 
J10  94 notation is more realistic. A rare favorable mutation may be said 
J10  95 to have a fitness of 1+<tf|>s, but this implies a deficiency in the 
J10  96 ancestral gene pool. If a mutation can improve some character by 
J10  97 some fraction <tf|>s, that character must have been suboptimal. How 
J10  98 could the ancestral population have survived with suboptimal 
J10  99 genotypes at a large number of loci if there were competing 
J10 100 populations with a lower genetic load?<p/>
J10 101 <p_>I think the time has come for renewed discussion and 
J10 102 experimental attack on Haldane's dilemma.<p/>
J10 103 <h_><p_>10.2 Paradoxes of sexuality<p/><h/>
J10 104 <p_>Sexual reproduction by its existence and in many special 
J10 105 aspects is a complex of puzzles on which many books have been 
J10 106 written (e.g. Bradbury and Andersson 1987; Stearns 1987; Michod and 
J10 107 Levin 1988). The main theoretical challenge is in the <tf_>cost of 
J10 108 meiosis<tf/>, but this is a matter already getting attention from 
J10 109 able investigators. I can do no better than refer readers to 
J10 110 Maynard Smith (1984<tf|>b), Eberhard (1985), Felsenstein 
J10 111 (1985<tf|>a), Bierzychudek (1989), Hamilton <tf_>et al.<tf/> 
J10 112 (1990), Parts II and III of Stearns (1987) and Chapters 4-9 in 
J10 113 Michod and Levin (1988). Another major challenge is in resolving 
J10 114 the data of life-history diversity in the frequency and the 
J10 115 developmental and ecological correlates of sexual phases. The 
J10 116 problem here is not so much logical as logistic. The diversity is 
J10 117 overwhelming in relation to the time and money that a few thousand 
J10 118 interested biologists can devote to it.<p/>
J10 119 <p_>Of the many recombination-related difficulties that I could 
J10 120 discuss I will echo Maynard Smith (1988<tf|>a) and choose the one 
J10 121 that best serves as a kind of text-book illustration of an 
J10 122 evolutionary anomaly, the absence of sexual reproduction throughout 
J10 123 the rotifer order Bdelloidea. This is anomalous because it clearly 
J10 124 violates the principle of Muller's ratchet, which seems a logically 
J10 125 tight line of reasoning from well established premises (but see 
J10 126 Gabriel (1989)). Muller (1964) was the first to recognize that an 
J10 127 asexual lineage <quote_>"incorporates a kind of ratchet mechanism, 
J10 128 such that it can never get to contain, in any of its lines, a load 
J10 129 of mutation smaller than that already existing in its at present 
J10 130 least loaded lines."<quote/> It can acquire a higher load of 
J10 131 mutation simply by the occurrence of a new one in a least loaded 
J10 132 line. So exclusively asexual reproduction leads inevitably to a 
J10 133 degeneration of the genome, in the sense of its being ever more 
J10 134 ruled by chemical stability, and ever less informative as to what 
J10 135 has succeeded in the past. This must always lead to rapid 
J10 136 extinction on an evolutionary time scale. For a recent quantitative 
J10 137 study of Muller's ratchet, see G. Bell (1988).<p/>
J10 138 <p_>Muller's ratchet explains the phylogenetic distribution of 
J10 139 asexual species in most major types of eukaryotes. There is a fair 
J10 140 number of exclusively clonal species, but never any entirely clonal 
J10 141 genera or higher categories. Asexual species arise from time to 
J10 142 time, but Muller's ratchet must lead them to extinction long before 
J10 143 they can produce any appreciable taxonomic diversification. The 
J10 144 loss of sexuality seems to be a classic example of an evolutionary 
J10 145 step that is opposed by clade selection (Van Valen 1975). 
J10 146 Unfortunately the general rule of conformity to expectations of 
J10 147 Muller's ratchet has some exceptions. The whole rotifer order 
J10 148 Bdelloidea (Meglitch (1967) calls them a class), with its several 
J10 149 families and many genera and species, is composed entirely of 
J10 150 parthenogenetic females (Pennak 1978). There are also a few other 
J10 151 noteworthy violators of the theory, such as the freshwater 
J10 152 gastrotrich order Chaetonotoidea (Meglitch 1967; Pennak 1978).<p/>
J10 153 <p_>Another difficulty that surely deserves more attention is the 
J10 154 scarcity of adaptively flexible sex determination (for a 
J10 155 comprehensive review, see Bull, (1983)). Sex determination in most 
J10 156 animals is genetic and is fixed at conception. Only a few have sex 
J10 157 determination as a facultative response to information perceived 
J10 158 during development. A neatly understandable example (Conover and 
J10 159 Heins 1987) is provided by a fish, the Atlantic silverside, which 
J10 160 spawns every spring in shallow waters along the Atlantic coast of 
J10 161 the United States and Canada. Eggs spawned early in the season 
J10 162 become females; those later on become males. Temperature provides 
J10 163 the cue, so that development below a certain threshold causes 
J10 164 female development, warmer water male development. This mechanism 
J10 165 gives females a longer growing season and larger size for the 
J10 166 following spring's spawning. The close relationship between size 
J10 167 and fecundity in fishes makes large size more important to female 
J10 168 fitness than to male.<p/>
J10 169 <p_>This environmental sex determination is adaptive in a way that 
J10 170 extend the size-advantage model used to explain the occurrence of 
J10 171 protandry vs. protogyny among sequential hermaphrodites (Ghiselin 
J10 172 1969; Warner 1975). The silverside is almost entirely semelparous, 
J10 173 and this would rule out sequential hermaphroditism as a viable life 
J10 174 history. As predicted (Conover and Heins 1987), the temperature 
J10 175 threshold that determines sex varies as expected of combined 
J10 176 optimizing and frequency-dependent selection. It is lower in 
J10 177 northern, higher in southern parts of the range, so that the sexes 
J10 178 are nearly equally abundant all along the coast. Experiments by 
J10 179 Conover and Van Voorhees (1990) show that the threshold can be 
J10 180 changed by selection in the laboratory.<p/>
J10 181 <p_>Besides the greater dependence of reproductive success on size 
J10 182 in females than in males in most animals, it is possible to think 
J10 183 of many other ways in which it may be more adaptive for an 
J10 184 individual in a given situation to be male or female, and to 
J10 185 identify cues that would predict the situation during development. 
J10 186 A clear example would be the stochastically varying sex ratios of 
J10 187 many social groups. In a pond in which most of the frogs happen to 
J10 188 be of sex A, it would pay a tadpole to develop into a member of sex 
J10 189 B. It would also pay a parent to bias sex determination away from 
J10 190 whatever is the majority in previously produced young (Taylor and 
J10 191 Sauer 1980). This would avoid what might be called <tf_>Baptista's 
J10 192 Burden<tf/>. Having Bianca instead of a son after having had 
J10 193 Katharina was something of a challenge to his fitness. Yet despite 
J10 194 the advantage that can be envisioned in alternating sons and 
J10 195 daughters, each sex determination is a largely independent event in 
J10 196 most animal populations (Williams 1979; Huck <tf_>et al.<tf/> 
J10 197 1990).<p/>
J10 198 <p_>Facultative sex determination would only be expected in groups 
J10 199 in which useful cues can be perceived prior to any major 
J10 200 developmental commitment to maleness or femaleness, requirements 
J10 201 discussed in detail by Bull (1983), Charnov and Bull (1977), and 
J10 202 Korpelainen (1990). These conditions must surely obtain in many 
J10 203 diploid insect populations. Why is adaptive sex determination, such 
J10 204 as that found in the silverside, not widespread in many groups of 
J10 205 insects?
J10 206 
J11   1 <#FROWN:J11\><p_>The argument for conversation is strongest when 
J11   2 functional tests, such as gene replacement or in vitro 
J11   3 complementation, can be applied. Most often, though, we must rely 
J11   4 on sequence comparisons. But do these sequence comparisons monitor 
J11   5 adaptive evolution, or do they monitor genetic drift? In the case 
J11   6 of p34 there is extensive sequence identity throughout the molecule 
J11   7 between yeast and humans, which diverged more than a billion years 
J11   8 ago. In the case of the conserved regulators of p34, cyclin, cdc25, 
J11   9 and weel, the identity is limited to a small portion of the 
J11  10 molecules and there is extensive divergence in other domains. Yet 
J11  11 in the case of cdc25, for example, despite the large sequence 
J11  12 divergence, the human molecule will complement yeast mutants (Sadhu 
J11  13 et al. 1990) and in the case of weel, frog can also complement 
J11  14 yeast (Booher and Kirschner, unpublished).In an in vitro system, 
J11  15 sea urchin cyclin, despite its large divergence in most of the 
J11  16 molecule from the frog cyclin, will complement a deficiency of frog 
J11  17 cyclin. These results suggest that functional divergence of these 
J11  18 important regulating genes has been minimal, while sequence 
J11  19 divergence has been extensive. Since cdc25, weel, and the p34 
J11  20 kinase fully complement deletions of these genes in species that 
J11  21 diverged more than a billion years ago, we can conclude that no 
J11  22 important yeast functions are missing in the human protein. The 
J11  23 reciprocal experiment is not possible in humans but may soon be 
J11  24 possible in mouse (Thomas and Capecchi 1990). Therefore, while 
J11  25 these sequences have apparently drifted extensively, they do not 
J11  26 appear to have evolved functionally very much.<p/>
J11  27 <p_>With the help of genetic tests, the list of highly conserved 
J11  28 cellular functions has continued to grow. In some cases 
J11  29 phylogenetic barriers have emerged, but for many systems they are 
J11  30 minor and easily overcome. For example, the <*_>beta<*/>-adrenergic 
J11  31 receptor that normally responds to catecholamines in heart muscle 
J11  32 will not function in yeast to replace a related receptor that 
J11  33 responds to mating pheromones. However, addition of one more 
J11  34 element to the signaling system, the mammalian G<*_>alpha<*/> 
J11  35 protein, will allow the yeast cell to respond to catecholamines and 
J11  36 undergo the mating response (King et al. 1991). The obvious 
J11  37 conservation of DNA structure has been matched by the conservation 
J11  38 of histones, transcription factors, splicing enzymes, 
J11  39 ribonucleoprotein complexes, and nuclear pores. The well-known 
J11  40 conservation of the protein synthesis machinery has been extended 
J11  41 to protein secretion, including components of the endoplasmic 
J11  42 reticulum and Golgi. The major cytoskeletal proteins such as 
J11  43 tubulin and actin have been conserved and serve similar functions 
J11  44 in many organisms, as do the metabolic enzymes. The signaling and 
J11  45 regulating molecules such as ras and hormone receptors, the 
J11  46 regulating kinases such as protein kinase A, protein kinase C, S6 
J11  47 kinase - all have been found in every eukariotyc cell. There have 
J11  48 been, of course, new inventions, expansion and specialization of 
J11  49 each repertoire, but, as we shall see, many of the new demands of 
J11  50 specialized cell types have come about by usurpation of existing 
J11  51 components. Viewed as a computer, we would have to say that the 
J11  52 basic hardware is similar in all eukaryotic cells; if anything has 
J11  53 changed, it is the software.<p/>
J11  54 <h_><p_>Software Changes in the Cell Cycle<p/><h/>
J11  55 <p_>Though the proteins that regulate the cell cycle may be nearly 
J11  56 identical in all organisms, the strategy for regulating the cell 
J11  57 cycle is not. In the frog egg the accumulation of cyclin to a 
J11  58 threshold initiates mitosis, and this process is independent of any 
J11  59 transcriptional control (Murray and Kirschner)1989b). In the 
J11  60 <tf|>Drosophila embryo after cellularization, cyclin accumulation 
J11  61 is also required for mitosis, but it is not the regulator. In this 
J11  62 case control of the mitotic process is under control of the mitotic 
J11  63 activator cdc25, and its expression is under transcriptional 
J11  64 control (Edgar and O'Farrell 1990). Recent studies of cyclins 
J11  65 specific to the G1/S transition in yeast have shown that their 
J11  66 accumulation is under transcriptional control, but also may be 
J11  67 under posttranslational control (Wittenberg et al. 1990; I. 
J11  68 Herskowitz, pers. comm.). In cleaving frog eggs and sea urchin 
J11  69 eggs, cyclin accumulation is completely unregulated. However, in 
J11  70 the case of the G1/S cyclin in yeast, the accumulation is tied to 
J11  71 the whole pathway of the mating pheromone response as well as to 
J11  72 other less well understood pathways involving cell size and 
J11  73 nutrition.<p/>
J11  74 <p_>In the few well-studied cases of cell cycle control we can see 
J11  75 both conservation and divergence. The major components are highly 
J11  76 conserved and most are functionally interchangeable. The basic 
J11  77 reaction pathway involving cyclins, p34 kinase, and other kinases 
J11  78 and phosphatases is also identical. Yet the rate limiting steps and 
J11  79 their linkage to other processes are different in different cells. 
J11  80 This has enabled the cell cycle control mechanisms to respond 
J11  81 transcriptionally to spatial signals, to be linked to extracellular 
J11  82 cues, to be coupled to various homeostatic mechanisms, or to 
J11  83 operate nearly autonomously during the rapid cleavages in the early 
J11  84 embryo. As with modern computers, the architecture of the machine 
J11  85 allows for many software applications. One might even say that 
J11  86 computer hardware has evolved to allow for greater software 
J11  87 flexibility. As we shall see, much the same can be said for 
J11  88 cellular mechanisms.<p/>
J11  89 <h_><p_>Divergent Pathways of Photoreception<p/><h/>
J11  90 <p_>The cephalopod eye and the vertebrate eye are exquisite 
J11  91 examples of convergent evolution. The anatomy suggests that the 
J11  92 origins are totally independent. The vertebrate eye develops as an 
J11  93 outgrowth of the brain; the cephalopod and insect eye develops as a 
J11  94 peripheral ectodermal structure that grows into the brain (Young 
J11  95 1974). The topology of the nerves and photoreceptors is reversed. 
J11  96 In the vertebrate eye, light passes through the nerves to the 
J11  97 photoreceptor; in the cephalopod eye, light impinges directly on 
J11  98 the photoreceptors. Is this anatomical convergence reflected in a 
J11  99 totally separate origin of the biochemistry of photoreception?<p/>
J11 100 <p_>The key event in photoreception, the photoisomerization of 
J11 101 retinal<?_>-<?/>dehyde, has been widely used. In prokaryotes, where 
J11 102 it is part of the proton pump, and in eukaryotes, where it is used 
J11 103 as a photoreceptor, retinaldehyde, which is chemically the same in 
J11 104 all systems, is bound to an integral membrane protein called opsin, 
J11 105 whose polypeptide chain spans the plasma membrane seven times. 
J11 106 There is no sequence homology between the prokaryotic opsins and 
J11 107 the eukaryotic opsins, though overall structural similarities in 
J11 108 the positions of the amino and carboxyl ends and the number of 
J11 109 transmembrance helices suggest that at one time these proteins 
J11 110 could have had a common origin (Henderson and Schertler 1990).<p/>
J11 111 <p_>In eukaryotes, whether cephalopods or mammals, opsin is a 
J11 112 7-membrane spanning protein, and all such proteins are receptors 
J11 113 that are thought to couple to intracellular GTP binding proteins 
J11 114 called G-proteins. This widespread family of membrane protein 
J11 115 receptors includes the receptors for the mating pheromones in 
J11 116 yeast, the cAMP receptor in slime molds, and the serotonin and 
J11 117 <*_>beta<*/>-adrenergic receptor in mammals (King et al. 1991). The 
J11 118 receptors catalyze the exchange of GTP for GDP on the 
J11 119 heterotrimeric G protein. Binding of GTP causes dissociation of the 
J11 120 trimeric G protein into G<*_>alpha<*/> and 
J11 121 G<*_>beta<*/>G<*_>gamma<*/>; these subunits interact with other 
J11 122 cellular enzymes and regulate their functions. The invertebrate 
J11 123 opsins, which are 7-membrane spanning integral membrane proteins, 
J11 124 have clear sequence similarity to the vertebrate opsins (Yokoyama 
J11 125 and Yokoyama 1989). In the central region of the molecule there is 
J11 126 also a very strong similarity on the nucleic acid level, and 
J11 127 throughout the molecule there is extensive similarity with a few 
J11 128 insertions or deletions. There is no question that rhodopsin, the 
J11 129 primary unit of photoreception, has evolved from a common 
J11 130 precursor.<p/>
J11 131 <p_>The vertebrate opsins are known to couple to a heterotrimeric G 
J11 132 protein called transducin, which in its GTP form activates directly 
J11 133 a cGMP phosphodiesterase. In the vertebrate photoreceptor, 
J11 134 increased levels of cGMP open a Na<sb_>+<sb/> channel leading to 
J11 135 increased neurotransmitter release. Therefore, the action of light 
J11 136 causes a drop in cGMP and an inhibition of transmitter release that 
J11 137 inactivates an inhibitory neuron, which ultimately leads to 
J11 138 elevated electrical activity in the brain (Stryer 1988). The 
J11 139 vertebrate photoreception system also has a means of adaptation 
J11 140 that desensitizes the receptor after stimulation. It involves the 
J11 141 binding of a small protein, called <*_>beta<*/>-arrestin, to the 
J11 142 cytoplasmic domain of the receptor after a period of activation 
J11 143 (Bennett and Sitaramayya 1988).<p/>
J11 144 <p_>In invertebrates, although the initial coupling of opsin to 
J11 145 signal transmission are similar, the complete pathway is designed 
J11 146 differently. <tf|>Drosophila is known to contain G-proteins 
J11 147 (Guillen et al. 1990), and the structure of invertebrate opsin 
J11 148 strongly suggests that the receptor couples to G-proteins; the 
J11 149 exact G-protein that couples to <tf|>Drosophila rhodopsin is not 
J11 150 known. Like vertebrates, <tf|>Drosophila contains a 
J11 151 <*_>beta<*/>-arrestin molecule that is highly conserved, suggesting 
J11 152 that <tf|>Drosophila rhodopsin contains the same desensitization 
J11 153 system as mammals (Smith et al. 1990). However, the next part of 
J11 154 the pathway seems divergent. G proteins are known to couple to 
J11 155 several second messenger systems, and the best evidence suggests 
J11 156 that G protein in invertebrates (<tf|>Drosophila and the horseshoe 
J11 157 crab, <tf|>Limulus) couples to a different second messenger system 
J11 158 from that affecting cGMP phosphodiesterase (Suss et al. 1989; 
J11 159 J.Brown, pers. comm.). Genetic approaches can be useful in 
J11 160 delineating this second messenger pathway. Recently, 
J11 161 <tf|>Drosophila mutants have been obtained that have 
J11 162 morphologically normal cells that do not respond to light. The gene 
J11 163 that is defective in one of these mutants has been cloned and shown 
J11 164 to have strong similarity phospholipase C, an enzyme involved in 
J11 165 cell signaling (Bloomquist et al. 1988). There is evidence that 
J11 166 Ca<sp_>++<sp/> release, mediated by inositol triphosphate, occurs 
J11 167 during light stimulation, which suggests that in the invertebrate 
J11 168 photoreceptors the G protein linked to opsins may activate 
J11 169 phospholipase C and signal either Ca <sp_>++<sp/> pathways via 
J11 170 inositol triphosphate or protein kinase C via diacylglycerol. It is 
J11 171 also possible that the unknown G protein signals some other second 
J11 172 messenger pathway. Downstream of this signaling system there is an 
J11 173 increase (as opposed to the decrease in vertebrate photoreceptors) 
J11 174 in a nonselective cation channel leading to a <tf|>depolarization 
J11 175 and secretion. Thus the invertebrate system uses the same visual 
J11 176 pigment, an evolutionarily related receptor, a very similar 
J11 177 desensitization system; but most likely it couples this receptor to 
J11 178 a different G-protein-mediated system to produce the opposite 
J11 179 electrophysiological result from the one that occurs in 
J11 180 vertebrates. In the end the brain still gets the signal.<p/>
J11 181 <p_>The lessons of the comparative physiology of vertebrate and 
J11 182 invertebrate photoreceptors is that the basic components have been 
J11 183 highly conserved but their linkage has developed differently. The 
J11 184 basic input of photons is the same; the output hyperpolarization or 
J11 185 depolarization of the photoreceptor cell is completely different. 
J11 186 In between there has been a high degree of conservation: 
J11 187 retinaldehyde, 7-membrane spanning receptors, G proteins, 
J11 188 <*_>beta<*/>-arrestin, phospholipase C, nonselective cation 
J11 189 channels; but the circuitry is different. The evolutionary 
J11 190 invention was not in the types of proteins but in software for 
J11 191 linking signaling and responding pathways together.<p/>
J11 192 <h_><p_>New Components and Their Evolutionary Value<p/><h/>
J11 193 <p_>Not all the remodeling of the eukaryotic cell is the equivalent 
J11 194 of rearranging the furniture. There are, of course, new genes whose 
J11 195 expression facilitated rapid evolutionary change. In the computer 
J11 196 analogy these are the hardware improvements, which often provide 
J11 197 new capacities for software innovations. As we shall see, some of 
J11 198 these new genes may have persisted underutilized for extended 
J11 199 periods of time, until the appropriate software mechanisms were 
J11 200 developed to make use of them. In most cases the origins of these 
J11 201 genes is traceable to more primitive structures that were stitched 
J11 202 together by gene duplication and exon shuffling, but in some cases 
J11 203 there is little clue as to their origins. It seems likely that some 
J11 204 of these specific genes are crucial for major branches of 
J11 205 macroevolution. Although one can tabulate many genes that would 
J11 206 qualify as a "great moment in evolution", I will discuss only two 
J11 207 structures dependent on new genes that are important for the major 
J11 208 radiations within the vertebrates: myelin and feathers.<p/>
J11 209 <p_>The biophysical features of nerve conduction explained by cable 
J11 210 theory show that the rate and efficiency of nerve conduction 
J11 211 increase with the diameter of the nerve fiber and with the decrease 
J11 212 in the capacitance of the plasma membrane. To process complex 
J11 213 information or to respond quickly to a predator or to capture food, 
J11 214 rapid nerve conduction is obviously advantageous.
J11 215 
J12   1 <#FROWN:J12\>Of those animals which had positive isolations from 
J12   2 the oviducts, 68.8% had isolations from both oviducts.<p/>
J12   3 <p_>Since a relatively high inoculating dose of chlamydiae was used 
J12   4 to infect the guinea pigs, we wanted to determine if ascending 
J12   5 infection into the uterus and oviducts would develop with lower 
J12   6 numbers of organisms. Thus, a dose-response experiment was 
J12   7 performed in which animals were inoculated with 
J12   8 10<sp_>4<sp/>-10<sp_>8<sp/> IFU of GPIC (Table 1). When animals 
J12   9 were sacrificed on days 7 or 9, no dose-related differences were 
J12  10 found in the number of animals acquiring infection in the 
J12  11 oviducts.<p/>
J12  12 <h_><p_>Histopathologic Analysis of Endometrium<p/><h/>
J12  13 <p_>After it was established that ascending infection was a common 
J12  14 occurrence in the genital tract, we examined the various endometria 
J12  15 and oviducts for pathologic changes associated with infection. The 
J12  16 histopathology of the exo-and endocervix has been previously 
J12  17 described. The data presented is from a pool of animals killed at 
J12  18 various times after infection and is based on the total number of a 
J12  19 given specimen examined, rather than the total number of animals, 
J12  20 i.e., two uterine horns and two oviducts per animal. The percentage 
J12  21 of total endometrial tissues with specific pathologic changes is 
J12  22 presented in Figure 2. Only 1 in 12 animals showed inflammation by 
J12  23 day 3. Acute inflammation was the most prevalent finding at all 
J12  24 time points from day 7-12, peaking at day 9. Peak infiltrates with 
J12  25 lymphocytes and plasma cells were also seen at day 9 although the 
J12  26 percentage of animals showing these findings was less than those 
J12  27 showing acute inflammation. Fibrosis of endometrial stroma was 
J12  28 virtually unseen. The percentage of animals displaying an 
J12  29 inflammatory response decreased by day 12, and with the exception 
J12  30 of a single animal on day 20 (not shown), no histopathology was 
J12  31 identified in the endometrium after day 12 even including specimes 
J12  32 examined on days 30 and 75-85. Of interest is the observation that 
J12  33 on day 7, only 43.6% of the uterine horns were positive for 
J12  34 pathology whereas 63.8% were isolation positive. Similarly, on day 
J12  35 9, 57.7% were positive for pathology with 66.7% positive for 
J12  36 isolation.<p/>
J12  37 <p_><O_>caption&table<O/><p/>
J12  38 <p_>To further characterize the pathologic findings, we 
J12  39 semiquantified the morphologic findings in endometria showing 
J12  40 abnormalities (Figure 3). Animals were included if any pathologic 
J12  41 parameter was positive. The predominant pathologic finding was 
J12  42 acute inflammation particularly on days 7 and 9. Polymorphonuclear 
J12  43 leukocytes infiltrated the glandular surface epithelium, filled the 
J12  44 endometrial gland lumens, and were scattered throughout the 
J12  45 superficial stroma. Chronic inflammation was also present at all 
J12  46 timepoints, but in lesser quantity. The lymphocytes were arranged 
J12  47 in loose aggregates in the superficial stroma with occasional 
J12  48 transformed lymphocytes identified (Figure 4). Plasma cell 
J12  49 infiltrates were seen from days 5 through 12 but always in smaller 
J12  50 numbers than either polymorphonuclear leukocytes or lymphocytes. 
J12  51 Plasma cells were scattered throughout the endometrial stroma in a 
J12  52 patchy distribution.<p/>
J12  53 <p_><O_>figure&caption<O/><p/>
J12  54 <p_>In 12 uninfected control animals, an occasional solitary 
J12  55 lymphocyte aggregate was seen in either the uterine fundus or 
J12  56 horns. Infrequently, one or two endometrial glands contained a few 
J12  57 scattered polymorphonuclear leukocytes. There were no plasma cells, 
J12  58 fibrosis, or erosions identifed in any control animal. Thus, the 
J12  59 pathology described earlier in infected animals was obviously a 
J12  60 result of the infection and not associated with a normal resident 
J12  61 endometrial response.<p/>
J12  62 <h_><p_>Histopathologic Analysis of Oviduct and Mesosalpinx<p/><h/>
J12  63 <p_>Figure 5 illustrates the percentage of mesosalpingeal tissue 
J12  64 and oviducts that showed infiltrates of polymorpho<?_>-<?/>nuclear 
J12  65 leukocytes, lymphocytes or plasma cells and/or fibrosis. Because 
J12  66 many animals had only unilateral pathology, the data is presented 
J12  67 based on the total number of tissues examined. The number of 
J12  68 specimens in either the mesosalpinx or oviduct that had pathologic 
J12  69 changes was low at 7 days after infection, when the isolation of 
J12  70 organisms from the same specimens was maximum. Nevertheless, by 9 
J12  71 days after infection, the number of samples with pathologic changes 
J12  72 had doubled although this number was never as great as the total 
J12  73 number of specimens from which chlamydiae were isolated. Thus, some 
J12  74 tissues were isolation positive but did not have detectable 
J12  75 pathology.<p/>
J12  76 <p_><O_>figure&caption<O/><p/>
J12  77 <p_>Early in the infection (days 5-12), acute and chronic 
J12  78 inflammatory responses as well as plasma cell infiltration were 
J12  79 common in both the mesosalpinx and oviducts. By day 30, the acute 
J12  80 inflammatory and plasma cell responses had markedly diminished in 
J12  81 both tissues; however, lymphocytic infiltrates and fibrosis were 
J12  82 still evident in the mesosalpinx. Pathologic changes in the 
J12  83 oviducts at day 30 and beyond were minimal. The reactions in the 
J12  84 mesosalpinx continued to decrease, but 21% of the tissues still had 
J12  85 obvious fibrosis 75-85 days after infection, and 19% had ongoing 
J12  86 chronic inflammation.<p/>
J12  87 <p_>Semiquantification of the morphologic findings in the specimens 
J12  88 showing abnormalities is presented in Figure 6. The early stage of 
J12  89 the infection was characterized by an acute inflammatory reaction 
J12  90 in both the mesosalpinx and oviducts (Figure 7). Chronic 
J12  91 inflammation was also present early but did not reach its peak 
J12  92 level until day 12 in the mesosalpinx as did plasma cell 
J12  93 infiltration (Figure 8). The appearance of plasma cells 
J12  94 corresponded to the development of antibody that normally is 
J12  95 detectable about day 10. The development of fibrosis was primarily 
J12  96 restricted to the mesosalpinx and was maximum at day 12 although it 
J12  97 persisted and was still obvious as late as 75-85 days after 
J12  98 infection. Tubal dilatation (hydrosalpinx) was apparent in 12% of 
J12  99 the observed oviducts in the 75-85 day period, and in some cases, 
J12 100 was marked with tubal diameters as great as 1 cm.<p/>
J12 101 <p_><O_>figures&captions<O/><p/>
J12 102 <p_>Oviduct and mesosalpingeal tissues were also stained with 
J12 103 guinea pig anti-GPIC antibodies followed by peroxidase-labeled 
J12 104 rabbit anti-guinea pig IgG to visualize and localize chlamydial 
J12 105 antigen. Chlamydial antigen and inclusion bodies were commonly 
J12 106 detected in the 7-12 day period in the epithelial cells of the 
J12 107 oviduct (Figure 9).<p/>
J12 108 <p_><O_>figure&caption<O/><p/>
J12 109 <p_>Oviducts from uninfected animals were also examined to 
J12 110 determine whether any inflammatory infiltrates were normally 
J12 111 present. No acute or chronic inflammation was identified in any of 
J12 112 12 control animals nor were any plasma cells, fibrosis, or erosions 
J12 113 found.<p/>
J12 114 <h|>Discussion
J12 115 <p_>In this study, we describe a model for chlamydial genital 
J12 116 infection in which ascending infection to the endometrium and 
J12 117 oviducts routinely occurs as a result of vaginal inoculation of the 
J12 118 chlamydial agent. Other than the primate, which is limited in 
J12 119 usefulness by expense, the guinea pig:GPIC model represents the 
J12 120 only animal model in which ascending infection from a vaginal 
J12 121 inoculation, analogous to the human situation, can be commonly 
J12 122 demonstrated, even though GPIC is a member of the <tf_>C. 
J12 123 psittaci<tf/>, it has been found to elicit ocular and genital 
J12 124 infections remarkably paralleling the corresponding human disease. 
J12 125 GPIC primarily infects superficial epithelial cells of the cervix 
J12 126 and epithelial cells of the male urethra, but most significantly, 
J12 127 the infection can be transmitted sexually in guinea pigs. Moreover, 
J12 128 newborns of infected mothers acquire a conjunctival infection by 
J12 129 passage through the birth canal and can develop a pneumonia typical 
J12 130 of chlamydial pneumonia of the newborn when inoculated 
J12 131 intranasally. Hormonal effects on chlamydial infection can and have 
J12 132 been effectively studied in the guinea pig, since of all the 
J12 133 rodents, the reproductive system of the female guinea pig most 
J12 134 closely resembles the human with regard to their long estrous cycle 
J12 135 (17 days), spontaneous ovulation, and actively secreting corpus 
J12 136 luteum. Immunologically, guinea pigs develop both cell-mediated and 
J12 137 humoral immune responses to GPIC. Analogous to humans, guinea pigs 
J12 138 also produce significant antibody responses to the major outer 
J12 139 membrane protein (39 kDa), the chlamydial GroEL (57 kDa), the 
J12 140 Omp2protein (60 kDa), and lipopoly<?_>-<?/>saccharide of GPIC. Also 
J12 141 comparable to humans is the short immunity to reinfection that 
J12 142 occurs, with animals becoming susceptible to reinfection as early 
J12 143 as 2 months after the resolution of a primary infection.<p/>
J12 144 <p_><O_>caption&figure<O/><p/>
J12 145 <p_>Previously, we have only noted the develoment of upper tract 
J12 146 disease when animals have been manipulated either by treatment with 
J12 147 cyclophosphamide or estradiol. However, in those studies, the early 
J12 148 timepoints of the infection were not carefully evaluated or studied 
J12 149 in a large number of animals. In the current investigation, we 
J12 150 analyzed the tissues early after infection and found that in a high 
J12 151 percentage of guinea pigs, chlamydiae can be isolated form the 
J12 152 oviducts within 1 week of vaginal inoculation. The presence of 
J12 153 organisms in the oviducts is limited in duration, with 
J12 154 disappearance from the oviducts concomitant with the resolution of 
J12 155 cervical infection and the development of both cell-mediated 
J12 156 immunity and serum and secretion antibodies.<p/>
J12 157 <p_><O_>caption&figure<O/><p/>
J12 158 <p_>The ascending nature of the infection is confirmed by the fact 
J12 159 that no chlamydiae could be isolated from the oviducts on day 3 and 
J12 160 only a few on day 5 despite the presence of organisms in the cervix 
J12 161 of virtually all animals. Isolation from the uterus paralleled that 
J12 162 of the oviducts although animals became positive earlier in the 
J12 163 uterus. Thus, several days were required for the organisms to reach 
J12 164 both the endometrium and the oviducts. However, it is significant 
J12 165 that organisms could be recovered from the endometrium and oviducts 
J12 166 of almost 80% of the guinea pigs assessed at day 7. Moreover, the 
J12 167 appearance of the bacteria in the oviducts by day 7 also represents 
J12 168 a remarkably rapid ascending infection for a non-motile, slowly 
J12 169 growing organism. If one estrapolates these data to the human 
J12 170 situation, they suggest that a much higher number of women develop 
J12 171 upper tract infection than previously believed and that this may 
J12 172 occur quickly after infection. As stated earlier, Jones et al have 
J12 173 reported evidence in support of these data in cases of chlamydial 
J12 174 infections in women.<p/>
J12 175 <p_>However, it is interesting that not all animals that acquire 
J12 176 tubal infection go on to develop tubal pathology. Although 78% of 
J12 177 the animals had tubal infection on day 7, only 45% were found to 
J12 178 have pathologic changes in the oviducts on day 9, the time at which 
J12 179 maximum pathology was noted. Swenson et al using the direct 
J12 180 injection model with MoPn also observed that not all injected 
J12 181 animals developed salpingitis. A similar phenomenon was also noted 
J12 182 in our study with regard to isolation and pathologic changes in the 
J12 183 endometrium. Significantly, it has been recently reported that 
J12 184 chlamydiae could also be isolated from the fallopian tubes of women 
J12 185 without laparoscopic evidence for salpingitis. These data would 
J12 186 suggest that, in some cases, the immune response may be 
J12 187 sufficiently rapid in producing those effector functions that can 
J12 188 resolve the infection. Antibody can be detected in genital 
J12 189 secretions of guinea pigs as early as 10 days after infection, and 
J12 190 we have found even earlier appearance of antibody on some 
J12 191 occasions. Cell-mediated immunity, which is also required for 
J12 192 resolution of a chlamydial genital infection, can also be present 
J12 193 as early as 10 days.<p/>
J12 194 <p_>An alternative explanation for the variation in incidence of 
J12 195 pathology is that other physiologic factors may be affecting their 
J12 196 development. We have previously reported that when guinea pigs are 
J12 197 treated with estradiol in either pharmacologic or physiologic 
J12 198 doses, a markedly enhanced infection is noted in the cervix with a 
J12 199 significantly increased number of animals developing 
J12 200 hydro<?_>-<?/>salpinx. Moreover, the infection is prolonged when 
J12 201 compared with untreated controls. Sweet et al have also noted that 
J12 202 the onset of acute salpingitis in women occurred significantly more 
J12 203 often within 7 days following the beginning of menses than at other 
J12 204 times in their menstrual cycle. In addition, it has been 
J12 205 well<?_>-<?/>described that treatment with oral contraceptives does 
J12 206 increase the number of individuals from whom chlamydiae can be 
J12 207 isolated. Although hormonal changes are not the only possible 
J12 208 factor in the variance seen in tubal pathology, they certainly may 
J12 209 have some role based on available data. Since this model resembles 
J12 210 humans in that not all individuals develop overt salpingitis, it 
J12 211 will be useful to investigate those endogenous or exogenous factors 
J12 212 that alter the incidence of salpingitis. An important point, 
J12 213 however, is that a high number of individuals do have organisms in 
J12 214 the oviducts, and the development of overt salpingitis may be 
J12 215 dependent on factors that prevent elimination of the bacteria from 
J12 216 the oviducts or mediate the development of pathologic changes. 
J12 217 Furthermore, the presence of organisms in the oviducts may not 
J12 218 necessarily mandate the production of disease with harsh 
J12 219 sequelae.<p/>
J12 220 <p_>Finally, it was found that the pathologic changes occurring as 
J12 221 a result of chlamydial genital infection in the guinea pig with the 
J12 222 GPIC agent were remarkably parallel to that in human chlamydial 
J12 223 endometritis and salpingitis.
J12 224 
J13   1 <#FROWN:J13\><h_><p_>Between Bone Tissue-Type Comparison<p/><h/>
J13   2 <p_>The second step in the tissue-type comparison was to analyze 
J13   3 interbone variation using the bone sites selected as least and most 
J13   4 variable - the midshaft femur and vertebral body, respectively. 
J13   5 Waldron (1989) reported that between bones of the same skeleton, 
J13   6 elemental levels can vary by as much as a factor of two. 
J13   7 Elaborating upon the method employed by Tanaka et al. (1981) to 
J13   8 compare vertebra to other bones, the Nubian and modern samples were 
J13   9 compared for the degree of dissimilarity between cortical and 
J13  10 cancellous tissues using a modification of the two-sample Student's 
J13  11 <tf_>t<tf/>-test (Greene, 1973). Greene first developed this 
J13  12 modified t-test as a method for comparing hominoid species for 
J13  13 differences in the degree of sexual dimorphism expressed in the 
J13  14 dentition. the method was further revised by Greene (1989) for 
J13  15 comparisons <quote_>"between populations and comparisons between 
J13  16 generations within populations"<quote/> (p.121). This modification 
J13  17 was used in the present investigation as follows:<p/>
J13  18 <p_><O_>formula<O/><p/>
J13  19 <p_>where subscript: 1=Nubian midshaft femur<p/>
J13  20 <p_>2=Nubian vertebral body<p/>
J13  21 <p_>3=Modern midshaft femur<p/>
J13  22 <p_>4=Modern vertebral body<p/>
J13  23 <p_>Table 17 lists the results of these comparisons. Barium, 
J13  24 copper, iron, potassium, magnesium, manganese, and zinc show 
J13  25 significant (<tf|>p<0.05) tissue-type differences between Nubian 
J13  26 and modern samples. Of these, barium, iron, magnesium, manganese, 
J13  27 and zinc are more variable in the Nubians than the moderns. 
J13  28 Conversely, copper and potassium are more variable in the modern 
J13  29 samples.<p/>
J13  30 <p_><O_>caption&table<O/><p/>
J13  31 <p_>The more variable elements in the Nubian bone may indicate 
J13  32 enrichment from the soil. Except for zinc, each is found at higher 
J13  33 concentrations in the soil than in the bone. The reduced 
J13  34 variability of copper and potassium in the Nubian bone (compared to 
J13  35 the moderns) may indicate depletion of these elements into the 
J13  36 soil.<p/>
J13  37 <h_><p_>Summary of Element Selection<p/><h/>
J13  38 <p_>Seven tests were employed to identify five measures of 
J13  39 diagenesis among the elements - 1) range overlap between the modern 
J13  40 and Nubian samples; 2) variability among the elements using CV; 3) 
J13  41 antagonistic/synergistic interactions between the elements using 
J13  42 multi-element correlations; 4) analysis of bone contamination from 
J13  43 elements in the soil; and 5) variation between tissue-types to 
J13  44 assess enrichment/depletion of elements in bone. Based on these 
J13  45 measures, elements were divided into those minimally, moderately 
J13  46 and highly affected by diagenesis.<p/>
J13  47 <p_>Nubian means for the midshaft femur and for all sites combined 
J13  48 were overlayed on the modern distributions for each element. Only 
J13  49 one element fell outside the modern range - boron. Manganese and 
J13  50 iron varied for the combined site mean, but the Nubian femur mean 
J13  51 was within the modern distribution.<p/>
J13  52 <p_>Coefficients of variation were metrically ranked for the 
J13  53 Nubians and moderns across all sites combined and for the midshaft 
J13  54 femur alone. In all four rankings, calcium, phosphorus, magnesium, 
J13  55 sodium, and strontium were the least variable 100% of the time. 
J13  56 Vanadium was among the six least variable 87% of the time. The 
J13  57 three most variable elements across all four rankings were boron, 
J13  58 manganese, and zinc.<p/>
J13  59 <p_>When elements were ranked across all bone sites ordinally, 
J13  60 again calcium, phosphorus, sodium, magnesium, and strontium were 
J13  61 the least variable for both the Nubian and modern samples. Boron 
J13  62 and manganese were the most variable.<p/>
J13  63 <p_>All of the multi-element correlations noted for the Nubians 
J13  64 could be explained using the modern matrix or the literature, 
J13  65 except for zinc/phosphorus. The modern and Nubian patterns matched 
J13  66 for calcium/phosphorus, nickel/vanadium, potassium/sodium, and 
J13  67 boron/lead. The Nubians agreed with the literature for those 
J13  68 elements believed to be diagenetic - copper, iron, and manganese. 
J13  69 The strong strontium/barium and sodium/magnesium correlations were 
J13  70 also expected based on published studies (Buikstra et al., 
J13  71 1989).<p/>
J13  72 <p_>Comparison of the Nubian bones to associated soil values and to 
J13  73 the modern sample showed that calcium, phosphorus, strontium, and 
J13  74 sodium were not affected by enrichment or depletion from the 
J13  75 surrounding soil. Boron, iron, and manganese showed a pattern 
J13  76 indicative of enrichment, and potassium of depletion. Barium, 
J13  77 copper, magnesium, nickel, lead, and zinc were indeterminate 
J13  78 because while Nubian bone levels were below soil values, they were 
J13  79 equivalent to the modern samples.<p/>
J13  80 <p_>Tissue-type comparisons within and between bones also showed 
J13  81 distinct patterns. The within-bone comparison between cortical and 
J13  82 cancellous bone showed that elements concentrated in the same 
J13  83 tissues for both the femur and humerus. When the percent variation 
J13  84 between tissues was compared, calcium, phosphorus, strontium, 
J13  85 magnesium, sodium, and potassium were found in highest 
J13  86 concentrations in cortical bone. The latter three, significantly 
J13  87 so. All other elements concentrated in cancellous bone. According 
J13  88 to the literature (Buikstra et al., 1989; Waldron, 1989), elements 
J13  89 concentrating in cancellous bone are more likely the result of 
J13  90 diagenesis than those in cortical bone.<p/>
J13  91 <p_>The between-bone tissue-type comparison showed degree of 
J13  92 dissimilarity for the least and most variable bone sites in the 
J13  93 Nubian skeleton. Barium, iron, magnesium, manganese, and zinc were 
J13  94 more variable among the Nubian bones, possibly indicating 
J13  95 enrichment. Copper and potassium, were found to vary less in the 
J13  96 Nubians than moderns, indicating potential depletion.<p/>
J13  97 <p_>Other than the between bone comparison, for each measure, 
J13  98 calcium, phosphorus, sodium, and strontium appeared the least 
J13  99 affected by diagenesis. Magnesium also rated high in each test 
J13 100 except the soil and between-bone comparisons. Boron and manganese 
J13 101 were consistently ranked the most variable. Based on these 
J13 102 comparisons, calcium, phosphorus, magnesium, strontium, and sodium 
J13 103 are considered minimally affected; barium, copper, nickel, 
J13 104 vanadium, iron, potassium, and zinc, moderately affected; and, 
J13 105 boron and manganese, highly affected.<p/>
J13 106 <h_><p_>SUMMARY OF DIAGENESIS EVALUATION<p/><h/>
J13 107 <p_>Analysis of the degree of diagenesis was conducted along 
J13 108 multiple lines of inquiry. First, the quality of the bone 
J13 109 composition was assessed. Then bone sites were compared to 
J13 110 determine which were the least affected in the depositional 
J13 111 environment. Finally, elements were tested for alteration and 
J13 112 grouped into those minimally, moderately, and highly affected by 
J13 113 diagenesis.<p/>
J13 114 <p_>Bone preservation proved exceptional by all measures except 
J13 115 %ash. However, this discrepancy is very likely the result of 
J13 116 experimenter error. Of the bone sites, the midshaft femur proved 
J13 117 the least altered, based on a rank-ordering of coefficients of 
J13 118 variation for both Nubian and modern samples. Among the elements, 
J13 119 calcium, phosphorus, magnesium, sodium, and strontium were judged 
J13 120 minimally affected by diagenesis. Boron and manganese were the most 
J13 121 affected, and all other elements were moderately altered.<p/>
J13 122 <p_>This analysis employed virtually all the conventional methods 
J13 123 suggested in the literature for assessing diagenesis (Price, 1989; 
J13 124 Buikstra et al., 1989). Several traditional tests were modified in 
J13 125 this study, and others were introduced for future use. Whereas 
J13 126 diagenesis cannot be measured directly, the present analysis 
J13 127 demonstrates a strong circumstantial argument for selection of the 
J13 128 least affected bone and elements in the Nubian remains.<p/>
J13 129 <h_><p_>CHAPTER 5:<p/>
J13 130 <p_>RESULTS AND DISCUSSION II:<p/>
J13 131 <p_>BIOCULTURAL RECONSTRUCTION<p/><h/>
J13 132 <p_>Numerous biocultural reconstructions of ancient human 
J13 133 populations have been conducted utilizing chemical analyses (for 
J13 134 reviews of this literature, see Klepinger 1984; Price et al, 1985; 
J13 135 Gilbert, 1975; Schoeninger 1979; Sillen and Kavanagh, 1982; Price, 
J13 136 1989; Buikstra et al., 1989). Most promote an interdisciplinary 
J13 137 approach to the use of elemental variation.<p/>
J13 138 <p_>A principal advantage of the Nubian remains to elemental 
J13 139 analysis is the rich biocultural context within which the elemental 
J13 140 data can be interpreted. Price et al (1985) and Blakely and Beck 
J13 141 (1981) recommended that chemical analyses be conducted in concert 
J13 142 with nutritional and paleopathological investigations of ancient 
J13 143 remains, the later stating that elemental research is <quote_>"of 
J13 144 little utility when ... findings cannot be corroborated by other 
J13 145 sources of information, such as demographic data or pathological 
J13 146 diagnoses"<quote/> (p.422). Martin and Armelagos (1985) concurred, 
J13 147 advising that elemental analyses will not realize their full 
J13 148 potential <quote_>"until they are used in conjunction with other 
J13 149 techniques such as gross and microscopic analyses. A thorough 
J13 150 understanding of nutritional deficiencies and health in prehistory 
J13 151 will require an examination of anatomy, pathology, histology, and 
J13 152 chemistry in a systematic analysis using multiple 
J13 153 indicators"<quote/> (p.527).<p/>
J13 154 <p_>The biocultural analysis of elemental variation at Kulubnarti 
J13 155 will proceed along two lines of inquiry. First, a general 
J13 156 assessment by age and sex will be conducted. Then given the 
J13 157 importance of independent lines of confirmatory evidence noted by 
J13 158 the authors quoted above, the second phase of the investigation 
J13 159 will focus on previous studies of aging, nutrition, and disease at 
J13 160 Kulubnarti. Based on the results of Chapter 4, only the femur will 
J13 161 be used in these analyses. Also, given the substantial evidence of 
J13 162 their idagenetic alteration, boron and manganese will be excluded 
J13 163 from further consideration.<p/>
J13 164 <h_><p_>BIOCULTURAL DIMENSIONS AT KULUBNARTI<p/><h/>
J13 165 <p_>As previously discussed, the people of the <tf_>Batn el 
J13 166 Hajar<tf/> lived in villages of perhaps a dozen households 
J13 167 dependent on small-scale farming for their livelihood. Agriculture 
J13 168 was intensified where possible by simple irrigation systems and 
J13 169 retaining walls which protected alluvial soils. Staple crops 
J13 170 included sorghum, dates, millet, barley, beans, lentils, peas, and 
J13 171 a small amount of wheat. Coprolite analysis also revealed that some 
J13 172 fish and crocodile were consumed (Cummings, 1988). In addition, a 
J13 173 few cattle, sheep and pigs were kept, but animal protein appears to 
J13 174 have been a minor part of the Nubian diet (Carlson et al., 1974; 
J13 175 Adams, 1977).<p/>
J13 176 <p_>From the standpoint of dietary variation within the Kulubnarti 
J13 177 population, the archaeological (Adams, 1977) and biological records 
J13 178 (Van Gerven et al., 1981) overwhelmingly support a single 
J13 179 interpretation: Kulubnarti was an egalitarian community of 
J13 180 household producers and consumers. The few communal activities that 
J13 181 existed were limited to production and maintenance of the village 
J13 182 <tf|>saquia (waterwheel) and the irrigation ditches and retaining 
J13 183 walls. There is no indication of a political or economic elite with 
J13 184 preferential access to critical resources.<p/>
J13 185 <h_><p_>BIOCULTURAL RECONSTRUCTIONS UTILIZING ELEMENTAL 
J13 186 ANALYSIS<p/><h/>
J13 187 <p_>Elemental analyses in the past have been applied to questions 
J13 188 of: differential access to food resources related to status (Brown, 
J13 189 1973; Schoeninger, 1979; Lambert et al., 1979; Blakely and Beck, 
J13 190 1981; Hatch and Geidel, 1985), sex (Brown, 1973; Schoeninger, 1979; 
J13 191 Lambert et al., 1979; Price et al., 1986); changes in subsistence 
J13 192 methods (Lambert et al, 1979; Gilbert, 1975; Jaworoski et al, 1985; 
J13 193 Katzenberg, 1984; Price and Kavanagh, 1982; Sillen 1981; 
J13 194 Schoeninger 1982); relative contributions of plant versus animal 
J13 195 resources (Lambert et al, 1983; Price et al., 1986); contributions 
J13 196 of marine versus terrestrial resources (Connor and Slaughter, 
J13 197 1984); patterns of weaning (Sillen and Smith, 1985); and, residence 
J13 198 patterns (Ericson, 1985). However, inclusion of many of these 
J13 199 parameters in the present investigation was not possible.<p/>
J13 200 <p_>For example, the Kulubnarti Nubians were egalitarian, 
J13 201 therefore, evidence for preferential access to food resources based 
J13 202 on political or economic status was absent. Given that only 
J13 203 individuals from the Feudal period were examined, no analysis of 
J13 204 diachronic change in subsistence patterns was possible. Also, an 
J13 205 examination of marine versus terrestrial resources could not be 
J13 206 conducted because the <tf_>Batn el Hajar<tf/> is land-locked. 
J13 207 Patterns of weaning could not be assessed because only adults were 
J13 208 studied. And finally, analysis of residence patterns requires 
J13 209 examination of elemental concentrations in the teeth and bone to 
J13 210 determine childhood versus adult strontium levels. Teeth were not 
J13 211 studied in the present investigation.<p/>
J13 212 <p_>Lacking evidence for either political/economic stratification 
J13 213 or temporal change, elemental variation related to nutrition and 
J13 214 disease at Kulubnarti was analyzed from the demographic 
J13 215 perspectives of age and sex. Price (1985) took a similar approach 
J13 216 in his analysis of a prehistoric Amerindian population stating that 
J13 217 <quote_>"Late Archaic groups are generally regarded as egalitarian 
J13 218 so that dietary differences associated with rank, status or 
J13 219 position do not play a major role"<quote/> (p 450). Outlined below 
J13 220 is a review of the literature pertaining to sex and age-related 
J13 221 variation in elemental concentrations, followed by the pertinent 
J13 222 findings of the present investigation.<p/>
J13 223 <p_>Prior to an analysis of elemental variation by age, sex, diet 
J13 224 or disease however, it is important to describe features of those 
J13 225 elements that most often appear in such reconstructions. These 
J13 226 include strontium, barium, magnesium, and zinc.<p/>
J13 227 <h|>Strontium
J13 228 <p_>Strontium is an alkaline earth metal with an uneven 
J13 229 distribution throughout the lithosphere (Odum, 1951). There are 
J13 230 four naturally occurring isotopes and 14 radionuclides. Of the 
J13 231 latter, two are the result of nuclear fission, which explains the 
J13 232 vast body of knowledge amassed for this element.<p/>
J13 233 <p_>Strontium has a similar ionization energy, ionic size, and 
J13 234 electron configuration to calcium, and therefore behaves in a 
J13 235 similar fashion. Both enter the foodchain at the plant level 
J13 236 through soil and water, and the amount found in plants is directly 
J13 237 proportional to the concentrations in the local environment. Plants 
J13 238 do not discriminate between calcium and strontium in absorption, 
J13 239 and therefore have a higher strontium concentration than that found 
J13 240 at any other trophic level.
J13 241 
J14   1 <#FROWN:J14\>In adults, the small number of patients and their 
J14   2 uniformly poor performance status has not allowed clear 
J14   3 identification of the high-risk group. However, certain clinical 
J14   4 features, as well as immunologic and morphologic features, of adult 
J14   5 ALL have been associated with poorer clinical performance.<p/>
J14   6 <h_><p_>Clinical Features<p/><h/>
J14   7 <p_>Sex, age, initial blast count, initial platelet count, and 
J14   8 organ involvement are features that identify high-risk patients. 
J14   9 Males do more poorly than females. Patients over 40 years of age 
J14  10 have a shorter mean survival time than those below 40. 
J14  11 Hepatosplenomegaly and/or lymphadenopathy at presentation has been 
J14  12 associated with shorter remission duration, although the presence 
J14  13 of isolated splenomegaly may indeed not be a high-risk factor.<p/>
J14  14 <p_>The white blood cell count at presentation is clearly most 
J14  15 important in predicting remission duration. Blast counts in excess 
J14  16 of 100,000 cell/mm<sp_>3<sp/> were a dire prognostic sign in many 
J14  17 series. Additionally, statistically significant longer remissions 
J14  18 were demonstrated in patients presenting with an initial blast 
J14  19 count of 10,000 cells/mm<sp_>3<sp/> or less. Survival is also 
J14  20 adversely affected by decreased platelet counts at presentation: 
J14  21 survival was significantly worse in patients with presenting 
J14  22 platelet counts below 50,000/mm<sp_>3<sp/>. Finally, the presence 
J14  23 of central nervous system involvement at the time of diagnosis was 
J14  24 associated with a significantly shorter survival.<p/>
J14  25 <p_><O_>table&caption<O/><p/>
J14  26 <h_><p_>Morphologic and Immunologic Subtypes<p/><h/>
J14  27 <p_>The L<sb_>3<sb/> B cell ALL has a very poor prognosis in most 
J14  28 series. In rank order of increasingly good prognosis, the 
J14  29 immunologic subtypes may be listed as follows: B cell ALL, T cell 
J14  30 ALL, null cell ALL, and common ALL. Whether these immunologic 
J14  31 subtypes are independent prognostic variables or whether they 
J14  32 reflect differences in clinical presentation remains unclear at the 
J14  33 present time.<p/>
J14  34 <h|>Treatment
J14  35 <p_>Chemotherapy with cytotoxic agents remains the cornerstone of 
J14  36 the treatment of adult ALL. The present-day approach has been 
J14  37 developed as a result of multiple clinical trials in both pediatric 
J14  38 and adult patients. The therapy is divided into remission induction 
J14  39 (restoration of the normal hematologic state with less than 5% 
J14  40 blasts in the bone marrow aspirate), early intensification once 
J14  41 remission is obtained, <}_><-|>maintanence<+|>maintenance<}/> 
J14  42 therapy to maintain the leukemia-free state, and central nervous 
J14  43 system prophylaxis or treatment.<p/>
J14  44 <h_><p_>Induction and Early Intensification<p/><h/>
J14  45 <p_>A comparison of various induction regimens is shown in Table 
J14  46 4-5. Initial complete remission rates with vincristine and 
J14  47 prednisone in adults with ALL were approximately 40%-50%, and the 
J14  48 remissions were of short duration. it was shown in a number of 
J14  49 trials that the addition of daunorubicin or doxorubicin to the 
J14  50 induction regimen increased the complete remission rate to 70%-80%. 
J14  51 The addition of L-asparaginase to the vincristine and prednisone 
J14  52 combination yielded similar success.<p/>
J14  53 <p_>Cancer and Leukemia Group b (CALGB) showed that the addition of 
J14  54 L-asparaginase after induction with vincristine and prednisone 
J14  55 resulted in more long-term remissions than the simultaneous 
J14  56 administration of the three drugs or than vincristine and 
J14  57 prednisone used alone. Lister et al,. using vincristine, 
J14  58 prednisone, daunorubicin, and L-asparaginase in combination 
J14  59 reported a complete remission rate of 71%.<p/>
J14  60 <p_>The concept of early intensification has been sparked by the 
J14  61 disappointing duration of remission in the adult population. Gee et 
J14  62 al. reported a mean remission duration of 24 months with a program 
J14  63 incorporating cytosine arabinoside, 6-thioguanine, L-asparaginase, 
J14  64 and carmustine after induction with vincristine, prednisone, and 
J14  65 daunorubicin. Trials in the pediatric population by Aur et al. and 
J14  66 Muriel-Sackman et al., using cytosine arabinoside, 
J14  67 cyclophosphamide, and methotrexate intensification, showed no 
J14  68 improvement in remission duration.<p/>
J14  69 <p_>It appears safe to conclude that the approach to adult ALL 
J14  70 should include intensive induction with vincristine, prednisone, 
J14  71 and an anthracycline, with the addition of L-asparaginase soon 
J14  72 after. An example of such a regimen is shown in Table 4-6. The role 
J14  73 of early and late intensification remains unclear.<p/>
J14  74 <p_><O_>table&caption<O/><p/>
J14  75 <h|>Maintenance
J14  76 <p_>The need for effective maintenance therapy in ALL is evidenced 
J14  77 by the high relapse rates in patients in whom a complete marrow 
J14  78 remission is obtained. Short remission durations were noted in 
J14  79 studies using short intensive induction courses of chemotherapy. 
J14  80 Similarly, patients in complete remission who discontinue therapy 
J14  81 relapse quickly. The most commonly used maintenance schedule has 
J14  82 been methotrexate and 6-mercaptopurine. Attempts to improve 
J14  83 maintenance duration with the addition of intermittent vincristine, 
J14  84 prednisone, cytosine arabinoside, and cyclophosphamide have not 
J14  85 proved successful. Sallan et al. reported improvement in duration 
J14  86 of remissions with the addition of doxorubicin to vincristine, 
J14  87 methotrexate, 6-mercaptopurine, and prednisone. However, it is too 
J14  88 early to know whether this improvement will stand the test of time. 
J14  89 As there are so few patients remaining in complete remission, the 
J14  90 question of duration of maintenance therapy remains unanswered in 
J14  91 adults. In children, it appears that therapy can safely be stopped 
J14  92 after 3 years of relapse-free maintenance therapy.<p/>
J14  93 <h|>Relapse
J14  94 <p_>Hematologic relapse occurs in 70%-80% of adult patients with 
J14  95 ALL in whom a complete remission is obtained. Once in relapse, 
J14  96 reinduction with vincristine, prednisone, anthracyclines, 
J14  97 L-asparaginase, or cytosine arabinoside is successful in 80% of 
J14  98 children and 50%-70% of adults. These remissions are usually short, 
J14  99 especially in patients having relapsed during maintenance 
J14 100 chemotherapy. New chemotherapeutic agents, such as m-AMSA, VP-16 
J14 101 and VM-26, are being used in refractory ALL with variable success. 
J14 102 High-dose therapy with either methotrexate or cytosine arabinoside 
J14 103 is also being used.<p/>
J14 104 <h_><p_>Central Nervous System Prophylaxis and Treatment<p/><h/>
J14 105 <p_>With improvement in the treatment of ALL in children, the 
J14 106 incidence of central nervous system involvement by leukemic 
J14 107 infiltration became significant, occurring in 50%-60% of patients 
J14 108 in hematologic remission. The problem of central nervous system 
J14 109 involvement was realized as early as 1965, when Frei et al. of 
J14 110 CALGB instituted intrathecal methotrexate in the induction regimen 
J14 111 for childhood ALL. This led to a series of trials over the years to 
J14 112 examine the question of central nervous system prophylaxis. The St. 
J14 113 Jude's group showed a decrease in incidence to less than 10% with 
J14 114 the institution of whole-brain irradiation therapy in intrathecal 
J14 115 methotrexate. The same group showed similar results using 2400 rads 
J14 116 craniospinal irradiation. This group and others have shown that the 
J14 117 goal of central nervous system prophylaxis can be achieved with 
J14 118 whole-brain irradiation therapy and intrathecal methotrexate, 
J14 119 avoiding spinal irradiation, which causes bone marrow suppression 
J14 120 and a higher incidence of complications. Attempts to avoid central 
J14 121 nervous system disease by incorporating drugs that cross the 
J14 122 blood-brain barrier have been ineffective.<p/>
J14 123 <p_>The problem of central nervous system leukemia was observed in 
J14 124 the adult population as well, with an incidence of at least 
J14 125 40%-50%. Omura et al. showed that 2400 rads whole-brain 
J14 126 radiotherapy combined with five doses of intrathecal methotrexate 
J14 127 in doses of 10 mg/m<sp_>2<sp/> (15 mg maximum dose) decreased 
J14 128 central nervous system incidence from 11/34 in an untreated group 
J14 129 to 3/28 in a treated group. Unfortunately, no difference in the 
J14 130 duration of hematologic remission nor survival could be seen 
J14 131 between the two groups. The L<sb_>2<sb/> protocol series from 
J14 132 memorial Hospital, which incorporated intrathecal methotrexate 
J14 133 without radiotherapy, had a 66% incidence of central nervous system 
J14 134 disease in patients with white counts above 25,000/mm<sp_>3<sp/>. 
J14 135 It seems that the combination of whole-brain radiotherapy and 
J14 136 intrathecal methotrexate should be advocated at this time. 
J14 137 Investigations into intraventricular drug delivery via Ommaya 
J14 138 reservoir are currently under way.<p/>
J14 139 <p_>In patients with documented central nervous system leukemia, 
J14 140 treatment is approached by a combination of radiotherapy and 
J14 141 intrathecal methotrexate or cytoxine arabinoside. Clinical 
J14 142 presentation of central nervous system leukemia is variable. 
J14 143 Cranial nerve palsies are common due to leukemic infiltration of 
J14 144 nerve sheaths at presentation. Diagnosis depends on cytologic 
J14 145 examination of cytocentrifuge preparations of cerebrospinal fluid. 
J14 146 The CNS relapse rates are high in patients in whom intrathecal 
J14 147 therapy is discontinued once central nervous system relapse has 
J14 148 occurred.<p/>
J14 149 <h_><p_>New Approaches to ALL<p/><h/>
J14 150 <p_>Despite advances in remission induction rates, the ability to 
J14 151 cure ALL with conventional chemotherapy in the majority of adults 
J14 152 remains elusive. New approaches have emerged to improve results in 
J14 153 these patients.<p/>
J14 154 <h_><p_>Bone Marrow Transplantation<p/><h/>
J14 155 <p_>Bone marrow transplantation of 22 patients with HLA-compatible 
J14 156 donors, aged 4-22 years, in second or subsequent remission, has 
J14 157 resulted in long-term survival: 50% remain in remission at 15-35 
J14 158 months after transplant. Only 18% of those transplanted in relapse 
J14 159 have survived. Therefore, it appears that transplant of patients in 
J14 160 second or subsequent remission is preferable to transplant once 
J14 161 disease is refractory. When transplantation was compared with 
J14 162 conventional chemotherapy in patients in second or subsequent 
J14 163 remission, 11 of 24 of the transplanted group remained disease free 
J14 164 at 17-55 months, whereas only 1 child of 21 treated with 
J14 165 conventional chemotherapy remained in remission for more than 2 
J14 166 years. Certainly, bone marrow transplantation is not available for 
J14 167 all patients. However, if available, one should screen family 
J14 168 members for HLA-compatible donors and should consider transplant 
J14 169 for patients under 30 years old during second remission or possibly 
J14 170 in first remission if they have 'high-risk' disease (i.e., a high 
J14 171 white count at presentation, and null, B, or T cell disease).<p/>
J14 172 <h_><p_>Serotherapy and Specific Therapy<p/><h/>
J14 173 <p_>With the expansion of immunologic techniques and subtyping of 
J14 174 ALL, passive serotherapy with anti-CALLA antibodies has been 
J14 175 attempted in patients with CALLA-positive ALL. Initial responses 
J14 176 have been noted; however, these have been very short lived. The 
J14 177 role of immunologic manipulation in the therapy of ALL remains 
J14 178 experimental and speculative. Finally, specific selective therapy 
J14 179 has been reported with 2-deoxycoformycin, an inhibitor of adenosine 
J14 180 deaminase in a patient with T cell ALL.<p/>
J14 181 <h|>Outlook
J14 182 <p_>ALL remains a fatal disease in 70%-80% of affected adults. It 
J14 183 has been seen that the favorable results in adult ALL have more or 
J14 184 less been confined to adolescents and young adults, with the 
J14 185 'older' population faring less well.<p/>
J14 186 <p_>The challenges seem clear. The role of both early and late 
J14 187 intensification requires further study. Furthermore, more precise 
J14 188 designations of poor prognostic signs need to be made in the adult 
J14 189 population so that more intensive treatment may be attempted. The 
J14 190 immunologic approach to therapy is in its infancy and clearly needs 
J14 191 development. It is hoped that these advances will come quickly and 
J14 192 improvement in long-term survival will be realized.<p/>
J14 193 <h_><p_>Chronic Lymphocytic Leukemia<p/><h/>
J14 194 <p_>Chronic lymphocytic leukemia (CLL) was described by Dameshek as 
J14 195 <quote_>"an accumulative disease of immunologically incompetent 
J14 196 lymphocytes."<quote/> This concise definition describes the 
J14 197 majority of patients with CLL, who present with physical findings 
J14 198 and laboratory data that are consistent with Dameshek's theory. CLL 
J14 199 is a disease of older persons: less than 10% of patients present 
J14 200 before the age of 50 years. Men are about two times as likely to 
J14 201 develop CLL as are women. As in all forms of leukemia, CLL is more 
J14 202 common in the white than in the black population.<p/>
J14 203 <p_>The diagnosis of CLL is based on the minimal requirement of an 
J14 204 absolute and sustained lymphocytosis in the peripheral blood of no 
J14 205 less than 15,000 cells/mm<sp_>3<sp/>. The bone marrow is 
J14 206 hypercellular and more than 40% of the cells are lymphocytes. The 
J14 207 lymphocytes in peripheral blood and marrow are of the small, 
J14 208 well-differentiated type (Figure 4-4). Slowly enlarging lymph nodes 
J14 209 and gradual enlargement of the liver and spleen due to the 
J14 210 accumulation of neoplastic lymphocytes may occur early or late in 
J14 211 the course of the disease. The immunologic incompetence of the 
J14 212 expanding lymphocyte population expresses itself in 
J14 213 hypo<?_>-<?/>gammaglobulinemia with predisposition to infections, 
J14 214 and in the emergence of such autoimmune phenomena as the production 
J14 215 of antibodies against host red blood cells.<p/>
J14 216 <h_><p_>Biology<p/>
J14 217 <p_>Lymphocytes in Chronic Lymphocytic Leukemia<p/><h/>
J14 218 <p_>CLL primarily represents a clonal proliferation of B 
J14 219 lymphocytes (Figure 4-2). The malignant cells have immunoglobulin 
J14 220 molecules on their surfaces bearing the same idiotype and light 
J14 221 chain type. The most common surface immunoglobulins are IgM and 
J14 222 IgD. The finding of two heavy chain classes does not preclude the 
J14 223 concept of monoclonality, as the IgD and IgM have the same idiotype 
J14 224 specificity and presumably reflect a stage of differentiation of 
J14 225 normal B lymphocytes. CLL lymphocytes also express the Ia antigen, 
J14 226 the receptor for C'3, and the receptor for the Fc portion of 
J14 227 immunoglobulin.<p/>
J14 228 <p_>Studies of the clonal origin of CLL have used 
J14 229 glucose-6-phosphate dehydrogenase (G6PD) as a marker in patients 
J14 230 who are heterozygous at this locus. Skin tissue from these patients 
J14 231 manifested both A and B G6PD types. However, as one would predict, 
J14 232 the CLL B lymphocytes manifested only one type of G6PD. In contrast 
J14 233 to the neoplastic B lymphocytes, the T lymphocytes, granulocytes, 
J14 234 erythrocytes, and platelets displayed both enzyme types in 
J14 235 proportions similar to those found in skin. These findings indicate 
J14 236 that CLL involves only committed B lymphocyte progenitors.
J14 237 
J15   1 <#FROWN:J15\><h_><p_>Molecular Mechanisms of Drug Addiction<p/>
J15   2 <p_>Eric J. Nestler<p/>
J15   3 <p_>Laboratory of Molecular Psychiatry, Departments of Psychiatry 
J15   4 and Pharmacology, Yale University School of Medicine, Connecticut 
J15   5 Mental Health Center, New Haven, Connecticut 06508<p/><h/>
J15   6 <p_>Drug addiction has afflicted mankind for centuries, yet the 
J15   7 mechanisms by which particular drugs lead to addiction, and the 
J15   8 genetic factors that make some individuals particularly vulnerable 
J15   9 to addiction, have remained elusive. From a clinical perspective, 
J15  10 drug abuse continues to exact enormous human and financial costs on 
J15  11 society, yet all currently available treatments for drug addiction 
J15  12 are notoriously ineffective. The search for a better understanding 
J15  13 of the neurobiological mechanisms underlying the addictive actions 
J15  14 of drugs of abuse and of the genetic factors that contribute to 
J15  15 addiction should be given a high priority, as this should result in 
J15  16 crucial advances in our ability to treat and prevent drug 
J15  17 addiction.<p/>
J15  18 <p_>From the basic neuroscience perspective, study of the 
J15  19 neurobiology of drug addiction offers a novel opportunity to 
J15  20 establish the biological basis of a complex and clinically relevant 
J15  21 behavioral abnormality. Many prominent aspects of drug addiction in 
J15  22 people can be clearly reproduced in laboratory animals, in striking 
J15  23 contrast to most other forms of neuropsychiatric illness, such as 
J15  24 psychotic and affective disorders, animal models for which are much 
J15  25 harder to interpret. Advances made in the study of drug addiction 
J15  26 should provide important insights into mechanisms underlying some 
J15  27 of these other disorders.<p/>
J15  28 <p_>Three terms related to drug abuse are used commonly: 
J15  29 <tf_>tolerance, dependence,<tf/> and <tf|>addiction. Tolerance 
J15  30 represents a reduced effect upon repeated exposure to a drug at a 
J15  31 constant dose, or the need for an increased dose to maintain the 
J15  32 same effect. Dependence is defined as the need for continued 
J15  33 exposure to a drug so as to avoid a withdrawal syndrome (physical 
J15  34 and/or psychological disturbances) when the drug is withdrawn. 
J15  35 Dependence is considered a priori to result from adaptive changes 
J15  36 that develop in body tissues in response to repeated drug exposure. 
J15  37 The traditional distinction between physical and psychological 
J15  38 dependence is somewhat artificial, since both are mediated by 
J15  39 neural mechanisms, possibly even similar neural mechanisms, as will 
J15  40 be seen below. Addiction is defined as the compulsive use of a drug 
J15  41 despite adverse consequences. In the past, physical dependence was 
J15  42 part of the definition of addicton. However, the requirement for 
J15  43 physical dependence as a neccessary or sufficient aspect of drug 
J15  44 addiction is no longer considered valid. Many drugs with no abuse 
J15  45 potential, for example, <*_>beta<*/>-adrenergic antagonists, 
J15  46 clonidine, and tricyclic antidepressants, can produce marked 
J15  47 physical symptoms on withdrawal. On the other hand, many 
J15  48 unquestionably severe abusers of some drugs have little or no 
J15  49 physical withdrawal syndrome upon cessation of drug exposure (e.g., 
J15  50 most marijuana or cocaine users). Similarly, not all drugs of abuse 
J15  51 produce tolerance to all of their effects.<p/>
J15  52 <p_>This article reviews the results of recent research efforts 
J15  53 that have begun to characterize the neurobiological basis of 
J15  54 compulsive drug use. Its major focus is on opiates and cocaine, 
J15  55 since the addictive mechanisms underlying the actions of these 
J15  56 drugs are the best understood.<p/>
J15  57 <h_><p_>Cellular site of drug addiction<p/><h/>
J15  58 <p_>The discovery of endogenous opiate receptors in the 1970s 
J15  59 raised the possibility that opiate addiction might be mediated by 
J15  60 changes in these receptors. However, a decade of research has 
J15  61 failed to identify consistent changes in the number of opiate 
J15  62 receptors, or changes in their affinity for opiate ligands, under 
J15  63 conditions of opiate addiction (Loh and Smith, 1990). Changes in 
J15  64 levels of endogenous opioid peptides also do not appear to explain 
J15  65 prominent aspects of opiate tolerance and dependence. The discovery 
J15  66 that cocaine and other addictive psychostimulants acutely inhibit 
J15  67 the reuptake or stimulate the release of monoamines throughout the 
J15  68 brain has focused study of their addictive mechanisms on the 
J15  69 regulation of monoamine neurotransmitters and their receptors. 
J15  70 These studies too have been disappointing because it has been 
J15  71 difficult to demonstrate consistent long-term changes in specific 
J15  72 neurotransmitter or receptor systems in brain regions thought to 
J15  73 underlie psychostimulant addiction (see Clouet et al., 1988; 
J15  74 Liebman and Cooper, 1989; Peris et al., 1990).<p/>
J15  75 <p_>The failure to account for important aspects of opiate and 
J15  76 psychostimulant addictions in terms of regulation of 
J15  77 neuro<?_>-<?/>transmitters and receptors has shifted attention to 
J15  78 postreceptor mechanisms. Most types of neurotransmitter receptors 
J15  79 present in brain produce most of their physiological responses in 
J15  80 target neurons through a complex cascade of intracellular 
J15  81 messengers. These intracellular messengers include G-proteins 
J15  82 (Simon et al., 1991), which couple the receptors to intracellular 
J15  83 effector systems, and the intracellular effector systems 
J15  84 themselves, which include second messengers, protein kinases and 
J15  85 protein phosphatases, and phosphoproteins (Nestler and Greengard, 
J15  86 1984, 1989). Regulation of these intracellular messenger pathways 
J15  87 mediates the effects of the neurotransmitter-receptor systems on 
J15  88 diverse aspects of neuronal function, including gene expression. 
J15  89 Given that many important aspects of drug addiction develop 
J15  90 gradually and progressively in response to continued drug exposure, 
J15  91 and can persist for a long time after drug withdrawal, it is likely 
J15  92 that the regulation of neuronal gene expression is of particular 
J15  93 relevance to addiction.<p/>
J15  94 <p_>In recent years, the increasing knowledge of intracellular 
J15  95 messenger pathways has provided an experimental framework for 
J15  96 studies of the molecular mechanisms underlying drug addiction. 
J15  97 These investigations have demonstrated that changes in the activity 
J15  98 of G-proteins and the cAMP second messenger and protein 
J15  99 phosphorylation pathway mediate important aspects of opiate, and 
J15 100 possibly cocaine, addiction in a number of drug<?_>-<?/>responsive 
J15 101 brain regions.<p/>
J15 102 <h_><p_>Molecular mechanisms underlying opiate tolerance, 
J15 103 dependence, and withdrawal: studies in the locus coeruleus<p/><h/>
J15 104 <p_>The locus coeruleus (LC) of the rat has served for many years 
J15 105 as a useful model of opiate action. The LC is the largest 
J15 106 noradrenergic nucleus in brain, located bilaterally on the floor of 
J15 107 the fourth ventricle in the anterior pons. It is particularly 
J15 108 suited for biochemical and molecular investigations, as it is a 
J15 109 relatively homogeneous brain region that has been extensively 
J15 110 characterized anatomically and electrophysiologically.<p/>
J15 111 <p_>Pharmacological and behavioral studies have indicated that 
J15 112 modulation of LC neuronal firing rates contributes to physical 
J15 113 aspects of opiate addiction, namely, physical dependence and 
J15 114 withdrawal, in several mammalian species, including primates (see 
J15 115 Redmond and Krystal, 1984; Rasmussen et al., 1990). The importance 
J15 116 of the LC in mediating opiate addiction is highlighted by a recent 
J15 117 study that examined the effects of local injection of an opiate 
J15 118 receptor antagonist into various brain regions of opiate-dependent 
J15 119 rats (Maldonado et al., 1992). The most severe opiate withdrawal 
J15 120 syndrome was produced by antagonist injections into the LC, which, 
J15 121 in fact, elicited a withdrawal syndrome even more severe than that 
J15 122 seen following intracerebroventricular administration.<p/>
J15 123 <h_><p_>Acute opiate action in the LC<p/><h/>
J15 124 <p_>The mechanism of acute opiate action in the LC, based on 
J15 125 electrophysiological and biochemical studies, is well established 
J15 126 and is shown schematically in Figure 1 (top). Acutely, opiates 
J15 127 decrease the firing rate of LC neurons via activation of an inward 
J15 128 rectifying K<sp_>+<sp/> channel (Aghajanian and Wang, 1987; North 
J15 129 et al., 1987) and inhibition of a slowly depolarizing, nonspecific 
J15 130 cation channel (Aghajanian and Wang, 1987; M. Alreja and G. K. 
J15 131 Aghajanian, unpublished observations). Both actions are mediated 
J15 132 via pertussis toxin-sensitive G-proteins (i.e., G<sb_>i<sb/> and/or 
J15 133 G<sb_>o<sb/>) (Aghajanian and Wang, 1986; North et al., 1987), and 
J15 134 inhibition of the nonspecific cation channel is mediated by reduced 
J15 135 neuronal levels of cAMP and activated cAMP-dependent protein kinase 
J15 136 (Aghajanian and Wang, 1987; Wang and Aghajanian, 1990; Alreja and 
J15 137 Aghajanian, 1991). Opiates acutely inhibit adenylate cyclase 
J15 138 activity in the LC (Duman et al., 1988; Beitner et al., 1989), as 
J15 139 is the case in many other brain regions (see Childers, 1991), and 
J15 140 inhibit cAMP-dependent protein phosphorylation (Guitart and 
J15 141 Nestler, 1989). Such regulation of protein phosphorylation 
J15 142 presumably mediates the effects of opiates on the nonspecific 
J15 143 cation channel through the phosphorylation of the channel itself or 
J15 144 some associated protein. Opiate regulation of protein 
J15 145 phosphorylation also probably mediates the effects of opiates on 
J15 146 many other aspects of LC neuronal function, including some of the 
J15 147 initial steps underlying longer-term changes associated with 
J15 148 addiction.<p/>
J15 149 <h_><p_>Chronic opiate action in the LC<p/><h/>
J15 150 <p_>Upon chronic opiate treatment, LC neurons develop tolerance to 
J15 151 the acute inhibitory actions of opiates, as neuronal firing rates 
J15 152 recover toward pretreatment levels (Aghajanian, 1978; Andrade et 
J15 153 al., 1983; Christie et al., 1987). The neurons also become 
J15 154 dependent on opiates after chronic exposure, in that abrupt 
J15 155 cessation of opiate treatment, for example, by administration of an 
J15 156 opiate receptor antagonist, leads to an elevation in LC firing 
J15 157 rates manyfold above pretreatment levels (Aghajanian, 1978; 
J15 158 Rasmussen et al., 1990).<p/>
J15 159 <p_>The tolerance and dependence exhibited by LC neurons during 
J15 160 chronic opiate exposure occur in the absence of detectable changes 
J15 161 in opiate receptors or opiate-regulated ion channels themselves 
J15 162 (see Christie et al., 1987; Loh and Smith, 1990). This raises the 
J15 163 possibility that intracellular messenger pathways may be involved. 
J15 164 Indeed, over the past several years, it has been demonstrated that 
J15 165 chronic administration of opiates leads to a dramatic upregulation 
J15 166 of the cAMP system at every major step between receptor and 
J15 167 physiological response (Fig. 1, bottom). Chronic opiate treatment 
J15 168 increases levels of G<sb_>i<*_>alpha<*/><sb/> and 
J15 169 G<sb_>o<*_>alpha<*/><sb/> (the active subunits of the G-proteins 
J15 170 G<sb_>i<sb/> and G<sb_>o<sb/>) (Nestler et al., 1989), adenylate 
J15 171 cyclase (Duman et al., 1988), cAMP-dependent protein kinase 
J15 172 (Nestler and Tallman, 1988), and a number of MARPPs (morphine- and 
J15 173 cAMP-regulated phosphoproteins) (Guitart and Nestler, 1989). Among 
J15 174 these MARPPs is tyrosine hydroxylase (TH) (Guitart et al., 1990), 
J15 175 the rate-limiting enzyme in the biosynthesis of catecholamines. 
J15 176 These various intracellular adaptations to chronic opiate treatment 
J15 177 are mediated via persistent activation of opiate receptors: the 
J15 178 adaptations are blocked by concomitant treatment of rats with 
J15 179 naltrexone, an opiate receptor antagonist, and are not produced by 
J15 180 a single morphine injection.<p/>
J15 181 <h_><p_>Direct evidence for a functional role of an upregulated 
J15 182 cAMP system in opiate addiction in the LC<p/><h/>
J15 183 <p_>The upregulated or 'hypertrophied' cAMP system in the LC can be 
J15 184 viewed as a compensatory, homeostatic response of LC neurons to the 
J15 185 inhibition devolving from chronic opiate treatment (Fig. 1). 
J15 186 According to this view, opiate upregulation of the cAMP system 
J15 187 increases the intrinsic excitability of LC neurons and thereby 
J15 188 accounts, at least in part, for opiate tolerance, dependence, and 
J15 189 withdrawal exhibited by these neurons (Nestler, 1990). In the 
J15 190 opiate-tolerant/dependent state, the combined presence of the 
J15 191 opiate and the upregulated cAMP system would return LC firing rates 
J15 192 toward pretreatment levels, whereas removal of the opiates would 
J15 193 leave the upregulated cAMP system unopposed, leading to withdrawal 
J15 194 activation of the neurons. This model, which is similar to one 
J15 195 proposed previously based on studies of cultured neuroblastoma x 
J15 196 glioma cells (Sharma et al., 1975; Collier, 1980), is supported by 
J15 197 several lines of evidence.<p/>
J15 198 <p_>First, cAMP and agents that elevate cAMP levels excite LC 
J15 199 neurons via the activation of cAMP-dependent protein kinase and 
J15 200 subsequent activation of the nonspecific cation channel (Wang and 
J15 201 Aghajanian, 1990). In fact, the <tf|>spontaneous firing rate of LC 
J15 202 neurons requires an active cAMP system and the opening of the 
J15 203 nonspecific cation channel (Alreja and Aghajanian, 1991). Second, 
J15 204 the time course by which certain components of the upregulated cAMP 
J15 205 system revert to normal levels during naltrexone-precipitated 
J15 206 opiate withdrawal parallels the rapid, early phase of the time 
J15 207 course of recovery of LC neuronal firing rates and of various 
J15 208 behavioral signs during withdrawal (Rasmussen at al., 1990). Third, 
J15 209 upon bath application of naltrexone, LC neurons in brain slices 
J15 210 obtained from morphine<?_>-<?/>dependent animals exhibit 
J15 211 spontaneous firing rates more than twofold higher compared to LC 
J15 212 neurons in slices from normal animals (Fig. 2<tf|>A) (Kogan et al., 
J15 213 1992). Earlier studies failed to detect such withdrawal activation 
J15 214 of morphine-dependent LC neurons <tf_>in vitro<tf/>, possibly due 
J15 215 to the poor condition of the brain slices used and the small number 
J15 216 and nonrandom samples of neurons examined (Andrade et al., 1983; 
J15 217 Christie et al., 1987). Since most major afferents to the LC are 
J15 218 severed in the brain slice preparation, the results establish that 
J15 219 an increased intrinsic excitability caused by chronic opiate 
J15 220 exposure contributes to opiate dependence in these cells. Fourth, 
J15 221 LC neurons from morphine-dependent animals show a greater maximal 
J15 222 responsiveness to cAMP analogs <tf_>in vitro<tf/> (Fig. 2<tf|>B) 
J15 223 (Kogan et al., 1992). Taken together, these results provide strong 
J15 224 evidence to support the view that the opiate-induced upregulation 
J15 225 of the cAMP system represents one mechanism by which opiates 
J15 226 produce addictive changes in LC neurons.<p/>
J15 227 <h_><p_>Molecular mechanisms underlying opiate upregulation of the 
J15 228 cAMP system in the LC<p/><h/>
J15 229 <p_>One of the central questions raised by these studies concerns 
J15 230 the molecular mechanisms by which chronic opiate administration 
J15 231 leads to upregulation of the cAMP system in LC neurons.
J15 232 
J16   1 <#FROWN:J16\><h_><p_>Spliced RNA of Woodchuck Hepatitis Virus<p/>
J16   2 <p_>C. WALTER OGSTON AND DOLORES G. RAZMAN<p/><h/>
J16   3 <p_><tf_>Polymerase chain reaction was used to investigate RNA 
J16   4 splicing in liver of woodchucks infected with woodchuck hepatitis 
J16   5 virus (WHV). Two spliced species were detected, and the splice 
J16   6 junctions were sequenced. The larger spliced RNA has an intron of 
J16   7 1300 nucleotides, and the smaller spliced sequence shows an 
J16   8 additional downstream intron of 1104 nucleotides. We did not detect 
J16   9 singly spliced sequences from which the smaller intron alone was 
J16  10 removed. Control experiments showed that spliced sequences are 
J16  11 present in both RNA and DNA in infected liver, showing that the 
J16  12 viral reverse transcriptase can use spliced RNA as template. 
J16  13 Spliced sequences were detected also in virion DNA prepared from 
J16  14 serum. The upstream intron produces a reading frame that fuses the 
J16  15 core to the polymerase polypeptide, while the downstream intron 
J16  16 causes an inframe deletion in the polymerase open reading frame. 
J16  17 Whereas the splicing patterns in WHV are superficially similar to 
J16  18 those reported recently in hepatitis B virus, we detected no 
J16  19 obvious homology in the coding capacity of spliced RNAs from these 
J16  20 two viruses.<tf/><p/>
J16  21 <h|>INTRODUCTION
J16  22 <p_>Hepatitis B virus (HBV), the prototype of the hepadnavirus 
J16  23 family, causes serious human disease and has a complex and 
J16  24 interesting mode of replication. Hepadnaviruses make efficient use 
J16  25 of a very small genome by use of overlapping reading frames, each 
J16  26 of which may produce several alternative peptides (Ganem and 
J16  27 Varmus, 1987), and their genome replication cycle involves reverse 
J16  28 transcription of an RNA template (Summers and Mason, 1982. We would 
J16  29 like to know how the peculiar features of hepadnavirus replication 
J16  30 relate to their natural history and pathogenesis.<p/>
J16  31 <p_>The mammalian hepadnaviruses woodchuck hepatitis virus (WHV) 
J16  32 and ground squirrel hepatitis virus (GSHV), which are genetically 
J16  33 close to HBV and similar in their pathogenesis, make the best 
J16  34 experimental models for our purposes. We have chosen WHV as the 
J16  35 object of our studies because infected woodchucks suffer from 
J16  36 chronic hepatitis, and the majority of persistently infected 
J16  37 woodchucks get hepatocellular carcinoma (HCC) that is 
J16  38 histologically similar to liver cancer caused by HBV in humans 
J16  39 (Popper <tf_>et al.<tf/>, 1987; Korba <tf_>et al.<tf/>, 1989).<p/>
J16  40 <p_>The manner in which hepadnavirus messenger RNA codes for 
J16  41 proteins remains a subject for research. Four genes have been 
J16  42 identified in the DNA sequence of the mammalian hepadnaviruses as 
J16  43 open reading frames (ORFs) diagrammed in Fig. 1. The core (C) ORF 
J16  44 gives rise to the major nucleocapsid polypeptide as well as the 
J16  45 secreted e antigen, and the surface (S) ORF gives rise to a total 
J16  46 of six known glycoprotein species that are incorporated in the 
J16  47 envelope of the virion and in related 'empty' 22-nm particles. The 
J16  48 large polymerase (P) ORF is inferred from amino acid sequence 
J16  49 homology to encode reverse transcriptase. The function of the X ORF 
J16  50 in virus replication is not known, although it has been shown to be 
J16  51 a transcriptional <tf_>trans<tf/>-activator in transfected 
J16  52 cells.<p/>
J16  53 <p_>The pattern of RNA transcription of the hepadnavirus genome has 
J16  54 been reviewed by Ganem and Varmus (1987). Two abundant transcripts 
J16  55 of 3.5 and 2.1 kb, respectively, can account for expression of the 
J16  56 abundantly expressed C and S ORFs. A minor transcript of 2.4 kb 
J16  57 encoding the pre-S1 ORF has been described in HBV-infected 
J16  58 chimpanzee liver (Cattaneo <tf_>et al.<tf/>, 1984; Will <tf_>et 
J16  59 al.<tf/>, 1987), but no corresponding RNA has been detected in WHV 
J16  60 or GSHV (Ganem and Varmus, 1987).<p/>
J16  61 <p_>The expression of the ORFs P and X remains to be accounted for, 
J16  62 since no transcripts have been detected <tf_>in vivo<tf/> that 
J16  63 include these ORFs at their 5' end. To solve this difficulty three 
J16  64 hypotheses may be considered. First, these ORFs may be expressed 
J16  65 from abundant mRNA by use of downstream AUG start codons (Kozak, 
J16  66 1986); second, there may be rare mRNAs that have 5' ends 
J16  67 immediately upstream of these ORFs; and third, there may be rare 
J16  68 spliced transcripts that express these ORFs.<p/>
J16  69 <p_>The third hypothesis above is supported by the recent reports 
J16  70 of spliced mRNAs in HBV-infected tissues and cells transfected with 
J16  71 the HBV genome (Chen <tf_>et al.<tf/>, 1989; Su <tf_>et al.<tf/>, 
J16  72 1989; Suzuki <tf_>et al.<tf/>, 1989, 1990; Wu <tf_>et al.<tf/>, 
J16  73 1991). These workers have described two introns that encompass the 
J16  74 region of overlap between the C and P genes of HBV. We have used 
J16  75 polymerase chain reaction (PCR) (Kawasaki, 1990) to look for 
J16  76 analogous splicing in WHV, and we now describe two species of 
J16  77 spliced mRNA in WHV-infected liver, both of which could encode 
J16  78 core-polymerase fusion proteins.<p/>
J16  79 <h_><p_>MATERIALS AND METHODS<p/><h/>
J16  80 <p_>The animals used in this study were naturally infected 
J16  81 woodchucks (Ogston <tf_>et al.<tf/>, 1989) and woodchucks infected 
J16  82 as neonates (RW101, RW103, RW115, and RW116; C. W. Ogston and B. C. 
J16  83 Tennant, unpublished). Virus from the serum of naturally infected 
J16  84 woodchuck RW003 was used to initiate the infections of RW101 and 
J16  85 RW103, and RW013 was the source of the inoculum for RW115 and 
J16  86 RW116.<p/>
J16  87 <p_>Liver tissue obtained at autopsy was cooled on ice, cut into 
J16  88 slices 2-5-mm thick, and frozen in liquid nitrogen. RNA was 
J16  89 prepared by homogenization in guanidine thiocyanate followed by 
J16  90 cesium chloride centrifugation (Maniatis <tf_>et al.<tf/>, 1982). 
J16  91 Polyadenylated RNA was purified by oligo(dT) cellulose 
J16  92 chromatography (Maniatis <tf_>et al.<tf/>, 1982). The yield of RNA 
J16  93 was measured by absorbance at 260 nm.<p/>
J16  94 <p_>Complementary DNA was synthesized in a reaction containing 5 
J16  95 <*_>mu<*/>g of RNA, 100 m<tf|>M Tris, pH 8.3, 7 m<tf|>M 
J16  96 MgCl<sb_>2<sb/>, 40 m<tf|>M KCl, 1 m<tf|>M dithiothreitol, and 0.5 
J16  97 <*_>mu<*/>g dT<sb_>12-18<sb/> primers (Collaborative Research), 
J16  98 with 8 units of AMV reverse transcriptase (U.S. Biochemical). The 
J16  99 reaction was incubated 2 hr at 42<*_>degree<*/>, then stopped by 
J16 100 heating to 100<*_>degree<*/> for 3 min. The DNA was precipitated 
J16 101 with ethanol, dried, and dissolved in 30 <*_>mu<*/>l of water.<p/>
J16 102 <p_>The standard PCR reaction contained 100 m<tf|>M Tris; pH 8.3 
J16 103 (at 25<*_>degree<*/>); 0.2 <*_>mu<*/><tf|>M each of dATP, dCTP, 
J16 104 dGTP, and TTP (Pharmacia); primers at 0.08 <*_>mu<*/><tf|>M; and 
J16 105 0.6 units of Taq DAN polymerase (Perkin-Elmer Cetus). Amplification 
J16 106 was carried out using a Perkin-Elmer Cetus DNA thermal cycler for 
J16 107 30 cycles with denaturation at 94<*_>degree<*/> for 60 sec, 
J16 108 annealing at 50<*_>degree<*/> for 2 min, and extension at 
J16 109 72<*_>degree<*/> for 30 or 60 sec. Longer extension times were used 
J16 110 in some reactions that were expected to produce amplification 
J16 111 products greater than 1000 bp.<p/>
J16 112 <p_>To generate single-stranded amplified DNA for sequencing, the 
J16 113 amplified DNA fragment of interest was cut from an agarose gel and 
J16 114 electroeluted. Asymmetric amplification was carried out using the 
J16 115 same pair of primers as in the original amplification, but the 
J16 116 concentration of one primer was reduced 32-fold (McCabe, 1990). The 
J16 117 product of asymmetric PCR was purified by two rounds of centrifugal 
J16 118 dialysis (Centricon 100, Amicon) to remove the primers and other 
J16 119 components from the PCR reaction, then concentrated by centrifugal 
J16 120 evaporation to a volume of about 7 <*_>mu<*/>l. The asymmetric DNA 
J16 121 was sequenced directly using the Sequenase system (U.S. 
J16 122 Biochemical) according to the manufacturer's directions. A 'nested' 
J16 123 primer internal to the original PCR fragment was used for 
J16 124 sequencing whenever possible.<p/>
J16 125 <p_><O_>figure&caption<O/><p/>
J16 126 <p_>The sequences were analyzed using the Beckman Microgenie 
J16 127 software package. Sequence read from the gel was first compared to 
J16 128 the published sequence of WHV (Galibert <tf_>et al.<tf/>, 1982) by 
J16 129 dot-matrix comparison. Areas of homology so identified were 
J16 130 confirmed and then aligned.<p/>
J16 131 <p_>In referring to primer sequences and experimental results, WHV 
J16 132 map coordinates are given in nucleotides originating at the 
J16 133 <tf_>Eco<tf/>RI site, as defined by the data of Galibert <tf_>et 
J16 134 al.<tf/> (1982). The total length of this sequence is 3308 nt.<p/>
J16 135 <h|>RESULTS
J16 136 <p_>PCR can be used to detect spliced sequences in cDNA by 
J16 137 employing primers located in different exons spanning one or more 
J16 138 introns. Unspliced template then gives rise to an amplification 
J16 139 product whose length corresopnds to the distance between the 
J16 140 primers on the genomic DNA, whereas amplification of spliced 
J16 141 template results in a shorter PCR product. Since short templates 
J16 142 are amplified more efficiently than long ones this method is very 
J16 143 sensitive even in the presence of excess unspliced template. We 
J16 144 chose pairs of primers, shown in Fig. 1b, that we expected to span 
J16 145 intron(s) analogous to those previously described in HBV.<p/>
J16 146 <p_><O_>figure&caption<O/><p/>
J16 147 <p_>When we amplified cDNA from WHV-infected liver using the 
J16 148 primers 2110(+) and 575(-), we obtained a product of approximately 
J16 149 560 bp, as shown in Fig. 2a, as well as the full-length product of 
J16 150 1773 bp. This indicates that a segment of about 1200 nucleotides 
J16 151 has been removed from the template. Likewise, the primers 2110(+) 
J16 152 and 1478(-) gave a short product of 1260 bp as well as the 
J16 153 full-length product of 2676 bp, indicating removal of about 1400 
J16 154 nucleotides. These two results presumably imply the existence of a 
J16 155 single intron, since the inferred sizes of the missing segment 
J16 156 agree within the limits of experimental error.<p/>
J16 157 <p_>In the reaction using the primers 2110(+) and 1478(-), an 
J16 158 additional product of 320 bp was amplified, indicating a template 
J16 159 from which a total of 2300 nucleotides are missing from between the 
J16 160 priming sites (Fig. 2a). This will be discussed further below.<p/>
J16 161 <p_>To check the specificity of the amplification we carried out 
J16 162 PCR using lower concentrations of nucleotide triphoshates. As shown 
J16 163 in Figure 2a the short fragments described above were all amplified 
J16 164 when the triphosphate concentration was reduced, while the 
J16 165 full-length segments became less intense as expected. As a further 
J16 166 control for specificity we amplified WHV DNA from the clone 
J16 167 pWHV81-2 (Seeger <tf_>et al.<tf/>, 1987) with both the above primer 
J16 168 sets. No short products were obtained from this reaction, although 
J16 169 the full-length sequence was amplified (data not shown).<p/>
J16 170 <p_>To determine whether these observations are general among 
J16 171 separate strains of WHV, we amplified cDNA from a number of 
J16 172 experimentally and naturally infected woodchucks (Figure 2b and 
J16 173 data not shown). The PCR products were the same size in all cases, 
J16 174 although the relative intensity of the fragments varied. We think 
J16 175 that this variation is due to complex interactions in the 
J16 176 competition between more abundant unspliced template on the one 
J16 177 hand, and rarer but shorter spliced template on the other hand. 
J16 178 This competition will also be influenced by such factors as the 
J16 179 degree of RNA degradation and the efficiency of reverse 
J16 180 transcription.<p/>
J16 181 <p_>To determine whether these results reflect authentic RNA 
J16 182 splicing, the short PCR products were sequenced. We found in 
J16 183 preliminary experiments that the best sequence data were obtained 
J16 184 when a different 'nested' primer was used for sequencing rather 
J16 185 than that used for amplification. This method also ensures that 
J16 186 products derived from mispriming will not contribute to the 
J16 187 sequence. Accordingly the primers 1961(+) and 314(-) were used to 
J16 188 amplify a fragment of about 400 bp derived from the first spliced 
J16 189 template described above, and this 400-bp fragment was purified by 
J16 190 preparative electrophoresis. Single-stranded DNA was then made by 
J16 191 asymmetric reamplification, using the primer 314(-) in excess over 
J16 192 1961(+) (McCabe, 1990), and the single-stranded DNA was sequenced 
J16 193 using the 2110(+) primers, with the result shown in Fig. 3a.<p/>
J16 194 <p_>The sequence obtained in this experiment was aligned to the 
J16 195 published sequence of WHV (Galibert <tf_>et al.<tf/>, 1982) as 
J16 196 shown in Fig. 3b. This alignment is consistent with an intron of 
J16 197 1300 nucleotides between the donor site GT at bases 2151-2152 to 
J16 198 the acceptor AG at 141-142. To confirm the sequence of this splice 
J16 199 junction we generated positive-strand DNA template by amplification 
J16 200 with 2110(+) in excess over 314(-) and sequenced the minus strand 
J16 201 from the primer 314(-). The resulting complementary sequence showed 
J16 202 the identical splice junction (data not shown).<p/>
J16 203 <p_><O_>figure&caption<O/><p/>
J16 204 <p_>The smaller (320 bp) product of amplification using the primers 
J16 205 2110(+) and 1478(-) (Fig. 2) could result from a doubly spliced 
J16 206 mRNA with the 1300 nt intron and one of 1000 nt, or alternatively 
J16 207 from a singly spliced mRNA with an intron of about 2300 nt. We 
J16 208 first looked for the hypothetical second splice junction by 
J16 209 amplifying cDNA with the primers 176(+) and 1478(-), but detected 
J16 210 only the 1300-bp product derived from the unspliced sequence (data 
J16 211 not shown). We thought that abundant cDNA derived from the 2.1-kb 
J16 212 S-gene transcript might be overwhelming a rarer spliced template 
J16 213 sequence, so we set out to separate the putative spliced sequence 
J16 214 from unspliced S transcript by carrying out PCR in two steps. In 
J16 215 the first step we used the primers 1961(+) and 1478(-) to 
J16 216 selectively amplify spliced DNA, avoiding the 2.1-kb S transcript 
J16 217 whose 5' end is at nt 145 (Moroy <tf_>et al.<tf/>, 1985).
J16 218 
J17   1 <#FROWN:J17\><h_><p_>CONFUSION IN THE DETERMINATION OF DEATH: 
J17   2 DISTINGUISHING PHILOSOPHY FROM PHYSIOLOGY<p/>
J17   3 <p_>JEFFREY R. BOTKIN and STEPHEN G. POST<p/><h/>
J17   4 <p_>Two decades have now passed since the Report of the Ad Hoc 
J17   5 Committee of the Harvard Medical School to Examine the Definition 
J17   6 of Death. The adoption of whole brain criteria as a new standard of 
J17   7 death proceeded quickly, supported by the American Medical 
J17   8 Association, the American Bar Association, and the President's 
J17   9 Commission, and has been adopted into legislation in 49 states. One 
J17  10 of the final tasks toward the uniform adoption of the whole brain 
J17  11 standard is the establishment of criteria for death in young 
J17  12 infants. But despite this definitional consensus and its rapid 
J17  13 adoption, beliefs about what it means to be dead may vary 
J17  14 considerably in our highly pluralistic society.<p/>
J17  15 <p_>Within the medical community alone there remains a startling 
J17  16 amount of confusion about the determination of death. The 
J17  17 redefinition of death has given rise to a distinct tension between 
J17  18 the new definition of death based on brain criteria and common 
J17  19 perceptions of the nature of death. Physicians, nurses, and others 
J17  20 at the bedside may 'know' that a person is dead by established 
J17  21 criteria, yet life still may be perceived as long as the heart 
J17  22 continues to beat and the skin remains warm to touch. Many 
J17  23 clinicians can rattle off criteria for obscure conditions or long 
J17  24 differentials for anomalous lab results, yet they cannot offer 
J17  25 specific criteria for death. More importantly, it is obvious that 
J17  26 many health care professionals, including physicians, simply do not 
J17  27 believe patients are dead when their brains alone have ceased to 
J17  28 function.<p/>
J17  29 <p_>Such confusion in the medical professions was clearly 
J17  30 documented by Youngner, et al. This study documented that only 35 
J17  31 percent of physicians or nurses who dealt routinely with critically 
J17  32 ill patients could correctly identify the legal and medical 
J17  33 criteria for determining death. Further, 58 percent of the 
J17  34 respondents did not apply a consistent concept of death when asked 
J17  35 to justify their determination of death in hypothetical cases. The 
J17  36 wider public is confused as well - a confusion no doubt fostered by 
J17  37 news reports of 'brain dead' patients who are kept 'alive' by 
J17  38 'life-support' technology.<p/>
J17  39 <p_>We commonly perceive the presence of death when the body is 
J17  40 cold and pale, when breathing and heart cease. Little confusion 
J17  41 about the presence of death arises in such circumstances. But 
J17  42 contemporary technology has fostered confusion by forcing us to 
J17  43 recognize the ambiguous nature of the <tf|>moment of death. We can 
J17  44 now restart functions such as breathing or heartbeat when once they 
J17  45 would have been irreversibly lost. Certainly someone is not really 
J17  46 dead with the cessation of heartbeat if the person can be revived. 
J17  47 Yet despite common language about being 'brought back to life,' we 
J17  48 like to think of death as a final and irreversible state, so we 
J17  49 must now speak in terms of an 'irreversible cessation' of 
J17  50 functions. However, what constitutes 'irreversible' will no doubt 
J17  51 change with technology. This influence of technology on the moment 
J17  52 of death indicates that the determination of this moment cannot be 
J17  53 made independently of the cultural environment in which death 
J17  54 occurs. Additionally, the contemporary ability to entirely replace 
J17  55 cardio-respiratory functions with machines further blurs the 
J17  56 boundaries between life and death. It was, of course, this latter 
J17  57 technological development that was the primary force behind the 
J17  58 adoption of the whole brain standard of death.<p/>
J17  59 <p_>The basic argument we wish to make here is that the moment of 
J17  60 death is not a specific physiologic event amenable to scientific 
J17  61 determination. Rather, it is a moment defined by philosophic 
J17  62 concepts - concepts that speak to what it means to be alive. Since 
J17  63 such philosophic contentions defy objective proof, the moment of 
J17  64 death must be seen as an event fixed by social consensus. Two 
J17  65 implications of this realization will be discussed: first, that 
J17  66 education for physicians and other medical professionals must 
J17  67 address philosophic concepts if confusion about death is to be 
J17  68 reduced; and second, that our pluralistic society must address the 
J17  69 demand for alternative definitions of death for those who reject 
J17  70 the philosophic foundations of the prevailing standard.<p/>
J17  71 <p_>First we wish to look critically at the three competing 
J17  72 standards of death. By 'standard' we mean a set of criteria for 
J17  73 determining death that is based on an underlying philosophic 
J17  74 concept. The three standards of death are the traditional 
J17  75 heart/lung standard, the whole brain standard, and the higher brain 
J17  76 standard. Current law recognizes the combination of the heart/lung 
J17  77 or whole brain standards, but for the purposes of clarity, these 
J17  78 will be discussed separately. In this discussion we will focus on 
J17  79 our common perceptions of death and how these correlate with the 
J17  80 philosophic concepts of death that underlie the three standards.<p/>
J17  81 <p_>Advocates of the higher brain death standard argue that death 
J17  82 occurs when cognitive function irreversibly ceases. Cognition is 
J17  83 considered to be the essential element in personal identity, and 
J17  84 thus the loss of cognition heralds the death of the individual. 
J17  85 Under this standard, death would be an event occurring when the 
J17  86 relevant brain activities cease. The philosophic appeal of this 
J17  87 approach is that it accurately defines what most of us feel is of 
J17  88 primary importance in human life - when all cognitive capacities 
J17  89 are lost, we 'might as well be dead' figuratively, and, it is 
J17  90 argued, literally. In addition, cognition is embodied in the 
J17  91 cerebral hemispheres and so is potentially measurable by technical 
J17  92 means (although it is not so at the present time).<p/>
J17  93 <p_>From the perspective of many observers, the problem with the 
J17  94 higher brain standard is the perception of continued 'life' despite 
J17  95 the presence of death so defined. Individuals who have permanently 
J17  96 lost all higher brain functions but retain brain stem functions 
J17  97 will still breathe spontaneously, remain warm, and may have 
J17  98 sleep/wake cycles and spontaneous movement. These patients simply 
J17  99 do not look dead by our more intuitive understanding of the term. 
J17 100 The conflict and confusion that arises here is due to a distinct 
J17 101 and important difference between the death of the <tf|>individual 
J17 102 and the death of the <tf|>organism. When cognition is irreversibly 
J17 103 lost, but other physiologic processes continue, the human 
J17 104 <tf|>individual may be dead, but the human <tf|>organism is not.<p/>
J17 105 <p_>Which is the correct focus for our determination of death - 
J17 106 death of the human individual or death of the human organism? There 
J17 107 are reasoned arguments for each. One distinct advantage of 
J17 108 determining death in terms of the organism is that such a 
J17 109 definition could be applied across the spectrum of life. Since 
J17 110 <tf|>death is a term that is relevant to all life forms, it must 
J17 111 therefore have some consistent biologic meaning. When we speak of 
J17 112 death in other forms of life, we refer to the death of the organism 
J17 113 - 'personhood' or cognition do not have any logical correlates in 
J17 114 the majority of life forms. We may choose to define death in humans 
J17 115 in terms of the loss of a single, key function (like cognition), 
J17 116 but this will leave us with the task of defining such key functions 
J17 117 for other life forms as well. Is there a single key function in 
J17 118 fungi, barnacles, or bacteria on which our recognition of life 
J17 119 hinges?<p/>
J17 120 <p_>Even in the simplest of life forms, the definition of life has 
J17 121 proven remarkably difficult and has been the subject of much 
J17 122 debate. Orstan has provided a brief review of the definitions of 
J17 123 life offered in Western thought and concludes: <quote_>"It does not 
J17 124 take much effort to realize that these definitions are little more 
J17 125 than arbitrary lists of things the living organisms do"<quote/>. 
J17 126 Thus, we would suggest that the common perception of death in an 
J17 127 organism requires the cessation of a host of functions that 
J17 128 comprise the perception of life. It is quite unlikely that any 
J17 129 nonhuman life forms would be considered dead as long as there was 
J17 130 spontaneous movement, respiration, and the flow of vital fluids.<p/>
J17 131 <p_>So while the higher brain standard has the intellectual appeal 
J17 132 of specifying the loss of a key function as the moment of 
J17 133 transition between life and death, it will remain unconvincing for 
J17 134 those whose intuitive or intellectual beliefs require that death 
J17 135 signify the death of the human organism. Thus the higher brain 
J17 136 standard is not 'wrong,' but if the popular perception of death is 
J17 137 grounded in a concept of a living organism, the appeal of the 
J17 138 higher brain standard may be limited as a basis for public 
J17 139 policy.<p/>
J17 140 
J17 141 <h_><p_>The Whole Brain Standard<p/><h/>
J17 142 <p_>The current standard for the determination of death reads as 
J17 143 follows:<p/>
J17 144 <p_><quote_>An individual who has sustained either (1) irreversible 
J17 145 cessation of circulatory and respiratory functions, or (2) 
J17 146 irreversible cessation of all functions of the entire brain, 
J17 147 including the brain stem, is dead.<quote/><p/>
J17 148 <p_>The second half of the current standard represents the whole 
J17 149 brain standard. The key concept for the whole brain standard is the 
J17 150 loss of integration of the organism. Clearly some cellular and 
J17 151 organ function continues for a period of time after brain or heart 
J17 152 and lung functions cease; but the argument is that we do not care 
J17 153 about isolated organ or cell function, we care about the integrated 
J17 154 function of the organism. When the organism as a coordinated whole 
J17 155 has irreversibly ceased to function, the argument goes, the 
J17 156 organism is dead.<p/>
J17 157 <p_>The brain is the logical locus for this integrative activity. 
J17 158 Loss of whole brain activity leads to the loss of consciousness, 
J17 159 respiratory arrest, no spontaneous movement, and no interaction 
J17 160 with the environment. Without 'life support,' cardiac arrest soon 
J17 161 develops and loss of all organ and cellular functions follow. Under 
J17 162 this standard, the event of death is determined as the time at 
J17 163 which there is irreversible loss of whole brain function.<p/>
J17 164 <p_>The whole brain standard has several advantages; it can be 
J17 165 measured with reliability, and irreversibility can be assured 
J17 166 within reasonable limits. In addition, loss of integration is 
J17 167 potentially applicable to other life forms (although it may be less 
J17 168 clear how integration is determined in organisms without central 
J17 169 nervous systems). Finally, loss of whole brain function produces an 
J17 170 individual with many of the qualities we usually associate with 
J17 171 death: lack of spontaneous breathing, movement, and response to the 
J17 172 environment.<p/>
J17 173 <p_>A principal difficulty with this standard is that individuals 
J17 174 who lack whole brain function while on life support retain 
J17 175 significant attributes of life: their skin may be warm and soft, 
J17 176 they have a heartbeat, food continues to be metabolized, and waste 
J17 177 products are excreted. Individuals without whole brain function may 
J17 178 even gestate fetuses and bear children. It is precisely these 
J17 179 attributes that lead many in the public and the medical profession 
J17 180 to believe that such individuals are not 'really dead.'<p/>
J17 181 <p_>The counterargument is that these life-like attributes of whole 
J17 182 brain<?_>-<?/>dead patients do not count, since they do not reflect 
J17 183 any <tf|>integrated function in the organism, but exist only by 
J17 184 technical intervention. This counterargument only makes sense if we 
J17 185 can define what we mean by integration. According to Webster, 
J17 186 <tf|>integrate means: (1) <quote_>"to make or become whole or 
J17 187 complete,"<quote/> (2) <quote_>"to bring (parts) together into a 
J17 188 whole."<quote/> Clearly an individual without brain function is not 
J17 189 integrated; however, an individual without function in <tf|>any 
J17 190 major organ is not integrated. Barney Clarke was not intrinsically 
J17 191 integrated once the artificial heart was implanted, yet he was 
J17 192 obviously alive by virtue of technical support.<p/>
J17 193 <p_>Youngner and Bartlett make this argument with a hypothetical 
J17 194 case of a man who has had brain stem function surgically destroyed 
J17 195 by a diabolical physician. The patient is then hooked to technical 
J17 196 support that maintains bodily functions as well as cerebral 
J17 197 functions: In essence, this hypothetical patient has been afforded 
J17 198 a mechanical brain stem. Youngner and Bartlett note that the 
J17 199 patient has <quote_>"entirely lost the innate and spontaneous 
J17 200 ability to integrate essential body systems,"<quote/> yet is 
J17 201 obviously alive, at least as long as consciousness remains. It is 
J17 202 irrelevant to our perception of life that brain stem functions are 
J17 203 performed mechanically.<p/>
J17 204 <p_>When an individual has lost all brain function yet is 
J17 205 maintained on a ventilator, the heart, bowels, kidneys, and other 
J17 206 organ systems may continue to function normally, at least 
J17 207 temporarily, and these subsystems work in coordination. The 
J17 208 individual without brain function is not wholly integrated, but 
J17 209 neither is he or she wholly disintegrated.
J17 210 
J18   1 <#FROWN:J18\><p_>We have thus shown that the Hilbert transform 
J18   2 determines a bounded operator from <tf|>L<sp_>p<sp/> into itself, 
J18   3 for <tf|>p of the form 2<tf|>n. By the Riesz Interpolation Theorem, 
J18   4 it follows then that the Hilbert transform determines a bounded 
J18   5 operator from <tf|>L<sp_>p<sp/> into itself, for <O_>formula<O/>. 
J18   6 The proof can now be completed by appealing to Exercise 6.21 for 
J18   7 the cases 1<p<2.<p/>
J18   8 <p_><tf_>EXERCISE 6.24. (a) Show that any constant <O_>formula<O/> 
J18   9 will satisfy inequality (6.4). Supposing that <tf|>f is supported 
J18  10 in the interval [-a,a], show that any constant <O_>formula<O/> will 
J18  11 satisfy inequality (6.5) if <O_>formula<O/>.<p/>
J18  12 <p_>(b) Establish Equation (6.6) by integrating around a large 
J18  13 square contour.<p/>
J18  14 <p_>(c) Let <tf|>m be the characteristic function of an open 
J18  15 interval (a,b), where <O_>formula<O/>. Prove that the multiplier 
J18  16 <tf|>M, corresponding to <tf|>m determines a bounded operator on 
J18  17 every <tf|>L<sp_>p<sp/> for 1< <tf|>p < <*_>infinity<*/>. HINT: 
J18  18 Write <tf|>m as a finite linear combination of translates of - 
J18  19 <tf_>is<tf/>gn.<p/>
J18  20 <p_>(d) Let <tf|>m be the characteristic function of the set 
J18  21 <O_>formula<O/>. Verify that the multiplier <tf|>M corresponding to 
J18  22 <tf|>m has no bounded extension to any <tf|>L<sp_>p<sp/> space for 
J18  23 <tf|>p <*_>unch<*/> 2.<p/>
J18  24 <h_><p_>CHAPTER VII<p/>
J18  25 <p_>AXIOMS FOR A MATHEMATICAL MODEL OF EXPERIMENTAL SCIENCE<p/><h/>
J18  26 <p_>This chapter is a diversion from the main subject of this book, 
J18  27 and it can be skipped without affecting the material that follows. 
J18  28 However, we believe that the naive approach taken in this chapter 
J18  29 toward the axiomatizing of experimental science serves as a good 
J18  30 motivation for the mathematical theory developed in the following 
J18  31 four chapters.<p/>
J18  32 <p_>We describe here a set of axioms, first introduced by G.W. 
J18  33 Mackey, to model experimental investigation of a system in nature. 
J18  34 We suppose that we are studying a phenomenon in terms of various 
J18  35 observations of it that we might make. We postulate that there 
J18  36 exists a nonempty set <tf|>S of what we shall call the possible 
J18  37 <tf|>states of the system, and we postulate that there is a 
J18  38 nonempty set <tf|>O of what we shall call the possible 
J18  39 <tf|>observables of the system. We give two examples.<p/>
J18  40 <p_>(1) Suppose we are investigating a system that consists of a 
J18  41 single physical particle in motion on an infinite straight line. 
J18  42 Newtonian mechanics (<tf|>f = <tf|>ma) tells us that the system is 
J18  43 completely determined for all future time by the current position 
J18  44 and velocity, i.e., by two real numbers. Hence, the states of this 
J18  45 system might well be identified with points in the plane. Two of 
J18  46 the (many) possible observables of this system can be described as 
J18  47 position and velocity observables. We imagine that there is a 
J18  48 device which indicates where the particle is and another device 
J18  49 that indicates its velocity. More realistically, we might have many 
J18  50 yes/no devices that answer the observational questions: 'Is the 
J18  51 particle between <tf|>a and <tf|>b?' 'Is the velocity of the 
J18  52 particle between <tf|>c and <tf|>d?'<p/>
J18  53 <p_>Quantum mechanical models of this single particle are different 
J18  54 from the Newtonian one. They begin by assuming that the (pure) 
J18  55 states of this one-particle system are identifiable with certain 
J18  56 square-integrable functions and the observables are identified with 
J18  57 certain linear transformations. This model seems quite mysterious 
J18  58 to most mathematicians, and Mackey's axioms form one attempt at 
J18  59 justifying it.<p/>
J18  60 <p_>(2) Next, let us imagine that we are investigating a system in 
J18  61 which three electrical circuits are in a black box and are open or 
J18  62 closed according to some process of which we are not certain. The 
J18  63 states of this system might well be described as all triples of 0's 
J18  64 and 1's (0 for open and 1 for closed). Suppose that we have only 
J18  65 the following four devices for observing this system. First, we can 
J18  66 press a button <tf|>b<sp_>0<sp/> and determine how many of the 
J18  67 three circuits are closed. However, when we press this button, it 
J18  68 has the effect of opening all three circuits, so that we have no 
J18  69 hope of learning exactly which of the three were closed. (Making 
J18  70 the observation actually affects the system.) In addition, we have 
J18  71 three other buttons <tf|>b<sb_>1<sb/>, <tf|>b<sb_>2<sb/>, 
J18  72 <tf|>b<sb_>3<sb/>, <tf|>b<sb_>i<sb/>, telling whether circuit 
J18  73 <tf|>i is open or closed. Again, when we press button 
J18  74 <tf|>b<sb_>i<sb/>, all three circuits are opened, so that we have 
J18  75 no way of determining if any of the ciricuits other than the 
J18  76 <tf_>i<tf/>th was closed. This is a simple example in which certain 
J18  77 simultaneous observations appear to be impossible, e.g., 
J18  78 determining whether circuits 1 and 2 are both closed.<p/>
J18  79 <p_>The axioms we introduce are concerned with the concept of 
J18  80 interpreting what it means to make a certain observation of the 
J18  81 system when the system is in a given state. The result of such an 
J18  82 observation should be a real number, with some probability, 
J18  83 depending on the state and on the observable.<p/>
J18  84 <p_><tf_>AXIOM 1.<tf/> To each state <*_>alpha<*/> <*_>EPSILON<*/> 
J18  85 <tf|>S and observable <tf|>A <*_>EPSILON<*/> <tf|>O there 
J18  86 corresponds a Borel probability measure 
J18  87 <*_>mu<*/><sb_><*_>alpha<*/>, A<sb/> on <tf|>R.<p/>
J18  88 <p_><tf|>REMARK. The probability 
J18  89 measure<*_>mu<*/><sb_><*_>alpha<*/>, A<sb/> contains the 
J18  90 information about the probability that the observation <tf|>A will 
J18  91 result in a certain value, when the system is in the state 
J18  92 <*_>alpha<*/>.<p/>
J18  93 <p_><tf_>EXERCISE 7.1.<tf/> Write out in words, from probability 
J18  94 theory, what the following symbols mean.<p/>
J18  95 <p_>(a) <*_>mu<*/><sb_><*_>alpha<*/>,A<sb/>([3,5]) = 0.9.<p/>
J18  96 <p_>(b) <*_>mu<*/><sb_><*_>alpha<*/>,A<sb/>({0}) = 1.<p/>
J18  97 <p_><tf_>AXIOM 2.<tf/> (a) If <tf|>A, <tf|>B are observables for 
J18  98 which <O_>formula<O/> for every state <*_>alpha<*/> <*_>EPSILON<*/> 
J18  99 <tf|>S, then <tf|>A = <tf|>B.<p/>
J18 100 <p_>(b) If <*_>alpha<*/>, <*_>beta<*/> are states for which 
J18 101 <O_>formula<O/> for every observable <tf|>A <*_>EPSILON<*/> <tf|>O, 
J18 102 then <*_>alpha<*/> = <*_>beta<*/>.<p/>
J18 103 <p_><tf_>EXERCISE 7.2.<tf/> Discuss the intuitive legitimacy of 
J18 104 Axiom 2.<p/>
J18 105 <p_><tf_>AXIOM 3.<tf/> If <*_>alpha<*/><sb_>1<sb/>, ... 
J18 106 <*_>alpha<*/><sb_>n<sb/> are states, and t<sb_>1<sb/>, ... 
J18 107 t<sb_>n<sb/> are nonnegative real numbers for which 
J18 108 <O_>formula<O/>, then there exists a state <*_>alpha<*/> for 
J18 109 which<p/>
J18 110 <p_><O_>formula<O/><p/>
J18 111 <p_>for every observable <tf|>A. This axiom can be interpreted as 
J18 112 asserting that the set <tf|>S of states is closed under convex 
J18 113 combinations. If the <*_>alpha<*/><sb_>i<sb/>'s are not all 
J18 114 identical, we call this state <*_>alpha<*/> a <tf_>mixed state<tf/> 
J18 115 and we write <O_>formula<O/>.<p/>
J18 116 <p_>We say that a state <*_>alpha<*/> <*_>EPSILON<*/> <tf|>S is a 
J18 117 <tf_>pure state<tf/> if it is not a mixture of other states. That 
J18 118 is, if <O_>formula<O/>, with each t<sb_>i<sb/> > 0 and 
J18 119 <O_>formula<O/>, then <*_>alpha<*/><sb_>i<sb/> = <*_>alpha<*/> for 
J18 120 all <tf|>i.<p/>
J18 121 <p_><tf_>EXERCISE 7.3.<tf/> Discuss the intuitive legitimacy of 
J18 122 Axiom 3. Think of a physical system, like a beaker of water, for 
J18 123 which there are what we can interpret as pure states and mixed 
J18 124 states.<p/>
J18 125 <p_><tf_>AXIOM 4.<tf/> If <tf|>A is an observable, and 
J18 126 <O_>formula<O/> is a Borel function, then there exists an 
J18 127 observable <tf|>B such that<p/>
J18 128 <p_><O_>formula<O/><p/>
J18 129 <p_>for every state <*_>alpha<*/> and every Borel set 
J18 130 <O_>formula<O/>. We denote this observable <tf|>B by <tf|>f(A).<p/>
J18 131 <p_><tf_>EXERCISE 7.4.<tf/> Discuss the intuitive legitimacy of 
J18 132 Axiom 4. Show that, when the system is in the state <*_>alpha<*/> 
J18 133 and the observable <tf|>A results in a value <tf|>t with 
J18 134 probability <tf|>p, the observable <tf|>B = <tf|>f(A) results in 
J18 135 the value <tf|>f(t) with the same probability <tf|>p.<p/>
J18 136 <p_><tf_>EXERCISE 7.5.<tf/> (a) Prove that there exists an 
J18 137 observable <tf|>A such that <O_>formula<O/> for every state 
J18 138 <*_>alpha<*/>. That is, <tf|>A is an observable that is nonnegative 
J18 139 with probability 1 independent of the state of the system. HINT: 
J18 140 Use <O_>formula<O/> for example.<p/>
J18 141 <p_>(b) Given a real number <tf|>t, show that there exists an 
J18 142 observable <tf|>A such that <O_>formula<O/> for every state 
J18 143 <*_>alpha<*/>. That is, <tf|>A is an observable that equals <tf|>t 
J18 144 with probability 1, independent of the state of the system.<p/>
J18 145 <p_>(c) Show that the set of observables is closed under scalar 
J18 146 multiplication. That is, if <tf|>A is an observable and <tf|>c is a 
J18 147 nonzero real number, then there exists an observable <tf|>B such 
J18 148 that<p/>
J18 149 <p_><O_>formula<O/><p/>
J18 150 <p_>We may then write <tf|>B = <tf|>cA.<p/>
J18 151 <p_>(d) If <tf|>A and <tf|>B are observables, does there have to be 
J18 152 an observable <tf|>C that we could think of as the sum <tf|>A + 
J18 153 <tf|>B?<p/>
J18 154 <p_>(e) In what way must we alter the descriptions of the systems 
J18 155 in Example 1 and Example 2 in order to incorporate these first four 
J18 156 axioms (particularly Axioms 3 and 4)?<p/>
J18 157 <p_><tf|>DEFINITION. We say that two observables <tf|>A and <tf|>B 
J18 158 are <tf_>compatible, pairwise compatible<tf/>, or 
J18 159 <tf_>simultaneously observable<tf/> if there exists an observable 
J18 160 <tf|>C and Borel functions <tf|>f and <tf|>g such that <tf|>A = 
J18 161 <tf|>f(C) and <tf|>B = <tf|>g(C). A sequence {<tf|>A<sb_>i<sb/>} is 
J18 162 called <tf_>mutually compatible<tf/> if there exists an observable 
J18 163 <tf|>C and Borel functions {<tf|>f<sb_>i<sb/>} such that 
J18 164 <O_>formula<O/> for all <tf|>i.<p/>
J18 165 <p_><tf_>EXERCISE 7.6.<tf/> Is there a difference between a 
J18 166 sequence {<tf|>A<sb_>i<sb/>} of observables being pairwise 
J18 167 compatible and being mutually compatible? In particular, is it 
J18 168 possible that there could exist observables <tf|>A, <tf|>B, <tf|>C, 
J18 169 such that <tf|>A and <tf|>B are compatible, <tf|>B and <tf|>C are 
J18 170 compatible, <tf|>A and <tf|>C are compatible, and yet <tf|>A, 
J18 171 <tf|>B, <tf|>C are not mutually compatible? HINT: Try to modify 
J18 172 Example 2.<p/>
J18 173 <p_><tf_>EXERCISE 7.7.<tf/> (a) If <tf|>A, <tf|>B are observables, 
J18 174 what should it mean to say that an observable <tf|>C is the sum 
J18 175 <tf|>A + <tf|>B of <tf|>A and <tf|>B? Discuss why we do not 
J18 176 hypothesize that there always exists such an observable <tf|>C.<p/>
J18 177 <p_>(b) If <tf|>A and <tf|>B are compatible, can we prove that 
J18 178 there exists an observable <tf|>C that can be regarded as <tf|>A + 
J18 179 <tf|>B?<p/>
J18 180 <p_><tf|>DEFINITION. An observable <tf|>q is called a <tf|>question 
J18 181 or a <tf_>yes/no observable<tf/> if, for each state <*_>alpha<*/>, 
J18 182 the measure <*_>mu<*/><sb_><*_>alpha<*/>,q<sb/> is supported on the 
J18 183 two numbers 0 and 1. We say that the result of observing <tf|>q, 
J18 184 when the system is in the state <*_>alpha<*/>, is 'yes' with 
J18 185 probability <*_>mu<*/><sb_><*_>alpha<*/>,q<sb/>({1}), and it is 
J18 186 'no' with probability <*_>mu<*/><sb_><*_>alpha<*/>,q<sb/>({0}).<p/>
J18 187 <p_><tf_>THEOREM 7.1.<tf/> <tf_>Let A be an observable.<tf/><p/>
J18 188 <p_>(1) <tf_>For each Borel subset E in <tf|>R, the observable 
J18 189 <*_>chi<*/><sb_>E<sb/>(A) is a question.<tf/><p/>
J18 190 <p_>(2) <tf_>If g is a real-valued Borel function on <tf|>R, for 
J18 191 which g(A) is a question, then there exists a Borel set E such that 
J18 192 g(A) = <*_>chi<*/><sb_>E<sb/>(A).<p/>
J18 193 <p_>(Note that condition 2 does not assert that g necessarily 
J18 194 equals <*_>chi<*/><sb_>E<sb/>.)<p/>
J18 195 <p_>PROOF.<tf/> For each Borel set <tf|>E, we have<p/>
J18 196 <p_><O_>formula<O/>,<p/>
J18 197 <p_>and<p/>
J18 198 <p_><O_>formula<O/>,<p/>
J18 199 <p_>which proves that <O_>formula<O/> is supported on the two 
J18 200 points 0 and 1 for every <*_>alpha<*/>, whence 
J18 201 <*_>chi<*/><sb_>E<sb/>(<tf|>A) is a question and so part 1 is 
J18 202 proved.<p/>
J18 203 <p_>Given a <tf|>g for which <tf|>q = <tf|>g(A) is a question, set 
J18 204 <tf|>E = <tf|>g<sp_>-1<sp/>({1}), and observe that for any 
J18 205 <*_>alpha<*/> <*_>EPSILON<*/> <tf|>S we have<p/>
J18 206 <p_><O_>formula<O/><p/>
J18 207 <p_>Since both <tf|>q and <*_>chi<*/><sb_>E<sb/>(A) are questions, 
J18 208 it follows from the preceding paragraph that<p/>
J18 209 <p_><O_>formula<O/><p/>
J18 210 <p_>showing that<p/>
J18 211 <p_><O_>formula<O/><p/>
J18 212 <p_>for every state <*_>alpha<*/>. Then, by Axiom 2, we have 
J18 213 that<p/>
J18 214 <p_><O_>formula<O/><p/>
J18 215 <p_>We now define some mathematical structure on the set <tf|>Q of 
J18 216 all questions. This set will form the fundamental ingredient of our 
J18 217 model.<p/>
J18 218 <p_><tf|>DEFINITION. Let <tf|>Q denote the set of all questions. 
J18 219 For each question <tf|>q <*_>EPSILON<*/> <tf|>Q, define a 
J18 220 real-valued function <tf|>m<sb_>q<sb/> on the set <tf|>S of states 
J18 221 by <p/>
J18 222 <p_><O_>formula<O/><p/>
J18 223 <p_>If <tf|>p and <tf|>q are questions, we say that <O_>formula<O/> 
J18 224 if <O_>formula<O/> for all <*_>alpha<*/> <*_>EPSILON<*/> <tf|>S.<p/>
J18 225 <p_>If <tf|>p, <tf|>q and <tf|>r are questions, for which 
J18 226 <O_>formula<O/>, we say that <tf|>p and <tf|>q are <tf|>summable 
J18 227 and that <tf|>r is the sum of <tf|>p and <tf|>q. We then write 
J18 228 <tf|>r = <tf|>p + <tf|>q. More generally, if {q<sb_>i<sb/>} is a 
J18 229 countable (finite or infinite) set of questions, we say the 
J18 230 <tf|>q<sb_>i<sb/>'s are <tf|>summable if there exists a question 
J18 231 <tf|>q such that<p/>
J18 232 <p_><O_>formula<O/><p/>
J18 233 <p_>for every <*_>alpha<*/> <*_>EPSILON<*/> <tf|>S. In such a case, 
J18 234 we write <O_>formula<O/>.<p/>
J18 235 <p_>Finally, a countable set {q<sb_>i<sb/>} is called <tf_>mutually 
J18 236 summable<tf/> if every subset of the <tf|>q<sb_>i<sb/>'s is 
J18 237 summable.<p/>
J18 238 <p_><tf|>REMARK. As mentioned above, the set <tf|>Q will turn out 
J18 239 to be the fundamental ingredient of our model, in the sense that 
J18 240 everything else will be described in terms of <tf|>Q.<p/>
J18 241 <p_><tf_>THEOREM 7.2.<tf/><p/>
J18 242 <p_>(1) <tf_>The set Q is a partially ordered set with respect to 
J18 243 the ordering <*_>unch<*/> defined above.<tf/><p/>
J18 244 <p_>(2) <tf_>There exists a question q<sb_>1<sb/> <*_>EPSILON<*/> 
J18 245 <tf|>Q, which we shall often simply call 1, for which 
J18 246 <O_>formula<O/> for every q <*_>EPSILON<*/> Q. That is, Q has a 
J18 247 maximum element q<sb_>1<sb/>.<tf/><p/>
J18 248 <p_>(3) <tf_>There exists a question q<sb_>0<sb/> <*_>EPSILON<*/> 
J18 249 Q, which we shall often simply call 0, for which <O_>formula<O/> 
J18 250 for every q <*_>EPSILON<*/> Q. That is, Q has a minimum element 
J18 251 q<sb_>0<sb/>.<tf/><p/>
J18 252 <p_>(4) <tf_>For each question q, there exists a question 
J18 253 <*_>unch<*/> such that <p/>
J18 254 <p_><O_>formula<O/><p/>
J18 255 <p_>That is, every question has a complementary question.<p/>
J18 256 <p_>PROOF.<tf/> That <tf|>Q is a partially ordered set is clear.<p/>
J18 257 
J19   1 <#FROWN:J19\><p_>Consider the diagram<p/>
J19   2 <p_><O_>formula<O/><p/>
J19   3 <p_>where <*_>pi<*/> is orthogonal projection (with respect to the 
J19   4 Hodge inner product), <tf|>i is the isomorphism<p/>
J19   5 <p_><O_>formula<O/>,<p/>
J19   6 <p_>and<p/>
J19   7 <p_><O_>formula<O/>.<p/>
J19   8 <p_>Using the Hodge decomposition theorem, it is not hard to see 
J19   9 that this diagram commutes, and that <*_>pi<*/> is an isomorphism 
J19  10 for <*_>rho<*/> near 1. Hence, for such <*_>rho<*/>, det 
J19  11 <*_>nu<*/>) can be identified with the determinant of 
J19  12 <tf|>D'<sb_><*_>rho<*/><sb/>.<p/>
J19  13 <p_>The lagrangian <O_>formula<O/> gives rise to a smooth section 
J19  14 of <O_>formula<O/> near <*_>rho<*/> = 1. For <O_>formula<O/>, this 
J19  15 section coincides with <O/>formula<O/>. For <*_>rho<*/> = 1, it 
J19  16 coincides with <O_>formula<O/>. Similar things are true if 
J19  17 <tf|>W<sb_>1<sb/> is replaced by <tf|>W<sb_>2<sb/> or if 1 is 
J19  18 replaced with another representation in <tf|>P. Thus we have found 
J19  19 the desired extensions of det<sp_>1<sp/>(<*_>nu<*/>) and 
J19  20 det<sp_>1<sp/>(<*_>eta<*/><sb_>j<sb/>).<p/>
J19  21 <p_>As a notational contrivance, let us define, for 
J19  22 <O_>formula<O/>,<p/>
J19  23 <p_><O_>formula<O/><p/>
J19  24 <p_>If <O_>formula<O/>, define<p/>
J19  25 <p_><O_>formula<O/>.<p/>
J19  26 <p_>So, abusing notation slightly, det<sp_>1<sp/>(<*_>nu<*/>) is a 
J19  27 smooth bundle over all of <*_>unch<*/> and 
J19  28 det<sp_>1<sp/>(<*_>eta<*/><sb_>j<sb/>) is a smooth section defined 
J19  29 over all of <*_>unch<*/><sb_>j<sb/>. This will simplify notation in 
J19  30 what follows.<p/>
J19  31 <p_>(1.15) <tf|>Proposition. <tf_>The first Chern class 
J19  32 c<sb_>1<sb/> (<tf|>det(<*_>nu<*/>)) of <tf|>det(<*_>nu<*/>) is 
J19  33 represented by a multiple <*_>omega<*/> of 
J19  34 <*_>omega<*/><sb_>B<sb/>. If <O_>formula<O/> is a symplectic 
J19  35 2-torus corresponding to a 2-dimensional symplectic summand of 
J19  36 H<sb_>1<sb/>(F; <tf|>R), then <O_>formula<O/><tf/>.<p/>
J19  37 <p_><tf|>Proof: Let <tf|>A be the space of connections on 
J19  38 <O_>formula<O/>. The first step is to compute the curvature the 
J19  39 universal <tf|>S<sb_>0<sb/><sp_>1<sp/> bundle <O_>formula<O/> over 
J19  40 <tf|>A x <tf|>F (cf. [AS]).<p/>
J19  41 <p_>Identify <tf|>A with <O_>formula<O/> via <O_>formula<O/>. 
J19  42 Identify <tf|>T<sb_>A<sb/>A with <O_>formula<O/>. Let 
J19  43 <O_>formula<O/> and <O_>formula<O/>. Define the connection 1-form 
J19  44 <*_>theta<*/> by<p/>
J19  45 <p_><O_>formula<O/><p/>
J19  46 <p_>The connection <*_>theta<*/> has the property that over the 
J19  47 surface {A} x <tf|>F it restricts to the connection <tf|>A on 
J19  48 <O_>formula<O/>. The curvature of <*_>theta<*/> is <O_>formula<O/>. 
J19  49 Thus, for <O_>formula<O/>,<p/>
J19  50 <p_><O_>formula<O/><p/>
J19  51 <p_>Let <tf|>G<sb_>0<sb/> be the group of smooth maps 
J19  52 <O_>formula<O/> such that <tf|>g(x<sb_>0<sb/>) = 1 for some fixed 
J19  53 <O_>formula<O/>. <tf|>G<sb_>0<sb/> acts freely on <tf|>U. This 
J19  54 action preserves the connection <*_>theta<*/>, and so leads to a 
J19  55 connection <*_>theta<*/><sp_>b<sp/> on <O_>formula<O/>. Recall that 
J19  56 <*_>unch<*/> can be identified with <tf|>F/G<sb_>0<sb/>, where 
J19  57 <O_>formula<O/> is the space of flat connection on <O_>formula<O/>. 
J19  58 Thus <*_>theta<*/><sp_>b<sp/> restricts to a connection on 
J19  59 <*_>unch<*/> x <tf|>F.<p/>
J19  60 <p_>The representation <O_>formula<O/> associates to 
J19  61 <O_>formula<O/> bundle <tf|>E over <*_>unch<*/> x <tf|>F with 
J19  62 curvature<p/>
J19  63 <p_><O_>formula<O/><p/>
J19  64 <p_>Hence <O_>formula<O/> and <O_>formula<O/> is represented by<p/>
J19  65 <p_><O_>formula<O/><p/>
J19  66 <p_>Thus the Chern character of <tf|>E is represented by<p/>
J19  67 <p_><O_>formula<O/><p/>
J19  68 <p_><tf|>E can be thought of as a family of flat <O_>unches<O/> 
J19  69 bundles over <tf|>F parameterized by <*_>unch<*/>. Corresponding to 
J19  70 each flat connection <tf|>A is the operator <tf|>D<sb_>A<sb/>, 
J19  71 defined above, and det(<*_>nu<*/>) can be identified with the 
J19  72 determinant of the index bundle of this family.<p/>
J19  73 <p_>A flat connection <tf|>A of <O_>formula<O/> determines a 
J19  74 holomorphic structure <tf|>A' on <O_>formula<O/>, and the index of 
J19  75 the family <tf|>D<sb_>A<sb/> can be identified with the index of 
J19  76 the family <O_>formula<O/>. (<tf|>F is given the complex structure 
J19  77 compatible with its metric.) So, by Theorem 5.1 of [AS4] and the 
J19  78 Riemann-Roch theorem, c<sb_>1<sb/>(det(<*_>nu<*/>)) is represented 
J19  79 by the 2-dimensional part of<p/>
J19  80 <p_><O_>formula<O/><p/>
J19  81 <p_>where <O_>formula<O/> denotes integration along the fibers 
J19  82 (i.e. along <tf|>F) and <tf|>T(F) is a form representing the Todd 
J19  83 genus of <tf|>F. Since <O_>formula<O/>, where <O_>formula<O/>, this 
J19  84 is just<p/>
J19  85 <p_><O_>formula<O/><p/>
J19  86 <p_>Note that, for <O_>formula<O/> and <O_>formula<O/>,<p/>
J19  87 <p_><O_>formula<O/>.<p/>
J19  88 <p_>Hence c<sb_>1<sb/>(det(<*_>nu<*/>)) is represented by the 
J19  89 2-form <*_>omega<*/>, where<p/>
J19  90 <p_><O_>formula<O/><p/>
J19  91 <p_>(Here we have identified <O_>formula<O/> with <tf|>R via 
J19  92 <O_>formula<O/>. Let <O_>formula<O/> be a symplectic 2-torus. 
J19  93 Then<p/>
J19  94 <p_><O_>formula<O/><p/>
J19  95 <h_><p_>D. Results of Newstead.<p/><h/>
J19  96 <p_>In this subsection we use results of Newstead ([N1,N2]) to show 
J19  97 that certain diffeomorphisms of representation spaces are 
J19  98 homologically trivial.<p/>
J19  99 <p_>Let <O_>formula<O/> be a separating simple closed curve. 
J19 100 Define<p/>
J19 101 <p_><O_>formula<O/><p/>
J19 102 <p_>Let <tf|>F<sb_>1<sb/> and <tf|>F<sb_>2<sb/> be the components 
J19 103 of <tf|>F cut along <*_>gamma<*/>. Define<p/>
J19 104 <p_><O_>formula<O/><p/>
J19 105 <p_>(j = 1,2). Then we can make the identifications<p/>
J19 106 <p_><O_>formula<O/><p/>
J19 107 <p_>(In the first equation, some basing of the free loop 
J19 108 <*_>gamma<*/> is assumed.)<p/>
J19 109 <p_>Let <O_>formula<O/> be a diffeomorphism such that 
J19 110 <O_>formula<O/> and <O_>formula<O/> is the identity. <*_>tau<*/> 
J19 111 induces diffeomorphisms of <tf|>F (which is the identity on 
J19 112 <tf|>F<sb_>2<sb/>) and <O_>formula<O/>, which will also be denoted 
J19 113 <*_>tau<*/>. In the proofs of (3.10) and (3.12), we will need the 
J19 114 following lemma.<p/>
J19 115 <p_>(1.16) <tf|>Lemma. <O_>formula<O/> <tf_>is the 
J19 116 identity.<tf/><p/>
J19 117 <p_><tf|>Proof: Note that since [<*_>gamma<*/>] lies in the 
J19 118 commutator subgroup of <O_>formula<O/>, <O_>formula<O/> consists 
J19 119 entirely of irreducible representations. Hence there is a 
J19 120 fibration<p/>
J19 121 <p_><O_>formula<O/><p/>
J19 122 <p_>with fiber <O_>formula<O/>. Since <tf|>SO(3) is a rational 
J19 123 homology 3-sphere, there is a Gysin sequence<p/>
J19 124 <p_><O_>formula<O/><p/>
J19 125 <p_>(All coefficients are in <tf|>Q. <O_>formula<O/> is the Euler 
J19 126 class of the fibration.)<p/>
J19 127 <p_>I claim that <O_>formula<O/> is an isomorphism for <tf|>i = 2 
J19 128 or 3. This is obvious for <tf|>i = 2, and injectivity is obvious 
J19 129 for <tf|>i = 3. By Proposition 2.6 of [N2]), the natural map<p/>
J19 130 <p_><O_>formula<O/><p/>
J19 131 <p_>is an isomorphism (<tf|>j = 1,2). Furthermore, <O_>formula<O/> 
J19 132 (Theorems 1 and 1' of [N2]). Therefore, by the Knneth formula, the 
J19 133 composite<p/>
J19 134 <p_><O_>formula<O/><p/>
J19 135 <p_>is an isomorphism. (The first arrow is induced by the fibration 
J19 136 <O_>formula<O/>.) Hence <O_>formula<O/> is onto.<p/>
J19 137 <p_>By Theorem 1' of [N2] and the Knneth formula, <O_>formula<O/> 
J19 138 is generated by classes of dimensions 2 and 3 for <O_>formula<O/>. 
J19 139 I claim that <O_>formula<O/> is generated by classes of dimensions 
J19 140 2 and 3 and <O_>formula<O/>, for <O_>formula<O/>. This is clear for 
J19 141 <tf|>i<*_>unch<*/>3. Suppose it holds for <O_>formula<O/>. Let 
J19 142 <O_>formula<O/>. Then there exists <O_>formula<O/> lying in the 
J19 143 subring of <O_>formula<O/> generated by classes of dimensions 2 and 
J19 144 3 such that <O_>formula<O/>. Hence<p/>
J19 145 <p_><O_>formula<O/><p/>
J19 146 <p_>where, by inductive assumption, <O_>formula<O/> lies in the 
J19 147 subring of <O_>formula<O/> generated by classes of dimensions 2 and 
J19 148 3 and <*_>chi<*/>.<p/>
J19 149 <p_>So it suffices to show that <*_>tau<*/>* is the identity on 
J19 150 <O_>formulae<O/> and <*_>chi<*/>.<p/>
J19 151 <p_>Since <*_>tau<*/> acts on the fibration (1.17) in an 
J19 152 orientation preserving fashion, <O_>formula<O/>.<p/>
J19 153 <p_>Since <O_>formula<O/> is an isomorphism for <tf|>i = 2 or 3, it 
J19 154 suffices to show that <*_>tau<*/> acts trivially on 
J19 155 <O_>formula<O/>. By the Knneth formula and the fact that 
J19 156 <*_>tau<*/> act trivially on <O_>formula<O/>, it suffices to show 
J19 157 that <*_>tau<*/> acts trivially on <O_>formula<O/> (<tf|>i = 2,3). 
J19 158 This is done in [AM] (Lemma VI.2.1 and VI.2.2).<p/>
J19 159 <p_>Let <tf|>x<sb_>1<sb/>, <tf|>y<sb_>1<sb/>, ..., 
J19 160 <tf|>x<sb_>k<sb/>, <tf|>y<sb_>k<sb/> be a symplectic basis of 
J19 161 <O_>formula<O/>. This gives rise to identifications<p/>
J19 162 <p_><O_>formulae<O/><p/>
J19 163 <p_>Define <O_>formula<O/> by<p/>
J19 164 <p_><O_>formula<O/><p/>
J19 165 <p_><O_>formula<O/> descends to a diffeomorphism of 
J19 166 <O_>formula<O/>, which will also be denoted by <*_>sigma<*/>. In 
J19 167 the proof of (3.59), we will need the following lemma.<p/>
J19 168 <p_>(1.18) <tf|>Lemma. <O_>formula<O/> <tf_>is the 
J19 169 identity.<tf/><p/>
J19 170 <p_><tf|>Proof: The proof of (1.16) can be adapted to this case 
J19 171 almost verbatim. It is left to the reader to check that the proofs 
J19 172 of Lemmas VI.2.1 and VI.2.2 of [AM] work with <*_>tau<*/> replaced 
J19 173 by <*_>sigma<*/>. (This amounts to observing that <O_>formula<O/> 
J19 174 is the identity and that <*_>sigma<*/> acts on various sphere 
J19 175 bundles in an orientation preserving fashion.)<p/>
J19 176 <h_><p_>E. Special Isotopies.<p/><h/>
J19 177 <p_>(1.19) <tf|>Definition. An isotopy <O_>formula<O/> of <tf|>R is 
J19 178 called <tf|>special if<p/>
J19 179 <p_>1. <O_>formula<O/> is transverse to <tf|>Q<sb_>2<sb/> at 
J19 180 <O_>formula<O/> for all <tf|>t.<p/>
J19 181 <p_>2. <O_>formula<O/> for all <tf|>t.<p/>
J19 182 <p_>3. <O_>formula<O/> is symplectic, and hence (in view of 2 
J19 183 above) preserves the fibers of the normal bundle <*_>nu<*/>.<p/>
J19 184 <p_>(1.20) <tf|>Proposition. <tf_>There exists a special isotopy 
J19 185 <O_>formula<O/> of R such that <O_>formula<O/> is transverse to 
J19 186 <tf|>Q<sb_>2<sb/> (i.e. their Zariski tangent spaces are transverse 
J19 187 at each point of <O_>formula<O/>).<tf/><p/>
J19 188 <p_><tf|>Proof: Since <tf|>M is a <tf_>Q<tf/>HS, <tf|>Q<sb_>1<sb/> 
J19 189 is transverse to <tf|>Q<sb_>2<sb/> at <tf|>P and <tf|>T<sb_>1<sb/> 
J19 190 is transverse to <tf|>T<sb_>2<sb/> in <tf|>S. Choose a compactly 
J19 191 supported isotopy of a tubular neighborhood of <tf|>S<*_>unch<*/> 
J19 192 in <tf|>R which moves <O_>formula<O/> transverse to <O_>formula<O/> 
J19 193 for each <O_>formula<O/> and is symplectic on <O_>formula<O/>. At 
J19 194 this stage <tf|>Q<sb_>1<sb/> is transverse to <tf|>Q<sb_>2<sb/> in 
J19 195 a neighborhood of <tf|>S, and so we can find a compactly supported 
J19 196 isotopy of <tf|>R<*_>unch<*/> which moves <tf|>Q<sb_>1<sb/> 
J19 197 transverse to <tf|>Q<sb_>2<sb/>.<p/>
J19 198 <h_><p_>F. Orientations.<p/><h/>
J19 199 <p_>Orientations will be important in what follows, so in this 
J19 200 section we will establish orientation conventions. [<tf|>Y] will 
J19 201 denote the orientation of the space <tf|>Y. If <tf|>Y is singular, 
J19 202 this means the orientation of the top stratum. If <tf|>Y is a 
J19 203 bundle, it means an orientation of the fibers (not the total 
J19 204 space).<p/>
J19 205 <p_>First of all, orient the Heegaard surface <tf|>F so that 
J19 206 [<tf|>F] followed by a normal vector to <tf|>F pointing into 
J19 207 <tf|>Q<sb_>2<sb/> gives [<tf|>M]. This fixes an identification of 
J19 208 <O_>formula<O/> with <tf|>R, and so fixes the sign of 
J19 209 <*_>omega<*/>.<p/>
J19 210 <p_>Complex vector spaces (and almost complex manifolds) have a 
J19 211 natural orientation: If <tf|>a<sb_>1<sb/>, ..., <tf|>a<sb_>n<sb/> 
J19 212 is a basis over <tf|>C, then <tf|>a<sb_>1<sb/>, <tf|>ia<sb_>1<sb/>, 
J19 213 ..., <tf|>a<sb_>n<sb/>, <tf|>ia<sb_>n<sb/> is an oriented basis 
J19 214 over <tf|>R. Symplectic vector spaces and manifolds are oriented 
J19 215 according to a compatible almost complex structure. Thus 
J19 216 <*_>omega<*/> determines the orientations [<tf|>R], 
J19 217 [<tf|>S],[<*_>nu<*/>] and [<*_>xi<*/>]. <*_>eta<*/><sb_>j<sb/> and 
J19 218 <*_>unch<*/><sb_>j<sb/>, when lifted to <O_>formula<O/>, have 
J19 219 <tf_>J<tf/>-complex structures. This determines 
J19 220 [<*_>eta<*/><sb_>j<sb/>] and <*_>unch<*/><sb_>j<sb/> (as bundles 
J19 221 over <O_>formula<O/>).<p/>
J19 222 <p_>Choose orientations of <*_>unch<*/> and <*_>unch<*/> so that<p/>
J19 223 <p_><O_>formula<O/><p/>
J19 224 <p_>at points of <O_>formula<O/>. ([<*_>unch<*/>] is the 
J19 225 orientation lifted from [<tf|>S].)<p/>
J19 226 <p_>In general, given a fibering <O_>formula<O/>, we choose 
J19 227 orientations so that [<tf|>E] = [<tf|>B][<tf|>Y]. Thus orientations 
J19 228 on two of <tf|>E, <tf|>B or <tf|>Y determine an orientation of the 
J19 229 third. If <tf|>G acts on <tf|>X, there is a fibering 
J19 230 <O_>formula<O/> (at least at points where <tf|>G acts freely, which 
J19 231 is enough to determine orientations). We regard spaces of unit 
J19 232 vectors (e.g. <*_>unch<*/><sb_>j<sb/>) as quotients of spaces of 
J19 233 non-unit vectors (e.g. <*_>theta<*/><sb_>j<sb/>) by 
J19 234 <tf|>R<sp_>+<sp/>, the positive reals. Let [<tf|>SU(2)], 
J19 235 [<tf|>S<sb_>0<sb/><sp_>1<sp/>] and [<tf|>R<sp_>+<sp/>] be the 
J19 236 standard orientations. The following equations determine 
J19 237 orientations of spaces not yet oriented. (There are some cases of 
J19 238 over determination, and it is left to the reader to check that 
J19 239 these cases are consistent.)<p/>
J19 240 <p_><O_>formulae<O/><p/>
J19 241 <p_>(The third equation requires some comment. <O_>formula<O/> 
J19 242 determines an orientation of a double cover of a neighborhood of 
J19 243 <O_>formula<O/> in <tf|>Q<sb_>j<sb/>, which induces an orientation 
J19 244 on <tf|>Q<sb_>j<sb/>.)<p/>
J19 245 <p_>All boundaries will be oriented according to the 'inward normal 
J19 246 last' convention. (e.g. <tf|>F is oriented as 
J19 247 <*_>delta<*/><tf|>W<sb_>2<sb/>.) In particular, this fixes an 
J19 248 orientation of <*_>delta<*/>F*. Hence the map<p/>
J19 249 <p_><O_>formula<O/><p/>
J19 250 <p_>is well-defined up to conjugation by elements of <tf_>SU(2) 
J19 251 (which preserves orientation). Note that <O_>formula<O/>. Thus, 
J19 252 near regular points of <tf|>R<sp_>#<sp/>, there is an 
J19 253 identification of the normal fiber (in <tf|>R*<sp_>#<sp/> with 
J19 254 <tf|>su(2), well-defined up to orientation preserving linear maps 
J19 255 (i.e. Ad (<tf|>SU(2))). Choose [<tf_>R*<sp_>#<sp/>] so that<p/>
J19 256 <p_><O_>formula<O/><p/>
J19 257 <p_>([<tf|>su(2)] is, of course, the standard orientation of 
J19 258 <tf|>su(2).)<p/>
J19 259 <p_>Now we give an orientation convention for intersections of 
J19 260 manifolds. Let <tf|>A and <tf|>B be oriented properly embedded 
J19 261 submanifolds of an oriented manifold <tf|>Y, intersecting 
J19 262 transversely in <tf|>X. Let <*_>alpha<*/> be the normal bundle of 
J19 263 <tf|>A in <tf|>Y. Orient <*_>alpha<*/> so that<p/>
J19 264 <p_><O_>formula<O/><p/>
J19 265 <p_><O_>formula<O/> is the normal bundle of <tf|>X in <tf|>B. 
J19 266 Orient <tf|>X so that<p/>
J19 267 <p_><O_>formula&figure<O/><p/>
J19 268 <p_>Note that this orientation convention is compatible with the 
J19 269 convention given above for boundaries in the sense that<p/>
J19 270 <p_><O_>formula<O/><p/>
J19 271 <p_>Note also that the induced orientation of <tf|>X depends on the 
J19 272 ordering of <tf|>A and <tf|>B.<p/>
J19 273 <h_><p_>G. Dehn Twists and Dehn Surgery.<p/><h/>
J19 274 <p_>Let <O_>formula<O/> be a smooth function such that <tf|>f(r) = 
J19 275 0 for <tf|>r near 1 and <tf|>f(r) = 2<*_>pi<*/> for <tf|>r near 2. 
J19 276 Let <O_>formula<O/>. Define <O_>formula<O/> by<p/>
J19 277 <p_><O_>formula<O/><p/>
J19 278 <p_>for <O_>formula<O/> and <O_>formula<O/> (see Figure 1.1). Note 
J19 279 that <tf|>g is the identity near <*_>delta<*/>A and the 
J19 280 <}_><-|><+|>the <}/> isotopy class of <tf|>g does not depend on the 
J19 281 choice of <tf|>f.<p/>
J19 282 <p_>Let <*_>gamma<*/> be a simple closed curve in an oriented 
J19 283 surface <tf|>F. Let <O_>formula<O/> be orientation preserving 
J19 284 embedding of <tf|>A in <tf|>F which maps the boundary components of 
J19 285 <tf|>A to curves which are isotopic to <*_>gamma<*/>. Define 
J19 286 <O_>formula<O/> by<p/>
J19 287 <p_><O_>formula<O/><p/>
J19 288 <p_>The isotopy class of <tf|>h<sb_><*_>gamma<*/><sb/> does not 
J19 289 depend on the choice of <*_>phi<*/>. Any map in the isotopy class 
J19 290 of <tf|>h<sb_><*_>gammma<*/><sb/> is called a left-handed Dehn 
J19 291 twist along <*_>gamma<*/>. The inverses of such maps are called 
J19 292 right-handed Dehn twists.<p/>
J19 293 <p_>Let <tf|>N be a 3-manifold and let <O_>formula<O/> be a 
J19 294 boundary component of <tf|>N which is diffeomorphic to a torus. Let 
J19 295 <O_>formula<O/> be a primitive homology class (that is, one which 
J19 296 can be represented by a simple closed curve). Let <O_>formula<O/> 
J19 297 be a diffeomorphism which sends <O_>formula<O/> to a curve 
J19 298 representing <tf|>a.<p/>
J19 299 <p_><O_>formula<O/><p/>
J19 300 <p_>is called the Dehn surgery of <tf|>N along <tf|>a. Note that 
J19 301 <tf|>N<sb_>a<sb/> does not depend on the sign of <tf|>a. If <tf|>N 
J19 302 is oriented, we give <tf|>N<sb_>a<sb/> the orientation induced from 
J19 303 <O_>formula<O/>.<p/>
J19 304 <p_>If <O_>formula<O/> is a knot in a 3-manifold <tf|>M, then Dehn 
J19 305 surgery on <tf|>K means Dehn surgery on <tf|>M\<tf|>U, where <tf|>U 
J19 306 is an open tubular neighborhood of <tf|>K.
J19 307 
J19 308 
J20   1 <#FROWN:J20\>Let <*_>unch<*/> denote the neighborhood of 
J20   2 <*_>unch<*/><sb_>g<sb/> parameterized by <O_>formula<O/> with 
J20   3 <O_>formula<O/>. In this paper, we will be interested in the 
J20   4 associated real analytic polar coordinates (Re <*_>unch<*/>, Im 
J20   5 <*_>unch<*/>, |<tf|>t|, arg <tf|>t): the coordinate function arg 
J20   6 <tf|>t is <tf|>S<sp_>1<sp/>-valued, but since we will soon lift to 
J20   7 a <tf_>Z<tf/>-cover and consider the lift of arg <tf|>t to be 
J20   8 <tf_>R<tf/>-valued, here we will write arg <tf|>t <*_>epsilon<*/> 
J20   9 [0, 2<*_>pi<*/>).<p/>
J20  10 <p_>Next, let <*_>unch<*/><sb_>g<sb/> denote the Deligne-Mumford 
J20  11 compactified moduli space of stable curves and set <O_>formula<O/>. 
J20  12 Then <*_>pi<*/> extends to a nonsurjective map <O_>formula<O/> 
J20  13 which is a branched cover over its image. Moreover 
J20  14 <*_>unch<*/><sb_>g<sb/> is a differentiable manifold ([BE], 
J20  15 [Ea-Ma], [Mas]).<p/>
J20  16 <p_>Now the neighborhood <*_>unch<*/> admits a Fenchel-Nielsen 
J20  17 parameterization based on uniformizing the surfaces 
J20  18 <O_>formula<O/>. On the surface <tf|>M<sb_>t<sb/>, choose curves 
J20  19 <*_>gamma<*/><sb_>1<sb/>, ..., <*_>gamma<*/><sb_>3g-4<sb/> so that 
J20  20 <tf|>M<sb_>t<sb/> <*_>approximate-sign<*/> 
J20  21 {<*_>gamma<*/><sb_>0<sb/>, <*_>gamma<*/><sb_>1<sb/>, ..., 
J20  22 <*_>gamma<*/><sb_>3g-4<sb/>} is a collection of 3-holed spheres. 
J20  23 Let <*_>sigma<*/><sb_><*_>unch<*/>, t<sb/> denote the hyperbolic 
J20  24 metric constistent with the conformal structure on the Riemann 
J20  25 surface <O_>formula<O/>, and let <O_>formula<O/> denote the 
J20  26 <*_>sigma<*/><sb_><*_>unch<*/>, t<sb/>-length of the unique 
J20  27 <*_>sigma<*/><sb_><*_>unch<*/>, t<sb/> geodesic representing the 
J20  28 free homotopy class [<*_>gamma<*/><sb_>i<sb/>] <*_>epsilon<*/> 
J20  29 <*_>pi<*/><sb_>1<sb/><tf|>M<sb_>t<sb/>. Let <O_>formula<O/> denote 
J20  30 the Fenchel-Nielsen twist angle (see [Ab] for details) of 
J20  31 [<*_>gamma<*/><sb_>i<sb/>] of <O_>formula<O/>. Then <O_>formula<O/> 
J20  32 provide Fenchel-Nielsen polar co<?_>-<?/>ordinates for 
J20  33 <*_>unch<*/>; here we leave <O_>formula<O/> undefined. Also, 
J20  34 <O_>formula<O/> should be thought of as <tf|>S<sp_>1<sp/>-valued, 
J20  35 but it will be notationally convenient to consider 
J20  36 <O_>formula<O/>.<p/>
J20  37 <p_>The local functions (Re <*_>unch<*/>, Im <*_>unch<*/>, 
J20  38 |<tf|>t|, arg <tf|>t) and (<*_>unch<*/>, <*_>unch<*/>) each provide 
J20  39 real analytic polar coordinates for <*_>unch<*/>, the former system 
J20  40 from a conformal geometry point of view, and the latter from a 
J20  41 hyperbolic geometry point of view. These two real analytic 
J20  42 structures are not equivalent: in this paper, we aim to relate the 
J20  43 two structures.<p/>
J20  44 <p_>Before we state the main theorems, we need a technical 
J20  45 definition of what we mean for a coordinate function to be real 
J20  46 analytic in a polar coordinate system. We say that a function 
J20  47 defined on a neighborhood of the origin in <tf|>R<sp_>2<sp/> 
J20  48 parametrized by the polar coordinate (r, <*_>theta<*/>) is 
J20  49 <tf_>sector real analytic<tf/> provided that for any ray from the 
J20  50 origin, there is a sector of the neighorhood at the origin 
J20  51 containing that ray in which the function has a convergent 
J20  52 expansion in the variables <tf|>r and <*_>theta<*/> in that sector. 
J20  53 The definition extends immediately to a product of planes. We 
J20  54 prove<p/>
J20  55 <p_>THEOREM A. <tf_>The coordinate functions <O_>formula<O/>, are 
J20  56 sector real analytic in (-log |t|)<sp_>-1<sp/>, arg t, and 
J20  57 <*_>unch<*/> near t = 0; the coordinate functions <O_>formula<O/>, 
J20  58 are also sector real analytic in (-log |t|)<sp_>-1<sp/>, arg t, and 
J20  59 <*_>unch<*/>.<tf/><p/>
J20  60 <p_>From our method, it follows<p/>
J20  61 <p_>THEOREM B. <tf_>The hyperbolic metrics <O_>formula<O/> are 
J20  62 sector real analytic in (-log |t|)<sp_>-1<sp/>, arg t, and 
J20  63 <*_>unch<*/> near t = 0.<tf/><p/>
J20  64 <p_>We also conclude<p/>
J20  65 <p_>THEOREM C. <tf_>If (<tf|>l<sb_>0<sb/>, <*_>unch<*/>, 
J20  66 <*_>theta<*/><sb_>0<sb/>, <*_>unch<*/> are Fenchel-Nielsen 
J20  67 coordinates for the neighborhood <*_>unch<*/>, then the coordinates 
J20  68 |t|, <*_>unch<*/>, arg t are sector real analytic in 
J20  69 <O_>formula<O/>, <*_>unch<*/>, <*_>theta<*/><sb_>0<sb/>, and 
J20  70 <*_>unch<*/>.<tf/><p/>
J20  71 <p_><tf|>Remarks. (1) Additional notation extends the results to 
J20  72 surfaces with multiple nodes.<p/>
J20  73 <p_>(2) We would like to place the current work in the context of 
J20  74 [Wf] and [Wlpt].<p/>
J20  75 <p_>In [Wf], we showed that the hyperbolic metrics <O_>formula<O/> 
J20  76 were real analytic in <O_>formulae<O/>, and we provided a somewhat 
J20  77 explicit Taylor series. There only the hyperbolic structure of the 
J20  78 surfaces M<sb_><*_>unch<*/>, t<sb/> was considered and the proof 
J20  79 relied on harmonic maps. We found that the harmonic maps were well 
J20  80 suited to the study of the single real analytic polar structure 
J20  81 (<*_>unch<*/>, <*_>unch<*/>): the maps were independent of the 
J20  82 twist variable <O_>formula<O/>, and so any sector real analytic 
J20  83 function of (<*_>unch<*/>, <*_>unch<*/>) was in fact real analytic 
J20  84 in a full polar neighborhood. In the present situation, we are 
J20  85 interested in comparing the conformal and hyperbolic geometry, and 
J20  86 we find that we must use different maps between surfaces; the 
J20  87 harmonic maps are unsuitable.<p/>
J20  88 <p_>In [Wlpt], we provided the initial expansion for the hyperbolic 
J20  89 metrics <O_>formula<O/> in (<*_>unch<*/>, t). The approach was 
J20  90 based on the plumbing construction, approximate hyperbolic metrics, 
J20  91 and solving the prescribed curvature equation. The method appears 
J20  92 not to provide that the hyperbolic metrics are sector real analytic 
J20  93 in (log |t|)<sp_>-1<sp/>, arg t, and <*_>unch<*/>. The motivation 
J20  94 for the current work was to treat both the real analyticity and the 
J20  95 complex parameterization.<p/>
J20  96 <p_><tf_>2. Maps between surfaces.<tf/> In this section, we define 
J20  97 the map between surfaces that we will use, and we prove a lemma 
J20  98 about its relevant properties.<p/>
J20  99 <p_><tf|>2.1. We work on the augmented Teichmller space 
J20 100 <*_>unch<*/><sb_>g<sb/> (see [Ab]). Briefly, the Teichmller space 
J20 101 <tf|>T<sb_>g<sb/> is an infinite cyclic cover of <tf|>P<sb_>g<sb/> 
J20 102 with covering group <tf|>T(p) generated by isotopy classes of Dehn 
J20 103 twist about <*_>gamma<*/><sb_>0<sb/>. Setting <*_>PI<*/> to be the 
J20 104 covering map <O_>formula<O/>, consider <O_>formula<O/> where 
J20 105 <O_>formula<O/> and let <O_>formula<O/> denote a point in 
J20 106 <tf|>T<sb_>g<sb/> lying over m(<*_>unch<*/>, t). Assign 
J20 107 <*_>unch<*/> the coordinates <O_>unch<O/> and lift the coordinate 
J20 108 functions on <tf|>N near <tf|>m(<*_>unch<*/>, t) to a neighborhood 
J20 109 of <*_>unch<*/>. When we continue the functions <*_>unch<*/>, |t|, 
J20 110 and arg t on <tf|>T<sb_>g<sb/>, we see that <*_>unch<*/> and |t| 
J20 111 are invariant under the action of the deck group <tf|>T(p) while if 
J20 112 <O_>formula<O/> with <O_>formula<O/>, then the arg t coordinates 
J20 113 for <*_>unch<*/><sb_>1<sb/> and <*_>unch<*/><sb_>2<sb/> differ by 
J20 114 an integer multiple of 2<*_>pi<*/>.<p/>
J20 115 <p_>To obtain <*_>unch<*/><sb_>g<sb/> we adjoin to 
J20 116 <tf|>T<sb_>g<sb/> classes representing the noded surfaces 
J20 117 M<sb_><*_>unch<*/>, 0<sb/> so that the coordinate functions 
J20 118 <*_>unch<*/> and |t| are continuous. The projection <O_>formula<O/> 
J20 119 extends to a map <O_>formula<O/> infinitely branched over the locus 
J20 120 of points t = 0. Let <*_>unch<*/>* be the preimage of <*_>unch<*/> 
J20 121 under <*_>unch<*/>; then <*_>unch<*/>* is sometimes called a 
J20 122 horocyclic neighborhood in <*_>unch<*/><sb_>g<sb/>, and we have 
J20 123 provided coordinates (<*_>unch<*/>, |t|, arg t) on 
J20 124 <*_>unch<*/>*.<p/>
J20 125 <p_><tf|>2.2. In this section, we prove<p/>
J20 126 <p_>LEMMA 2.2. <tf_>Fix (<*_>unch<*/><sb_>0<sb/>, |t<sb_>0<sb/>|, 
J20 127 <tf|>arg t<sb_>0<sb/>) with |t<sb_>0<sb/>| <*_>unch<*/> 0 and let 
J20 128 <O_>formula<O/> represent a point in <*_>unch<*/><sb_>g<sb/> with 
J20 129 coordinates (<*_>unch<*/>, |t|, <tf|>arg t) near 
J20 130 (<*_>unch<*/><sb_>0<sb/>, |t<sb_>0<sb/>|, arg t<sb_>0<sb/>). Then 
J20 131 there exists maps <O_>formula<O/> so that <O_>formula<O/> is real 
J20 132 analytic in <*_>unch<*/>, (-log |t|)<sp_>-1<sp/> and <tf|>arg t and 
J20 133 the radius of convergence of the power series expansion of 
J20 134 <O_>formula<O/> about <*_>unch<*/><sb_>0<sb/>, |t<sb_>0<sb/>|, 
J20 135 <tf|>arg t<sb_>0<sb/> is independent of <*_>unch<*/><sb_>0<sb/>, 
J20 136 t<sb_>0<sb/>.<p/>
J20 137 <p_>Remark.<tf/> Theorem B will follow from Lemma 2.2 by letting 
J20 138 |t<sb_>0<sb/>| tend to zero. We are forced to take this approach 
J20 139 rather than simply setting |t<sb_>0<sb/>| = 0 initially because we 
J20 140 do not know the expansion of <O_>formula<O/> near the node <tf|>p, 
J20 141 and so we lack boundary conditions with which to simultaneously 
J20 142 open up the node and uniformize.<p/>
J20 143 <p_>In this approach, the size of the sector in which we are 
J20 144 guaranteed analyticity in the theorem depends on the radius of 
J20 145 convergence given by the lemma.<p/>
J20 146 <p_><tf|>Proof. We organize our argument into four steps.<p/>
J20 147 <p_>1. <tf_>Constructing the maps<tf/>. Important to our 
J20 148 construction of the map <*_>zeta<*/> will be a decomposition of 
J20 149 <O_>formula<O/> into three domains determined by its coordinates. 
J20 150 Our original surface <tf|>M<sb_>0<sb/> admitted a decomposition 
J20 151 as<p/>
J20 152 <p_><O_>formula<O/><p/>
J20 153 <p_>where the Beltrami differentials <*_>mu<*/><sb_>i<sb/> were 
J20 154 supported on <tf|>M* and where we now further assume that 
J20 155 <tf|>M<sb_>0<sb/> <*_>approximate-sign<*/> <tf|>M* is given as 
J20 156 <O_>formula<O/>. Now define <O_>formula<O/>; here <tf|>c is a small 
J20 157 number to be determined later. The cylinder <tf|>C<sb_>|t|<sb/> 
J20 158 conformally embeds in <O_>formula<O/> and we will also use the 
J20 159 notation <tf|>C<sb_>|t|<sb/> for the embedded cylinder. Now recall 
J20 160 that the map <O_>formula<O/> was conformal on <tf|>M<sb_>0<sb/> 
J20 161 <*_>approximate-sign<*/> <tf|>M*, and define <O_>formula<O/>; we 
J20 162 notice from our constructions that the conformal type of 
J20 163 <O_>formula<O/> depends only on <*_>mu<*/>(<*_>unch<*/>), hence 
J20 164 only on <*_>unch<*/>. We conclude that <O_>formula<O/> can be 
J20 165 decomposed as <p/>
J20 166 <p_><O_>formula<O/><p/>
J20 167 <p_>Note that the middle component, <O_>formula<O/>, is a pair of 
J20 168 cylinders whose geometry depends only on |<tf|>t|; moreover the 
J20 169 geometry of these cylinders is bounded independently of |<tf|>t| 
J20 170 for <O_>formula<O/>. We will define the map <*_>zeta<*/> on each 
J20 171 domain and then patch the definitions together across the 
J20 172 frontiers.<p/>
J20 173 <p_>We begin by considering the cylinder 
J20 174 <tf|>C<sb_>|t<sb_>0<sb/>|<sb/>, but before we define the map 
J20 175 <*_>zeta<*/> on <tf|>C<sb_>|t<sb_>0<sb/>|<sb/>, we discuss some of 
J20 176 the geometry of a cylinder <tf|>C<sb_>|t|<sb/>. First, it will be 
J20 177 more convenient for us to work with the conformally equivalent 
J20 178 domain <O_>formula<O/> where we identify <O_>formula<O/> with 
J20 179 <O_>formula<O/>. Second, we notice that <tf|>A<sb_>|t|<sb/> admits 
J20 180 the (noncomplete) hyperbolic metrics <O_>formula<O/>; in this 
J20 181 metric the curve <O_>formula<O/> is a geodesic of length 
J20 182 <O_>formula<O/>, and the curves <O_>formula<O/> and <O_>formula<O/> 
J20 183 have constant geodesic curvature and are of length <O_>formula<O/>. 
J20 184 It is often enough to focus on the subdomain <O_>formula<O/>; the 
J20 185 domain <O_>formula<O/> is bounded by the geodesic 
J20 186 <*_>gamma<*/><sb_>|t|<sb/> and is antiisometric to the interior of 
J20 187 <O_>formula<O/>.<p/>
J20 188 <p_>We now define the map <O_>formula<O/> by setting 
J20 189 <O_>formula<O/> and then defining u(|t<sb_>0<sb/>|; |t|)(z) and 
J20 190 v(|t<sb_>0<sb/>|; |t|)(z) in the coordinates on 
J20 191 A<sb_>|t<sb_>o<sb/>|<sb/> by<p/>
J20 192 <p_><O_>formula&caption<O/><p/>
J20 193 <p_>Let <O_>formula<O/> denote the <O_>formula<O/> distance 
J20 194 function. Then the map <O_>formula<O/> has the important property 
J20 195 that<p/>
J20 196 <p_><O_>formula<O/><p/>
J20 197 <p_>Because u(|t<sb_>0<sb/>|; |t|)(x) is odd about 
J20 198 <*_>gamma<*/><sb_>|t|<sb/>, we could also have defined <*_>zeta<*/> 
J20 199 to take <O_>formula<O/> onto <O_>formula<O/> and the interior of 
J20 200 <O_>formula<O/> onto the interior of <O_>formula<O/>; when we allow 
J20 201 |t| to tend to zero, this will be a useful characterization of the 
J20 202 map <*_>zeta<*/> between the domains <O_>formula<O/> and 
J20 203 <O_>formula<O/>.<p/>
J20 204 <p_>Later we will need to know <O_>formula<O/> and the Beltrami 
J20 205 differential <O_>formula<O/>. These we compute to be<p/>
J20 206 <p_><O_>formula&caption<O/><p/>
J20 207 <p_>and<p/>
J20 208 <p_><O_>formula&caption<O/><p/>
J20 209 <p_>where <O_>formula<O/>, and <O_>formula<O/>.<p/>
J20 210 <p_>It is perhaps easier to note that the first term in the 
J20 211 brackets of (2.2) is <O_>formula<O/> and that<p/>
J20 212 <p_><O_>formula&caption<O/><p/>
J20 213 <p_>and<p/>
J20 214 <p_><O_>formula&caption<O/><p/>
J20 215 <p_>The following properties of (2.1), (2.2), and (2.3) will be 
J20 216 crucial for our discussion:<p/>
J20 217 <p_>(i)<O_>formula<O/>,<p/>
J20 218 <p_>(ii)<O_>formula<O/> and <O_>formula<O/>,<p/>
J20 219 <p_>(iii) for <O_>formula<O/> is bounded independently of 
J20 220 |<tf|>t<sb_>0<sb/>|, for |<tf|>t<sb_>0<sb/>| small,<p/>
J20 221 <p_>for |<tf|>t| > 0, the map <O_>formula<O/> and for |<tf|>t| = 0, 
J20 222 the map <O_>formula<O/> on <O_>formula<O/> (also on the interior of 
J20 223 <O_>formula<O/>, with the natural conventions) where here we define 
J20 224 <O_>formula<O/> and most importantly of all,<p/>
J20 225 <p_>(v) for fixed <O_>formula<O/>, the families <O_>formula<O/>, 
J20 226 <tf|>v(z), and <tf|>Dv(z) are analytic in <O_>formula<O/> for 
J20 227 0<|<tf|>t|<<*_>delta<*/> for some <*_>delta<*/> and can be 
J20 228 analytically continued to a neighborhood of <O_>formula<O/>.<p/>
J20 229 <p_>Next consider the components <O_>formula<O/>, which are 
J20 230 conformally a pair of cylinders of bounded geometry; we will assume 
J20 231 for convenience that <O_>formula<O/> does not depend on 
J20 232 (<*_>unch<*/>, <tf|>t) and that <tf|>B<sb_>1<sb/> and 
J20 233 <tf|>B<sb_>2<sb/> are the two connected components. Divide each 
J20 234 cylinder <tf|>B<sb_>i<sb/> into thirds so that <O_>formula<O/>, so 
J20 235 that <tf|>B<sb_>i<sb/><sp_>1<sp/> share a frontier with 
J20 236 <tf|>C<sb_>|t|<sb/>, <tf|>B<sb_>i<sb/><sp_>2<sp/> are the middle 
J20 237 thirds, and <tf|>B<sb_>i<sb/><sp_>3<sp/> share a frontier with 
J20 238 <O_>formula<O/>. Suppose that <tf|>B<sb_>i<sb/><sp_>2<sp/> is 
J20 239 parameterized by <O_>formula<O/>; using the anticonformal 
J20 240 equivalence of <tf|>B<sb_>1<sb/> with <tf|>B<sb_>2<sb/>, we may 
J20 241 suppose that {|z| = <*_>beta<*/>} parameterizes the boundary 
J20 242 between <tf|>B<sb_>1<sb/><sp_>2<sp/> and 
J20 243 <tf|>B<sb_>1<sb/><sp_>1<sp/> and also the boundary between 
J20 244 <tf|>B<sb_>2<sb/><sp_>2<sp/> and <tf|>B<sb_>2<sb/><sp_>3<sp/>. Then 
J20 245 we define <O_>formula<O/> to be a pair of twist diffeomorphisms 
J20 246 realizing the difference in arguments arg <tf|>t - arg 
J20 247 <tf|>t<sb_>0<sb/>, i.e. in the coordinated <O_>formula<O/> we 
J20 248 define<p/>
J20 249 <p_><O_>formula&caption<O/><p/>
J20 250 <p_>We will later define <*_>zeta<*/> on 
J20 251 <tf|>B<sb_>i<sb/><sp_>1<sp/> and <tf|>B<sb_>i<sb/><sp_>3<sp/> to 
J20 252 interpolate between the maps on <tf|>C<sb_>|t|<sb/>, 
J20 253 <tf|>B<sb_>i<sb/><sp_>2<sp/>, and <O_>formula<O/>.<p/>
J20 254 <p_>On the remaining subsurface <O_>formula<O/>, define 
J20 255 <*_>zeta<*/> to be a quasiconformal map <O_>formula<O/> depending 
J20 256 only upon <*_>unch<*/> and <*_>unch<*/><sb_>0<sb/> so that 
J20 257 <O_>formula<O/> is the identity and <O_>formula<O/> is analytic in 
J20 258 <*_>unch<*/>.<p/>
J20 259 <p_>We are left to construct <*_>zeta<*/> on the cylindrical 
J20 260 regions <O_>formula<O/>. Here we define <*_>zeta<*/> to interpolate 
J20 261 between the maps defined on <O_>formula<O/> so that (i) 
J20 262 <*_>zeta<*/> is analytic in (<*_>unch<*/>, |t|, arg <tf|>t), with a 
J20 263 real analytic continuation possible to a neighborhood of 
J20 264 (<*_>unch<*/><sb_>0<sb/>, <tf|>t = 0), (ii) 
J20 265 <*_>zeta<*/>(<*_>unch<*/><sb_>0<sb/>, |t<sb_>0<sb/>|, arg 
J20 266 t<sb_>0<sb/>; <*_>unch<*/><sb_>0<sb/>, |t<sb_>0<sb/>|, arg 
J20 267 t<sb_>0<sb/>)(z) = z and (iii) <O_>formula<O/>. Such a family of 
J20 268 maps exists because we have defined <*_>zeta<*/> on <O_>formula<O/> 
J20 269 to have those properties and to also have derivatives which are 
J20 270 uniformly bounded on <O_>formula<O/>. This concludes our 
J20 271 construction of the map <O_>formula<O/>.<p/>
J20 272 <p_>2. <tf_>Constructing the grafted metrics<tf/>. Our next goal is 
J20 273 the construction of the hyperbolic metric <O_>formula<O/> on 
J20 274 <O_>formula<O/> in such a way that we can analyze its dependence on 
J20 275 <*_>unch<*/>, |<tf|>t|, and arg <tf|>t. Our approach is to use the 
J20 276 method of Wolpert in [Wlpt]: we first construct a family of smooth 
J20 277 metrics <O_>formula<O/> on <O_>formula<O/> which are hyperbolic on 
J20 278 <tf|>C<sb_>|t|<sb/> and <O_>formula<O/> but which are generally not 
J20 279 hyperbolic on <O_>formula<O/>. We then consider the pullback metric 
J20 280 <O_>formula<O/> which will be hyperbolic on <O_>formula<O/> but 
J20 281 generally not hyperbolic in <O_>formula<O/>.
J20 282 
J21   1 <#FROWN:J21\><h_><p_>THE SELF-JOININGS OF RANK TWO MIXING 
J21   2 TRANSFORMATIONS<p/>
J21   3 <p_>DANIEL ULLMAN<p/>
J21   4 <p_>(Communicated by R. Daniel Mauldin)<p/><h/>
J21   5 <p_><tf|>ABSTRACT. The class of rank one mixing transformations has 
J21   6 been known for some time to have certain so-called 'exotic' 
J21   7 properties. Specifically, any rank one mixing <tf|>T has only the 
J21   8 two trivial factors, and nothing can commute with <tf|>T but powers 
J21   9 of <tf|>T itself. This much was known to Ornstein in 1969 [3]. In 
J21  10 1983 J. King showed that rank one mixing transformations possess an 
J21  11 even stronger property known as minimal self-joinings (MSJ). In 
J21  12 this note we investigate how these results can be extended to the 
J21  13 case of rank two mixing transformations. In this class, it is 
J21  14 possible for there to exist nontrivial factors and commuting 
J21  15 transformations: the square of a rank one mixing transformation and 
J21  16 certain two point extensions of a rank one mixing transformation 
J21  17 are rank two mixing [2]. What we prove is that, other than those 
J21  18 two kinds of rank two mixing transformations, this class also has 
J21  19 MSJ.<p/>
J21  20 <p_><tf|>Definitions. Assume throughout that <tf|>T is a 
J21  21 measure-preserving automorphism of a Lebesgue probability space 
J21  22 (<tf_>X, <tf|>B, <*_>mu<*/><tf/>). By a <tf|>tower for <tf|>T of 
J21  23 <tf_>height h<tf/> we mean a set <tf|>B <*_>unch<*/> <tf|>B 
J21  24 together with its first <tf|>h translates under <tf|>T, provided 
J21  25 that these translates are disjoint. <tf|>B is called the <tf|>base 
J21  26 of the tower <O_>formula<O/>, and, for <O_>formula<O/>, 
J21  27 <tf|>T<sp_>i<sp/>B is called a <tf|>level of the tower. (Notice 
J21  28 that according to this terminology, a tower of height <tf|>h has 
J21  29 <tf|>h +1 levels.)<p/>
J21  30 <p_>The well-known Rohklin Lemma asserts that, given any 
J21  31 measure-preserving transformation <tf|>T and any <*_>epsilon<*/>>0, 
J21  32 there is a tower <tf|>M for <tf|>T with <O_>formula<O/>.<p/>
J21  33 <p_>All partitions are presumed to consist of a finite number of 
J21  34 measurable sets. If <tf|>P<sb_>j<sb/> is a sequence of partitions 
J21  35 of <tf|>X, we say <tf|>P<sb_>j<sb/> generates the 
J21  36 <*_>sigma<*/>-algebra <tf|>B if <tf|>B is the smallest 
J21  37 <*_>sigma<*/>-algebra containing all the <tf|>P<sb_>j<sb/>.<p/>
J21  38 <p_>A measure-preserving transformation <tf|>T is called <tf_>rank 
J21  39 n or less<tf/> if there is an infinite sequence of sets of <tf|>n 
J21  40 disjoint towers <O_>formula<O/> such that the partitions 
J21  41 <tf|>P<sb_>j<sb/> of <tf|>X given by<p/>
J21  42 <p_><O_>formula<O/><p/>
J21  43 <p_>generate the full <*_>sigma<*/>-algebra <tf|>B. Given such a 
J21  44 sequence, the towers with subscript <tf|>j are called 
J21  45 <tf|>j-towers. Obviously, we call a transformation <tf_>rank n<tf/> 
J21  46 (exactly) if it is rank <tf|>n or less but not rank <tf|>n - 1 or 
J21  47 less.<p/>
J21  48 <p_>It turns out that the class of rank <tf|>n or less 
J21  49 transformations can be characterized as the family of automorphisms 
J21  50 isomorphic to a cutting and stacking transformation of the unit 
J21  51 interval with <tf|>n or fewer towers at each stage. (The <tf|>n =1 
J21  52 version of this fact was first prove<&|>sic! by Baxter [1]; the 
J21  53 case of general <tf|>n is not much harder.) I do not describe the 
J21  54 details of such a construction nor refer to cutting and stacking in 
J21  55 the sequel. Suffice it to say that this result allows us to assume 
J21  56 that the partitions <tf|>P<sb_>j<sb/> in (1) form a nested 
J21  57 sequence, each refining the previous.<p/>
J21  58 <p_>A <tf_>TxT<tf/>-invariant measure <*_>unch<*/> on the Cartesian 
J21  59 product space <tf|>XxX, which projects to <*_>mu<*/> in both 
J21  60 directions, is called a <tf|>self-joining of <tf|>T. Any <tf|>T has 
J21  61 certain obvious ergodic self-joinings; namely, product measure 
J21  62 <*_>mu<*/>x<*_>mu<*/> and the so-called <tf_>off-diagonal 
J21  63 measures<tf/> - measures defined on measurable rectangles by 
J21  64 <O_>formula<O/> for some integer <tf|>n. If these are the only 
J21  65 ergodic self<tf_>-<tf/>joinings, then <tf|>T is said to have 
J21  66 <tf_>minimal self-joinings<tf/> (MSJ). This definition is due to D. 
J21  67 Rudolph [4].<p/>
J21  68 <p_>The <tf|>commutant of <tf|>T is the group of measure-preserving 
J21  69 transformations that commute with <tf|>T modulo the (necessarily 
J21  70 normal) subgroup of integral powers of <tf|>T. A <tf|>factor 
J21  71 <*_>sigma<*/>-algebra is a <tf_>T<tf/>-invariant 
J21  72 sub-<*_>sigma<*/>-algebra of <tf|>B. <tf|>B itself and 
J21  73 {<tf_><*_>phi<*/>, X<tf/>} are factors of any <tf|>T and are called 
J21  74 trivial. It is not hard to see that MSJ implies that <tf|>T has 
J21  75 trivial commutant and factors. For if <tf|>S commutes with <tf|>T 
J21  76 and is not a power of <tf|>T, <O_>formula<O/> defines a new ergodic 
J21  77 self-joining, and if <tf|>F is a nontrivial <tf_>T<tf/>-invariant 
J21  78 (factor) <*_>sigma<*/>-algebra, then <O_>formula<O/> defines a 
J21  79 self-joining not all of whose ergodic components can be product 
J21  80 measure or off-diagonal measures.<p/>
J21  81 <p_>A map <tf|>T is <tf|>mixing (or satisfies the mixing property) 
J21  82 if, for all <tf|>A and <tf|>B <*_>unch<*/> <tf|>B, <O_>formula<O/> 
J21  83 as <tf|>n goes to infinity.<p/>
J21  84 <h_><p_>THE CLASSIFICATION THEOREM<p/><h/>
J21  85 <p_><tf|>Theorem. <tf_>If T is a rank two mixing transformation, 
J21  86 then either<tf/><p/>
J21  87 <p_>(1) <tf_>T is the square of a rank one mixing 
J21  88 transformation,<tf/><p/>
J21  89 <p_>(2) <tf_>T is a two point extension of a rank one mixing 
J21  90 transformation, or<tf/><p/>
J21  91 <p_>(3) <tf_>T has MSJ.<tf/><p/>
J21  92 <p_>The proof proceeds through a series of lemmas. Throughout, 
J21  93 <tf|>T acts on a space (<tf|>X, <tf|>B, <*_>mu<*/>). For each 
J21  94 natural number <tf|>j, <tf|>X is partitioned into two towers 
J21  95 <tf|>M<sb_>j<sb/>(1) and <tf|>M<sb_>j<sb/>(2), called 
J21  96 <tf_>j<tf/>-towers, and a set <O_>formula<O/>. <tf|>M<sb_>j<sb/> 
J21  97 and <tf|>M<sb_>j<sb/>(2) have bases <tf|>B<sb_>j<sb/>(1) and 
J21  98 <tf|>B<sb_>j<sb/>(2) and heights <tf|>h<sb_>j<sb/>(1) and 
J21  99 <tf|>h<sb_>j<sb/>(2), respectively. Levels of <tf|>j-towers are 
J21 100 naturally called <tf|>j-levels. The partitions <tf|>P<sb_>j<sb/> of 
J21 101 <tf|>X whose elements are <tf|>j-levels successively refine each 
J21 102 other and generate <tf|>B. We assume that the real numbers 
J21 103 <*_>mu<*/>(M<sb_>j<sb/>(1)) and <*_>mu<*/>(M<sb_>j<sb/>(2)), for 
J21 104 <tf|>j = 1, 2, 3,..., are bounded away from zero, by <*_>gamma<*/>, 
J21 105 say. (Otherwise, <tf|>T is rank one.) Finally, we assume that the 
J21 106 base of the <tf|>j-towers are a union of at least twenty 
J21 107 (<tf|>j+1)-levels; this can be arranged by passing to a subsequence 
J21 108 of towers <tf|>j<sb_>k<sb/>.<p/>
J21 109 <p_>We begin with a lemma that guarantees that almost all points in 
J21 110 <tf|>X lie in the middle 98% of their <tf|>j-tower for at least 3/4 
J21 111 of all <tf|>j. For 0<<*_>alpha<*/><1/2 and <tf|>i =1 or 2, let<p/>
J21 112 <p_><O_>formula<O/><p/>
J21 113 <p_>and set<p/>
J21 114 <p_><O_>formula<O/>.<p/>
J21 115 <p_>This is the set of points on one of the <tf|>j-towers that are 
J21 116 not too close to the top or bottom.<p/>
J21 117 <p_><tf_>Lemma 1.<tf/> <tf|>Let<p/>
J21 118 <p_><O_>formula<O/>.<p/>
J21 119 <p_><tf_>Then <*_>mu<*/>S<tf/>(1/100) =1.<p/>
J21 120 <p_><tf|>Proof. First notice that <tf|>x<*_>unch<*/><tf|>S(1/99) 
J21 121 implies that <O_>formula<O/> for all integers <tf|>n. Consequently, 
J21 122 <O_>formula<O/>, so<p/>
J21 123 <p_><O_>formula<O/>.<p/>
J21 124 <p_>To show that <*_>mu<*/>S(1/100) =1, it is enough to show that 
J21 125 <*_>mu<*/>s(1/99) >0, since then the left-hand side of (2) is an 
J21 126 invariant set of positive measure.<p/>
J21 127 <p_>The idea is that the sets <tf|>D<sb_>j<sb/>(1/99), for <tf|>j = 
J21 128 1, 2, 3,..., are close to being independent sets. We modify them 
J21 129 slightly (to produce independent sets) and then use the law of 
J21 130 large numbers.<p/>
J21 131 <p_>Find four natural numbers <tf|>a(1), <tf|>a(2), <tf|>b(1), and 
J21 132 <tf|>b(2) such that, if<p/>
J21 133 <p_><O_>formula<O/>,<p/>
J21 134 <p_>then<p/>
J21 135 <p_><O_>formula<O/>,<p/>
J21 136 <p_><O_>formula<O/>,<p/>
J21 137 <p_>and<p/>
J21 138 <p_><O_>formula<O/>.<p/>
J21 139 <p_>Condition (5) says simply that <tf|>E<sb_>j<sb/> must be a 
J21 140 union of <tf|>j-levels the first of which is a subset of the base 
J21 141 of a (<tf|>j - 1)-tower and the last of which is a subset of the 
J21 142 top level of a (<tf|>j - 1)-tower. That <tf|>a(1), <tf|>a(2), 
J21 143 <tf|>b(1), and <tf|>b(2) can be chosen satisfying (3) and (4) 
J21 144 requires that the <tf|>j-towers be many times higher than the 
J21 145 (<tf|>j - 1)-towers, which is equivalent to the assumption made at 
J21 146 the end of the first paragraph after the statement of the 
J21 147 theorem.<p/>
J21 148 <p_>Let <*_>nu<*/> be the measure <*_>mu<*/> restricted to 
J21 149 <O_>formula<O/> and normalized; that is,<p/>
J21 150 <p_><O_>formula<O/><p/>
J21 151 <p_>for <O_>formula<O/>. Then the sets <tf|>E<sb_>j<sb/> are 
J21 152 independent with respect to <tf|>nu, since no data of the form 
J21 153 <O_>formula<O/> or <O_>formula<O/> for <tf_>k>j<tf/> give any 
J21 154 information about which <tf|>j-level the point <tf|>x is on.<p/>
J21 155 <p_>Hence the strong law of large numbers tells us that, for 
J21 156 <*_>nu<*/>-almost every <tf|>x,<p/>
J21 157 <p_><O_>formula<O/>.<p/>
J21 158 <p_>But <O_>formula<O/> and so <*_>nu<*/>S(1/99) =1. This implies 
J21 159 that <*_>nu<*/>S(1/99) >0 and so <*_>nu<*/>S(1/100) =1 as 
J21 160 required.<*_>square<*/><p/>
J21 161 <p_>Hereafter, we assume that the property that Lemma 1 ascribes to 
J21 162 almost all points in fact holds for all points. We may do this, 
J21 163 since the property is invariant.<p/>
J21 164 <p_>For any pair <O_>formula<O/>, we set <tf|>r<sb_>j<sb/> equal to 
J21 165 the greatest nonpositive integer <tf|>i such that either 
J21 166 <tf|>T<sp_>i<sp/>x or <tf|>T<sp_>i<sp/>y is in <O_>formula<O/>. 
J21 167 Similarly, let <tf|>s<sb_>j<sb/> be the smallest nonnegative 
J21 168 integer <tf|>i such that either <tf|>T<sp_>i<sp/>x or 
J21 169 <tf|>T<sp_>i<sp/>y is in the top level of a <tf|>j-tower, that is, 
J21 170 in the set <O_>formula<O/>. We say that the interval of integers 
J21 171 between <tf|>r<sb_>j<sb/> and <tf|>s<sb_>j<sb/> is a <tf|>frame 
J21 172 (the <tf|>j-frame) for (<tf|>x, <tf|>y). Note that, when <tf|>j is 
J21 173 sufficiently large, both <tf|>x and <tf|>y are on 
J21 174 <tf_>j<tf/>-towers, and for such <tf|>j, the <tf_>j<tf/>-frame is 
J21 175 shorter than both <tf|>h<sb_>j<sb/>(1) and <tf|>h<sb_>j<sb/>(2).<p/>
J21 176 <p_><tf_>Lemma 2.<tf/> <tf_>Suppose <*_>unch<*/> is a self-joining 
J21 177 of T, (x, y)<*_>unch<*/>XxX, and x and y are not on the same orbit 
J21 178 of T. Suppose also that there is a subsequence J<*_>unch<*/>N of 
J21 179 natural numbers j such that<tf/> (1) <tf_>x and y lie in the middle 
J21 180 98% of the same j-tower, and<tf/> (2) <tf_>for all sets A and B in 
J21 181 X that are unions of levels of some tower,<p/>
J21 182 <p_><O_>formula<O/><p/>
J21 183 <p_>as j goes to infinity along the subsequence J. Then 
J21 184 <O_>formula<O/>, product measure.<p/>
J21 185 <p_>Comment.<tf/> Condition (2) of the lemma is certainly satisfied 
J21 186 if (<tf|>x, <tf|>y) is <tf|>generic for <O_>unch<O/>, which means 
J21 187 that for any sets <tf|>A and <tf|>B made out of levels of some 
J21 188 tower,<p/>
J21 189 <p_><O_>formula<O/>.<p/>
J21 190 <p_><tf|>Proof. For <tf|>j<*_>unch<*/>J, let <tf|>F<sb_>j<sb/> be 
J21 191 the phase shift between the <tf_>j<tf/>-block in which <tf|>x sits 
J21 192 and the <tf_>j<tf/>-block in which <tf|>y sits. By this I mean that 
J21 193 if <tf|>n(x) and <tf|>n(y) are the smallest nonnegative integers 
J21 194 such that <O_>formula<O/> and <O_>formula<O/>, then 
J21 195 <O_>formula<O/>. Since <tf|>x and <tf|>y are assumed to be on 
J21 196 different orbits of <tf|>T, <O_>formula<O/>, as <tf|>j goes to 
J21 197 infinity along <tf|>J.<p/>
J21 198 <p_>Let <tf|>A and <tf|>B be subsets of <tf|>X made up of 
J21 199 <tf|>j<sb_>0<sb/>-levels. Fix <*_>epsilon<*/> >0. Because <tf|>T is 
J21 200 mixing, there is an integer <tf|>N so that<p/>
J21 201 <p_><O_>formula<O/>.<p/>
J21 202 <p_>Pick <tf|>j<*_>unch<*/>J so large that<p/>
J21 203 <p_><O_>formulae<O/><p/>
J21 204 <p_>and<p/>
J21 205 <p_><O_>formula<O/>.<p/>
J21 206 <p_>By switching the roles of <tf|>x and <tf|>y if necessary, we 
J21 207 may assume that <O_>formula<O/>, so that Figure 1 is qualitatively 
J21 208 correct.<p/>
J21 209 <p_><O_>figure&caption<O/><p/>
J21 210 <p_>We now calculate:<p/>
J21 211 <p_><O_>formula<O/>.<p/>
J21 212 <p_>The first equality here comes from (9) and the second holds 
J21 213 because <O_>formula<O/> if and only if <O_>formula<O/> and 
J21 214 <O_>formula<O/>, when <O_>formula<O/>. If <O_>formula<O/>, let<p/>
J21 215 <p_><O_>formula<O/>,<p/>
J21 216 <p_>the set of points on the same <tf_>j<tf/>-tower as <tf|>x, at a 
J21 217 height between 0 and <tf|>s<sb_>j<sb/>-r<sb_>j<sb/>. Now (7) 
J21 218 implies that <O_>formula<O/> is made entirely of complete 
J21 219 <tf|>j-levels, hence expression (10) above implies<p/>
J21 220 <p_><O_>formula<O/>.<p/>
J21 221 <p_>Since <tf|>C is at least one <}_><-|>hundreth<+|>hundredth<}/> 
J21 222 of <tf|>M<sb_>j<sb/>(i) (because of condition (1) of the lemma) we 
J21 223 see that <tf|><*_>mu<*/>C ><*_>gamma<*/>/100. (Remember that 
J21 224 <O_>formula<O/>.) Thus,<p/>
J21 225 <p_><O_>formula<O/>,<p/>
J21 226 <p_>which, owing to (6) and (8), is <O_>formula<O/>. The outcome of 
J21 227 this calculation is that<p/>
J21 228 <p_><O_>formula<O/>,<p/>
J21 229 <p_>or<p/>
J21 230 <p_><O_>formula<O/>,<p/>
J21 231 <p_>where <tf|>L is a constant independent of <tf|>A and <tf|>B. 
J21 232 Since this inequality holds for all <tf|>A and <tf|>B made up of 
J21 233 <tf|>j<sb_>0<sb/>-levels, and since <tf|>j<sb_>0<sb/> is 
J21 234 arbitrary,<p/>
J21 235 <p_><O_>formula<O/>.<p/>
J21 236 <p_>Finally, since <*_>unch<*/> is <tf|>TxT-invariant (and 
J21 237 normalized), we conclude that <O_>formula<O/> and the lemma is 
J21 238 proved.<*_>square<*/><p/>
J21 239 <p_><tf_>Lemma 3.<tf/> <tf_>Suppose <*_>unch<*/> is an ergodic 
J21 240 self-joining of T that is not product or off-diagonal measure. Then 
J21 241 for all <*_>epsilon<*/> > 0, there is a natural number N so that j 
J21 242 < N implies<p/>
J21 243 <p_><O_>formula<O/>.<p/>
J21 244 <p_>Proof.<tf/> Suppose that there are an <*_>epsilon<*/> > 0 and a 
J21 245 sequence of sets <O_>formula<O/> with <O_>formula<O/>, for 
J21 246 infinitely many <tf|>j. Then <O_>formula<O/>, so lim 
J21 247 inf<tf_><sb_>j<sb/>A<sb_>j<sb/><tf/> has a generic point (<tf|>x, 
J21 248 <tf|>y) for <*_>unch<*/>. If <tf|>x and <tf|>y were on the same 
J21 249 orbit, then <*_>unch<*/> would be an off-diagonal measure. If 
J21 250 <tf|>x and <tf|>y were not on the same orbit, then we could infer 
J21 251 from <O_>formula<O/> that condition (1) of lemma (2) is satisfied. 
J21 252 The genericity of (<tf|>x, <tf|>y) gives us condition (2) of that 
J21 253 lemma, which would imply that <*_>unch<*/> is product measure. The 
J21 254 lemma is proved.<*_>square<*/><p/>
J21 255 <p_><tf_>Lemma 4.<tf/> <tf_>Suppose that <*_>unch<*/> is an ergodic 
J21 256 joining of T that is not product measure. Assume that both (x, 
J21 257 y<sb_>1<sb/>) and (x, y<sb_>2<sb/>) are generic for <*_>unch<*/> 
J21 258 and that x and y<sb_>i<sb/> are on opposite j-towers for all 
J21 259 sufficiently large j, for i = 1 and 2. Then y<sb_>1<sb/> = 
J21 260 y<sb_>2<sb/>.<p/>
J21 261 <p_>Proof. y<tf/><sb_>1<sb/> and <tf|>y<sb_>2<sb/> are on the same 
J21 262 <tf_>j<tf/>-tower for all sufficiently large <tf|>j. Let 
J21 263 <tf|>r<sb_>j<sb/> and <tf|>s<sb_>j<sb/> be the beginning and the 
J21 264 end of the <tf_>j<tf/>-frame for (<tf|>y<sb_>1<sb/>, 
J21 265 <tf|>y<sb_>2<sb/>).<p/>
J21 266 <p_>Skip those <tf|>j for which either <tf|>y<sb_>1<sb/> or 
J21 267 <tf|>y<sb_>2<sb/> is not in <tf|>D<sp_>j<sp/>(1/100). Lemma 1 
J21 268 assures us that we are left with infinitely many <tf|>j. Along the 
J21 269 subsequence that remains, we have <O_>formula<O/>.<p/>
J21 270 <p_><O_>figure&caption<O/><p/>
J21 271 <p_>There is a natural topology on <tf|>X associated with the 
J21 272 towers <tf|>M<sb_>j<sb/>(i), and that is the one generated by 
J21 273 levels of towers. That is, a set is open (and closed) if it is a 
J21 274 countable union of elements of the partitions <tf|>P<sb_>j<sb/>.
J21 275 
J22   1 <#FROWN:J22\>Women between the ages of fifteen and fifty-nine now 
J22   2 normally have a job or are looking for one. In Denmark, 75.9 
J22   3 percent of adult women were employed in 1987. Spain had the lowest 
J22   4 participation rate in the EC with 37.5 percent of adult women at 
J22   5 work (Jackson 1990: 5). Women most commonly work in the service 
J22   6 sector. Indeed, 76.4 percent of them find their jobs in that sector 
J22   7 (CEC 1989p: 124). Women are also most likely to work in feminized 
J22   8 work places. They are bank tellers, nurses, teachers, and cleaners 
J22   9 in hotels. They are unlikely to be bank managers, executives in 
J22  10 private business, well-paid technicians, or hotel managers. Women 
J22  11 who work in industry tend to be concentrated in a few sectors which 
J22  12 are less well paid and more labor intensive, such as the clothing 
J22  13 and textile industry. The situation in Germany illustrates the fact 
J22  14 of segregation. Ninety percent of working women find their jobs in 
J22  15 only twelve occupational categories (CEC 1989k: 87). Women also 
J22  16 fill a disproportionate number of part<?_>-<?/>time jobs; for 
J22  17 example, they provide 90 percent of the part-time work force in 
J22  18 Germany (CEC 1989v: 72). According to the latest report, 28.6 
J22  19 percent of women's employment is part-time (CEC 1989p: 140). 
J22  20 Working women in the EC still have not achieved equality in pay or 
J22  21 opportunity despite laws requiring equality. Women's pay is 
J22  22 probably 31 percent less than men's (Jackson 1990: 50). However, 
J22  23 pay scales differ greatly among the member states. What women want 
J22  24 and what society expects for women also varies among the member 
J22  25 states. For example, a French woman employed in a bank has a much 
J22  26 greater chance of reaching a managerial position than does her 
J22  27 British counterpart. Also the French woman is much more likely to 
J22  28 find a place in a good public nursery for her child than her 
J22  29 British counterpart, and both the British and the French woman 
J22  30 would expect more social acceptance for their careers than would a 
J22  31 female bank employee in Portugal.<p/>
J22  32 <h_><p_>NATIONAL POLICIES FOR WOMEN IN THE WORK FORCE<p/><h/>
J22  33 <p_>The governments of all of the member states of the EC have laws 
J22  34 to protect and assist working women. In addition, the governments 
J22  35 have created high-level agencies or even ministries for women's 
J22  36 issues. The old paternalistic laws, such as those banning women 
J22  37 from night work, have gradually given way to more modern laws on 
J22  38 equal treatment. Discrimination is illegal in all countries, but 
J22  39 the definition of discrimination varies considerably, as does the 
J22  40 quality of enforcement (Landau 1985). A 1983 French law requires 
J22  41 employers to make an annual report about their personnel policies 
J22  42 for women. The law provides sanctions for transgressions as well as 
J22  43 protections for an employee making charges against an employer 
J22  44 (France 1984: 487). In general, most governments have been more 
J22  45 effective in banning overt discrimination than in devising policies 
J22  46 for affirmative action.<p/>
J22  47 <p_>Working mothers have more assistance from the law in EC 
J22  48 countries than they have in the United States. Every country has a 
J22  49 law which provides for maternity leave. Italian women are entitled 
J22  50 to twenty weeks of paid leave but British women to only six. In all 
J22  51 countries, employers may not fire a regular employee because of 
J22  52 pregnancy or refuse to allow a woman to return to work following 
J22  53 maternity leave. Parental leave is also beginning to appear in some 
J22  54 countries. Most countries have inadequate public provisions for 
J22  55 child care, but the French government provides a good system of 
J22  56 public child care centers. That system may be a factor in 
J22  57 explaining why French women are more likely to remain in the work 
J22  58 force during childbearing years than are women in most other EC 
J22  59 countries (OECD 1985: 34).<p/>
J22  60 <p_>New public policies for women are being devised in response to 
J22  61 unemployment and to changes in the work place. Schools are 
J22  62 encouraging girls to consider a variety of careers. Training 
J22  63 programs are being reformed so that women may participate more 
J22  64 easily. A great deal of research is being conducted in order to 
J22  65 ascertain what is needed in order to better use women in the work 
J22  66 force. The efforts are scattered and sporadic, but governments are 
J22  67 increasingly accepting responsibility to assure that women have the 
J22  68 preparation needed for modern job opportunities.<p/>
J22  69 <h_><p_>THE DEVELOPMENT OF EC POLICIES FOR WOMEN<p/><h/>
J22  70 <p_>The right of the EC to formulate a policy for working women 
J22  71 derives from the Treaty of Rome. Article 119 establishes the 
J22  72 principle of equal pay for men and women. The preamble to the 
J22  73 treaty as well as Articles 117 to 122 give the EC a general grant 
J22  74 of power for social policy.<p/>
J22  75 <p_>The 1970s was the decade when the EC began to address women's 
J22  76 issues. It was a period when both the Council of Ministers and the 
J22  77 Commission had leaders who were sympathetic to the social concerns 
J22  78 of the day. Equality, worker's rights, and social justice were 
J22  79 values which found their way onto the political agendas of the 
J22  80 countries of Western Europe and onto the agenda of the EC. The 
J22  81 Social Action Program of 1974 was the result. The program promised 
J22  82 action <quote_>"to achieve equality between men and women as 
J22  83 regards access to employment and vocational training and 
J22  84 advancement and as regards working conditions including 
J22  85 pay"<quote/> (CEC 1974b). The statement constituted the first 
J22  86 elaboration of the meaning of Article 119 and laid the foundation 
J22  87 for the EC to act over a broad range of job rights for women.<p/>
J22  88 <p_>The EC quickly started to fulfill its commitment by enacting 
J22  89 three directives on equal rights at work. They were the Equal Pay 
J22  90 Directive of 1975, the Equal Treatment Directive of 1976, and the 
J22  91 Social Security Directive of 1978. The meaning of each directive 
J22  92 has been broadened by subsequent rulings of the European Court, but 
J22  93 most member states have been remiss in enforcing them. Today the 
J22  94 definition of equal pay in the EC means equal pay for work of equal 
J22  95 value. Equal treatment now makes illegal all forms of sex 
J22  96 discrimination at work including hiring, training, and promotion. 
J22  97 Most importantly, it protects women against both direct and 
J22  98 indirect discrimination. The directive on social security applies 
J22  99 to both national social security systems and special occupational 
J22 100 and supplementary schemes. It does not require uniformity among the 
J22 101 national programs, and it allows those programs to contain special 
J22 102 benefits for women. It protects women against provisions which are 
J22 103 discriminatory even when the discrimination is indirect (CEC 
J22 104 1983).<p/>
J22 105 <p_>The organization of the Commission was changed in the 1970s in 
J22 106 response to the new interest in women's issues. The units added 
J22 107 continue to be responsible for EC policies for women. The equal 
J22 108 opportunities unit in the Directorate General for Employment, 
J22 109 Social Affairs, and Education (DG V) carries on the bulk of the 
J22 110 work. A handful of civil servants are responsible for the 
J22 111 information gathering, analysis, and consulting necessary for 
J22 112 preparing and overseeing policies for working women. DG V is under 
J22 113 the direction of the commissioner who holds the portfolio for 
J22 114 social affairs. (In 1991, the commissioner responsible for social 
J22 115 affairs was Vasso Papandreou. She was the first woman in that 
J22 116 position and one of the only two women ever to be a commissioner.) 
J22 117 A women's information service operates in the Directorate General 
J22 118 for Information, Communication and Culture (DG X). It is 
J22 119 responsible for disseminating information about women and publishes 
J22 120 a series called <tf_>Women of Europe<tf/>. The European Parliament 
J22 121 and the Economic and Social Committee have special committees to 
J22 122 deal with women's issues. Both institutions have advocated a strong 
J22 123 EC policy for women. The Court of Justice has also played a role in 
J22 124 developing the EC policy for women through a liberal interpretation 
J22 125 of EC law.<p/>
J22 126 <p_>The scope and ambition of the EC policy for working women 
J22 127 developed in the 1970s is quite remarkable. The policy contains 
J22 128 both legal measures to ban discrimination and nonlegal measures to 
J22 129 facilitate the social and psychological changes necessary for true 
J22 130 equality. Traditional family values intermingle with newer feminist 
J22 131 concerns in a broad range of initiatives. For example, the 
J22 132 Commission sponsored seminars to encourage bankers to be less 
J22 133 sexist in their personnel policies. The Commission studied 
J22 134 vocational education in order to ascertain why women remain in 
J22 135 feminized work places. The Commission delved into the question of 
J22 136 the relationship between family responsibilities and success in the 
J22 137 work place. The EC used the Social Fund to provide training for 
J22 138 women to enter jobs formerly inaccessible to them. During the 
J22 139 formative period of the 1970s, the EC chose an activist approach 
J22 140 which surpassed merely formulating measures essential to harmonize 
J22 141 national policies which might have inhibited competition in the 
J22 142 internal market.<p/>
J22 143 <p_>In 1981, the disparate EC activities for women were brought 
J22 144 together in the first action program to promote equal opportunities 
J22 145 for women. The opening sentence of the document states, 
J22 146 <quote_>"The Community's longstanding commitment to the improvement 
J22 147 of the situation of women has established it as a pioneer and 
J22 148 innovator in this field"<quote/> (CEC 1981). The rest of the 
J22 149 document does not match the bold opening sentence. Discussion in 
J22 150 the document is brief and focuses primarily on the problems working 
J22 151 women were facing because of the recession. Member governments were 
J22 152 given the primary responsibility of alleviating the problems.<p/>
J22 153 <p_>The annex of the document contains sixteen proposals for legal 
J22 154 and nonlegal measures to promote equality. In almost every case, 
J22 155 the responsibility for action is divided between the EC and the 
J22 156 member state. Frequently, the role of the EC is only to study the 
J22 157 situation and then consider action; however, six of the proposals 
J22 158 fit into the activist mold of the 1970s. They are:<p/>
J22 159 <p_>1. An EC law on equal treatment for women in occupational, 
J22 160 social security schemes.<p/>
J22 161 <p_>2. An EC law on equal treatment for self-employed women and 
J22 162 women in agriculture.<p/>
J22 163 <p_>3. An EC law on parental leave and leave for family reasons, 
J22 164 and on the building of public services and facilities to assist 
J22 165 working parents.<p/>
J22 166 <p_>4. Possible legislation on pregnancy and motherhood if the 
J22 167 Commission considers it necessary.<p/>
J22 168 <p_>5. Future legislation on steps needed for action to assist 
J22 169 women in achieving equal opportunity.<p/>
J22 170 <p_>6. Extension of EC action on vocational education so women can 
J22 171 participate in new technological sectors through the Social Fund 
J22 172 and the center for vocational training in Berlin.<p/>
J22 173 <p_>The dates for the action program, 1982-1985, coincided with the 
J22 174 period when the integration appeared stalled and economic problems 
J22 175 took precedence. Only the first two proposals listed above became 
J22 176 law according to the schedule given in the program (CEC 1984b); 
J22 177 however, the other proposals remained on the agenda of the 
J22 178 Commission.<p/>
J22 179 <p_>A second action program appeared in 1985, when Europessimism 
J22 180 was strongest. It was also the year when the EC was deeply involved 
J22 181 with two historic documents: the White Paper on Completing the 
J22 182 Internal Market and the Single European Act. Seen against that 
J22 183 time, the second action program is quite remarkable. Although it 
J22 184 contains no major new programs, it is a thoughtful and interesting 
J22 185 document. It shows the influence of research conducted in the 
J22 186 Commission over the past decade. Emphasis is given to the 
J22 187 psychological dimension of discrimination. The writers of the 
J22 188 document doubted the efficacy of laws to end discrimination. Ways 
J22 189 to change attitudes, and not just attitudes in the work place, were 
J22 190 needed. The basis of discrimination is in society and in the 
J22 191 family. The sharing of family responsibility is listed as the sine 
J22 192 qua non for true equality (CEC 1986b: 5). Many of the proposals in 
J22 193 the document reflect this orientation, such as the proposal for a 
J22 194 campaign to increase public awareness. Other proposals were a 
J22 195 reiteration of some in the first action program, which still await 
J22 196 acceptance. Four proposals were to become focal points of 
J22 197 controversy. They are:<p/>
J22 198 <p_>1. A legal instrument to facilitate action by women against 
J22 199 employers who discriminate. The instrument was to be based on the 
J22 200 principle of the reversal of the burden of proof.<p/>
J22 201 <p_>2. A code of practice on positive actions which should guide 
J22 202 employers and member states in order to facilitate providing equal 
J22 203 opportunity.<p/>
J22 204 <p_>3. A measure to protect working women during pregnancy and 
J22 205 motherhood.<p/>
J22 206 <p_>4. A directive on parental leave and leave for family 
J22 207 reasons.<p/>
J22 208 
J23   1 <#FROWN:J23\>If any of these changes are substantial, they will 
J23   2 affect the relative values of the different ways of 
J23   3 institutionalizing property rights. If the result of these changes 
J23   4 is that a new property rights scheme can produce greater aggregate 
J23   5 benefits than the existing system does, the contracting parties 
J23   6 will consider the following cost-benefit calculation: Do these 
J23   7 additional benefits exceed the costs of changing the present 
J23   8 contract? If the answer is yes, the actors will enter into a new 
J23   9 contract institutionalizing new rights (North, 1990: 67). Here we 
J23  10 see the third important element of the transaction-costs theory: 
J23  11 Institutional change will occur only if the resulting outcome is 
J23  12 Pareto superior to the previous institutional arrangement.<p/>
J23  13 <p_>Note that at this point we are discussing only the motivations 
J23  14 of the actors in the individual exchange. The fact that low-cost 
J23  15 rules may be selected by marketlike competition has not yet entered 
J23  16 the analysis. North's reliance on transaction-costs minimization 
J23  17 reflects the approach of the new institutional economics. In 
J23  18 analyzing the contractual arrangements of social organization, the 
J23  19 theory proceeds from the <quote_>"<tf_>working rule<tf/> that 
J23  20 low-cost organizations tend to supersede high-cost ones"<quote/> 
J23  21 (Eggertsson, 1990: 213-14, emphasis in original). When exceptions 
J23  22 to this rule are observed, three factors should be considered.<p/>
J23  23 <p_>First, there may be hidden benefits that are not readily 
J23  24 apparent. This reduces to a claim that the apparent exception to 
J23  25 the working rule is in fact an instance of the more general rule of 
J23  26 maximizing benefits. Here a higher-cost institutional rule in fact 
J23  27 produces a more beneficial exchange than does a less costly one. 
J23  28 Second, the efforts of social actors to create low-cost 
J23  29 institutional forms may be constrained by the interests of the 
J23  30 state. This latter issue is closely related to issues of 
J23  31 intentional design and reform, but it is proposed as an explanation 
J23  32 of why the voluntary arrangements being analyzed here can be 
J23  33 restricted by some type of formal external constraint. The point 
J23  34 relevant to this analysis is the implicit claim that if it were not 
J23  35 for external constraints, rational social actors would voluntarily 
J23  36 create the least costly forms of organization. This is consistent 
J23  37 with the third exception to the minimization-of-costs rule: 
J23  38 uncertainty. According to this account, actors may not create the 
J23  39 least costly rules because they lack either the capacity or the 
J23  40 knowledge to establish them.<p/>
J23  41 <p_>This minimization-cost standard is a problematic one. As the 
J23  42 arguments in Chapter 2 demonstrate, the claim that the minimization 
J23  43 of aggregate transaction costs is the motivation for institutional 
J23  44 development and change is inconsistent with individual rationality. 
J23  45 The assumption of narrow rationality on which the transaction-costs 
J23  46 approach is based implies that strategic actors will prefer more 
J23  47 costly rules if these rules give them greater individual benefits 
J23  48 than those from less costly ones. Remember that in this case the 
J23  49 explanation is not inability or incapacity but, rather, 
J23  50 self-interest. The transaction-costs approach does not predict 
J23  51 costly rules produced by fully informed, self-interested behavior. 
J23  52 Here we return to some of the same explanatory problems we 
J23  53 encountered with the theory of social conventions. The standard 
J23  54 transaction-costs approach fails to explain either the 
J23  55 distributional features of informal social conventions or the 
J23  56 redistributive changes in these rules.<p/>
J23  57 <p_>I should clarify this criticism in the context of current 
J23  58 attempts by Libecap and North, among others, to incorporate 
J23  59 distributional considerations. The standard approach has 
J23  60 traditionally avoided the question of power asymmetries and instead 
J23  61 has focused on the problem of transaction-costs minimization among 
J23  62 symmetrically endowed actors (North, 1981). North (1990) 
J23  63 acknowledges the importance of asymmetries for explaining 
J23  64 distributional differences; Libecap (1989) explicitly addresses the 
J23  65 complications introduced by distributional concerns in the effort 
J23  66 to contract for socially efficient property rights. These attempts 
J23  67 are in the spirit of the sorts of arguments I am making. But what 
J23  68 these authors seem to have in mind are efforts at intentionally 
J23  69 creating formal property rights. The importance of power 
J23  70 asymmetries for explaining the emergence of informal rules 
J23  71 governing property rights and economic organization has not been 
J23  72 pursued; and this is the basis of my criticism. This failure can be 
J23  73 explained by the reliance on competition as the selection mechanism 
J23  74 for such decentralized emergence, competition thought to undercut 
J23  75 the importance of power in individual exchange.<p/>
J23  76 <p_>In regard to institutional change, the dubious relationship 
J23  77 between a criterion of Pareto-superior change and strategic 
J23  78 rationality has already been well exposed. Not only does the 
J23  79 transaction-costs approach predict a Pareto-improving institutional 
J23  80 change that might not be accepted by strategic actors (the 
J23  81 path-dependent argument), but it also fails to explain either 
J23  82 redistributive or Pareto-inferior change. This follows by 
J23  83 implication from the combination of a reliance on voluntary 
J23  84 agreement and a limitation to Pareto-superior change. If a change 
J23  85 entails a loss to some individuals as a cost of establishing new 
J23  86 property rights that produce greater aggregate benefits, narrowly 
J23  87 rational actors will not voluntarily agree to the change.<p/>
J23  88 <p_>The transaction-costs theory of exchange and competition has a 
J23  89 way to resolve this weakness: a reconciliation of transaction-costs 
J23  90 minimization (and the consequent maximization of aggregate 
J23  91 benefits) with the pursuit of individual gain by means of 
J23  92 compensation. We can see how the idea of compensation can be used 
J23  93 in this way by examining Posner's (1980) interpretation of property 
J23  94 rights and economic organization in primitive societies. He argues 
J23  95 for an analogy between primitive economic institutions and 
J23  96 insurance. That is, he explains the rules structuring economic 
J23  97 activity in these primitive societies as a means of distributing 
J23  98 risk in the community. The property rights scheme provides rules 
J23  99 governing the enjoyment of community resources. Distributional 
J23 100 advantages are granted to certain members of the community, and 
J23 101 they are explained as the product of an exchange with the less 
J23 102 advantaged, an exchange for the protection in the future if the 
J23 103 community is struck by hard times. Here Posner reconciles 
J23 104 distributional differences with the long-term efficiency of the 
J23 105 property rights scheme. This insurance analogy can be seen as a 
J23 106 form of compensation: The less advantaged are compensated for the 
J23 107 distributional bias in the economic rights scheme by the promise of 
J23 108 future insurance protection.<p/>
J23 109 <p_>It is easy to reduce this insurance explanation to a mere 
J23 110 functionalist assertion without some fairly rigorous empirical 
J23 111 evidence. To see this, consider the general logic of compensation. 
J23 112 Say that two actors currently share the benefits in the following 
J23 113 manner: $60,000 to <tf|>A and $40,000 to <tf|>B. Now assume that 
J23 114 circumstances change so that an alternative set of property rights 
J23 115 allows the actors to produce an additional $25,000 per year but 
J23 116 that this alternative scheme produces a new annual distribution: 
J23 117 $50,000 to <tf|>A and $75,000 to <tf|>B. The logic of the new 
J23 118 institutional economics predicts that as long as the aforementioned 
J23 119 limitations on change are not applicable, the actors will adopt the 
J23 120 new contract. But as long as the mechanism of change is one of 
J23 121 voluntary agreement, my argument is that the new rules will not be 
J23 122 adopted because they diminish <tf|>A's benefits. If, however, 
J23 123 <tf|>B agreed to compensate <tf|>A by giving her a side payment of 
J23 124 at least $10,000 per year, then according to some accounts of 
J23 125 individual rationality, it would be rational for <tf|>A to agree to 
J23 126 the changes.<p/>
J23 127 <p_>Here the logic is plausible, and in the case of the intentional 
J23 128 design of formal institutions, compensation is a possibility that 
J23 129 must be considered. But the utility of this concept for explaining 
J23 130 the spontaneous emergence of informal rights is highly 
J23 131 questionable. The empirical requirements necessary to satisfy the 
J23 132 theory are substantial, and there must be evidence of compensatory 
J23 133 payments between the individuals in the institutional change, 
J23 134 payments that are temporally related to these changes and are 
J23 135 anticipated before the change. In the case of spontaneous 
J23 136 emergence, an additional element must be shown: Either the form of 
J23 137 compensation must be a common practice in similar exchanges in a 
J23 138 society, or the compensation must be an element of the creation of 
J23 139 those contractual rules that are subsequently selected out by the 
J23 140 competitive process. Posner's insurance explanation exemplifies the 
J23 141 weakness of most accounts of compensatory-like mechanisms: The 
J23 142 evidence necessary to justify a compensation explanation is 
J23 143 lacking.<p/>
J23 144 <p_><tf|>Competition. But the transaction-costs approach invokes 
J23 145 more than the actors' intentions in an individual exchange to 
J23 146 explain the emergence of social institutions. Individual exchanges 
J23 147 merely produce a variety of possible institutional forms, but the 
J23 148 key selection mechanism is competition. Many explanations of 
J23 149 institutional development and change situate the decision to 
J23 150 establish social institutions in the context of a market or a 
J23 151 marketlike environment. The main influence of the market on the 
J23 152 choice of institutional form is in the competitive pressure it 
J23 153 supposedly exerts on the institutionalization process. There are 
J23 154 two related but conceptually distinct ways that competitive 
J23 155 pressure can enter into this analysis.<p/>
J23 156 <p_>First, as a dynamic effect, competition can be a selection 
J23 157 mechanism that determines the survival of various institutional 
J23 158 forms on grounds of survival and reproductive fitness. This is the 
J23 159 logic behind Alchian's (1950) model of evolutionary competition, 
J23 160 used in most economic analyses of institutional emergence. The 
J23 161 existence of a large number of firms seeking profits from a common 
J23 162 pool of consumers produces pressure for survival. Over time those 
J23 163 firms that employ less efficient techniques lose profits to those 
J23 164 that are more efficient. Losing profits eventually translates into 
J23 165 extinction. As the competitive process continues, only those firms 
J23 166 that use efficient techniques survive. Second, as a static effect, 
J23 167 competition can undermine the actors' bargaining power in a 
J23 168 particular interaction:<p/>
J23 169 <p_><quote_>The main curb on a person's bargaining power, and the 
J23 170 main pacifying influence on trade in general, is competition. A 
J23 171 person has competition if the party he wants to trade with has 
J23 172 alternative opportunities of exchange. The people who offer these 
J23 173 alternative opportunities to his opposite party are his 
J23 174 competitors. Competition restricts a person's bargaining power by 
J23 175 making the other less dependent and therefore less keen on striking 
J23 176 a bargain with him. (Scitovsky, 1971: 14)<quote/><p/>
J23 177 <p_>This latter effect enters into a theory of development and 
J23 178 change only to the extent that it establishes the environment in 
J23 179 which rational actors seek to produce institutions.<p/>
J23 180 <p_>The existence of competition raises questions for theories of 
J23 181 institutional emergence and change. The dynamic effect forms the 
J23 182 basis of the theory of exchange and competition. The relevant 
J23 183 question here is whether the competitive pressure is sufficient to 
J23 184 select out less efficient institutional rules. The static effect 
J23 185 relates mainly to arguments such as the one in the next chapter, 
J23 186 that would invoke the asymmetries of power in a society in order to 
J23 187 explain institutional emergence. The relevant question there is 
J23 188 whether the existence of competition prevents social actors from 
J23 189 using asymmetries in power to develop institutions that produce 
J23 190 systematic distributional consequences. This static effect is also 
J23 191 related to the theory of exchange and competition in that it 
J23 192 justifies ignoring power asymmetries in its own analysis. It is 
J23 193 important to remember that competition is not an either/or 
J23 194 phenomenon; there are degrees of competition and therefore degrees 
J23 195 of competitive effect. The best way to answer these questions is to 
J23 196 establish the empirical conditions under which competition affects 
J23 197 the emergence of social institutions. Because the issues are so 
J23 198 closely related, the analysis is best presented by addressing both 
J23 199 of these questions. I will clarify a few of the conclusions in my 
J23 200 later discussion of bargaining theory.<p/>
J23 201 <p_>What are the prerequisites for the existence of competition? 
J23 202 Lists of the necessary conditions for marketlike competition are 
J23 203 numerous. According to Scitovsky's analysis (1971) of competition, 
J23 204 the following conditions are necessary for the existence of 
J23 205 competition in social institutions: (1) a large number of 
J23 206 competitors in pursuit of a common pool of resources, (2) a set of 
J23 207 institutional alternatives differentiated only by their 
J23 208 distributional consequences, (3) full information about the 
J23 209 availability of alternatives, and (4) low transaction costs. If an 
J23 210 explanation of institutional change is to invoke competition as a 
J23 211 relevant factor, these conditions must be empirically satisfied.<p/>
J23 212 <p_>Discussions of competition in the market are numerous. What I 
J23 213 want to do is limit my analysis to those issues unique to the 
J23 214 question of competition in regard to social institutions, as this 
J23 215 will allow to me to emphasize the difficulties of satisfying these 
J23 216 conditions in the institutional case. Central to my argument is the 
J23 217 following distinction: <tf_>Institutions are not goods.<tf/>
J23 218 
J24   1 <#FROWN:J24\><h_><p_>Why Fewer Women Become Physicians: Explaining 
J24   2 the Premed Persistence Gap<p/>
J24   3 <p_>Robert Fiorentine and Stephen Cole<p/><h/>
J24   4 <p_>Previous research indicates that the answer to the question of 
J24   5 why fewer women become physicians lies in the 'premed persistence 
J24   6 gap.' Women are no less likely than men to enter undergraduate 
J24   7 premed programs, but they are less likely to complete the program 
J24   8 and apply to medical school. This article presents data from a 
J24   9 study designed to test four plausible explanations of the 
J24  10 persistence gap that are consistent with the structural barriers, 
J24  11 normative barriers, and cognitive differences theories of gender 
J24  12 inequality. The findings do not support the 'perception of 
J24  13 discrimination' hypothesis, the 'discouragement' hypothesis, the 
J24  14 'self-derogation' hypothesis, and the 'anticipated role conflict' 
J24  15 hypothesis. Rather, the evidence suggests another explanation - the 
J24  16 normative alternatives approach, This approach holds that 
J24  17 contemporary gender norms offer women fewer disincentives to 
J24  18 changing or lowering their high-status career goals when 
J24  19 encountering hardship, self-doubt, and the possibility of 
J24  20 failure.<p/>
J24  21 <h|>INTRODUCTION
J24  22 <p_>This article presents the latest results of a research program 
J24  23 designed to understand the contemporary causes of gender inequality 
J24  24 in the United States (Cole, 1986; Fiorentine, 1986, 1987, 1988a, 
J24  25 1988b). The specific area of research is medicine, one of the most 
J24  26 prestigious and lucrative occupations.<p/>
J24  27 <p_>As is true with other prestigious occupations, medicine is 
J24  28 characterized by extensive gender inequality. Men make up about 
J24  29 two-thirds of medical students and more than 80% of all practicing 
J24  30 physicians in the United States (Cole, 1986; U.S. Bureau of the 
J24  31 Census, 1987; Bickel, 1988). Men are overrepresented in the most 
J24  32 prestigious specialties, and they are more likely to hold positions 
J24  33 of authority in hospitals and clinics (Lorber, 1984).<p/>
J24  34 <p_>Three theoretical approaches have emerged in sociology and 
J24  35 social psychology to explain the underrepresentation of women in 
J24  36 high-status professional and executive positions. The 
J24  37 <tf_>structural barriers<tf/> approach holds that differences in 
J24  38 occupational achievement are a consequence of sex discrimination 
J24  39 that limits the opportunity of women. Because female gender may be 
J24  40 a 'discrepant status' that undermines trust and certainty so highly 
J24  41 desired by organizational players (Kanter, 1977) or because 
J24  42 prejudicial attitudes of employers force women into the less 
J24  43 desirable, secondary-sector jobs (cf. Bibb and Form, 1977; Bridges, 
J24  44 1982) or because capitalist production systematically exploits 
J24  45 female labor (Hartmann, 1976; Eisenstein, 1979), women may 
J24  46 encounter barriers to their mobility.<p/> 
J24  47 <p_>The <tf_>normative barriers<tf/> approach assumes that gender 
J24  48 socialization brings young women to view the pursuit of success in 
J24  49 a high-status career as a transgression of norms (Angrist and 
J24  50 Almquist, 1975; Douvan, 1976). Anticipating social rejection 
J24  51 (Horner, 1972), and believing they would be unable to fulfill the 
J24  52 role expectations of wife and mother if they were committed to a 
J24  53 demanding career (Angrist and Almquist, 1975; OLeary, 1974), young 
J24  54 women place limits on their ambitions, emphasize the primacy of 
J24  55 their domestic role, and select normatively appropriate, 'feminine' 
J24  56 occupations.<p/>
J24  57 <p_>The <tf_>cognitive differences<tf/> approach assumes that 
J24  58 because cultural stereotypes do not depict women in achievement 
J24  59 roles (cf. Weitzman <tf_>et al.<tf/>, 1972), or because parents and 
J24  60 others are less encouraging of female achievement (Hoffman, 1972), 
J24  61 women have lower confidence in their ability to perform 
J24  62 successfully in a variety of achievement situations (Lenney, 1977; 
J24  63 Maccoby and Jacklin, 1974). With lower levels of confidence, women 
J24  64 are more likely to attribute their successes to 'external' or 
J24  65 'unstable' causes such as luck or effort, and their failures to 
J24  66 'internal' or 'stable' causes such as low ability or task 
J24  67 difficulty (cf. Weiner <tf_>et al.<tf/>, 1971; Deaux, 1976; Frieze 
J24  68 <tf_>et al.<tf/>, 1982). As successes are discounted while failures 
J24  69 are affirmed, women are less likely to enter into, persist with, or 
J24  70 perform well in a wide array of achievement tasks.<p/>
J24  71 <p_>In earlier research we looked closely at the structural 
J24  72 barriers explanation of the underrepresentation of female 
J24  73 physicians. Inasmuch as women comprise only about one-third of the 
J24  74 students currently admitted to medical school, it could be that 
J24  75 medical schools discriminate against female applicants. Medical 
J24  76 schools may employ restrictive quotas (Walsh, 1977), they could 
J24  77 subject female applicants to more rigorous admissions standards, of 
J24  78 they may systematically, if unconsciously, devalue their 
J24  79 credentials. But in an analysis of application and admission rates 
J24  80 of males and females to all American medical schools (Cole, 1986), 
J24  81 it was determined that female applicants have about the same 
J24  82 qualifications as male applicants, and they are just as likely to 
J24  83 be admitted to medical schools. Women account for one-third of the 
J24  84 admittees simply because they constitute one<?_>-<?/>third of the 
J24  85 pool of applicants.<p/>
J24  86 <p_>The evidence suggests that medical schools do not overtly 
J24  87 discriminate against female applicants. But what happens once they 
J24  88 enter medical school? Are women admitted only to be systematically 
J24  89 'cooled out' after they begin their training? The evidence suggests 
J24  90 not. Women graduate from medical school at almost the same rate as 
J24  91 men (<tf_>Journal of the American Medical Association<tf/>, 1984, 
J24  92 1986).<p/>
J24  93 <p_>If women are as likely as men to get into and through medical 
J24  94 school, then efforts to understand why fewer women become 
J24  95 physicians need to focus on gender differences in ambition rather 
J24  96 than differences in opportunity. It needs to be determined why 
J24  97 fewer women <tf|>apply to medical school.<p/>
J24  98 <p_>Subsequent research has demonstrated that the answer lies in 
J24  99 the 'premed persistence gap': An equal ratio of women and men enter 
J24 100 undergraduate premed programs, but men are twice as likely to 
J24 101 complete the program and apply to medical school (Fiorentine, 1986, 
J24 102 1987). Further, it was determined that the persistence differential 
J24 103 cannot be explained entirely by differences in academic 
J24 104 performance, even though female premed students earn slightly lower 
J24 105 grades in the required premed courses. For while women with a 
J24 106 marginally competitive or a noncompetitive academic performance are 
J24 107 more likely to relinquish their medical career goals, women with a 
J24 108 competitive grade average of 3.50 or higher are <tf_>no less likely 
J24 109 to persist<tf/> in the program and apply to medical school.<p/>
J24 110 <p_>A similar persistence gap exists for male and female high 
J24 111 school students who aspire to high-status professional occupations 
J24 112 such as doctor, college teacher, scientist, and lawyer. Women with 
J24 113 an A average are just as likely as their male counterparts to 
J24 114 persist with these career aspirations, but at every lower academic 
J24 115 level, males are from one and one-half to two times more likely to 
J24 116 maintain their professional aspirations from the sophomore to the 
J24 117 senior years (National Center for Educational Statistics, 1983; 
J24 118 Fiorentine, 1986). This suggests that the premed persistence gap is 
J24 119 explained by general social or cultural processes rather than by 
J24 120 factors that are unique to premedical programs.<p/>
J24 121 <p_>Although that earlier study demonstrated that sex differences 
J24 122 in academic performance account for only a small portion of the 
J24 123 premed persistence differential, it was not designed to empirically 
J24 124 examine nonperformance explanations of the persistence gap. This 
J24 125 article presents data from a second study that tests four plausible 
J24 126 explanations that are consistent with the (informal) structural 
J24 127 barriers, normative barriers, and cognitive differences theories of 
J24 128 gender inequality.<p/>
J24 129 <h_><p_>Perception of Discrimination<p/><h/>
J24 130 <p_>Even though medical schools do not overtly discriminate against 
J24 131 female applicants, this 'objective reality' may not be the 
J24 132 subjective perception of many female premed students. It may be 
J24 133 that young women erroneously assume medical schools restrict 
J24 134 admission to all but the most academically distinguished female 
J24 135 students. If so, then those with a highly competitive performance 
J24 136 would be about as likely as young men to persist, but those with a 
J24 137 less competitive performance would underestimate their chances of 
J24 138 admission, and would be less likely to complete the premed program 
J24 139 and apply to medical school.<p/>
J24 140 <h|>Discouragement
J24 141 <p_>Although there has been a great deal of change in gender 
J24 142 expectations over the last several decades, it could be that 
J24 143 professors, parents, peers, and lovers continue to treat the 
J24 144 medical career goals of young women with more indifference, less 
J24 145 encouragement, or even outright hostility. As premed programs are 
J24 146 usually competitive, even slight differences in encouragement may 
J24 147 lead women with marginally competitive and non<?_>-<?/>competitive 
J24 148 performances to believe the goal of becoming a physician is 
J24 149 unattainable or inappropriate. It would not be immediately 
J24 150 apparent, however, why women with a competitive performance are 
J24 151 either not discouraged by others or do not react to this 
J24 152 discouragement by relinquishing their medical career goals. One 
J24 153 possibility is that the negative reactions of others are not 
J24 154 sufficiently strong to sway the most determined, who eagerly and 
J24 155 realistically anticipate success.<p/>
J24 156 <h|> Self-Derogation
J24 157 <p_>Consistent with the assumption of expectancy-value and 
J24 158 attribution theories (Atkinson, 1964; Weiner, 1986; Weiner <tf_>et 
J24 159 al.<tf/>, 1971), it may be that young women enter the premed 
J24 160 program with lower expectancies of success, and attribute a 
J24 161 less-than-competitive performance to stable, internal causes (low 
J24 162 ability), or to stable, external causes (high task difficulty). If 
J24 163 so, then women would be less likely to believe they could turn a 
J24 164 marginally competitive or a noncompetitive performance into a 
J24 165 competitive one, and consequently, less likely to persist in the 
J24 166 premed program.<p/>
J24 167 <h_><p_>Anticipated Role Conflict<p/><h/>
J24 168 <p_>Finally, it may be that young women initially underestimate the 
J24 169 ease of negotiating family demands and a career in medicine. 
J24 170 Realizing they are forced to choose between their career goals and 
J24 171 their family plans, most relinquish their career goals, while some, 
J24 172 particularly those with a competitive academic performance, 
J24 173 relinquish their conventional family plans.<p/>
J24 174 <h|>METHOD
J24 175 <p_>As in the original investigation, transcripts of all male and 
J24 176 female nontransfer premed students entering the State University of 
J24 177 New York at Stony Brook as freshmen between 1982 and 1985 were 
J24 178 acquired. During four weeks in April 1986, trained interviewers 
J24 179 attempted to locate and interview, via telephone, all persisting 
J24 180 and defecting students, including those who had withdrawn from the 
J24 181 university. Interviews were completed with 302 males and 240 
J24 182 females. Only one male student refused to participate in the 
J24 183 survey. Interviews were completed with all persisting and defecting 
J24 184 premed students who were currently enrolled at the time of the 
J24 185 survey. There was no difference in the distribution of males and 
J24 186 females by year in college. Among the males in the sample, 26% were 
J24 187 freshmen, 26% sophomores, 25% juniors, and 22% seniors. Among 
J24 188 females, 27% were freshmen, 26% sophomores, 25% juniors, and 22% 
J24 189 seniors.<p/>
J24 190 <p_>As typical in attrition studies, some of the students who were 
J24 191 no longer enrolled at Stony Brook could not be located in a 
J24 192 national search, and were not interviewed. The sample represents 
J24 193 73% of all males and 60% of all females who began their studies as 
J24 194 premed students. Because females were more likely to drop out of 
J24 195 the premed program (and not leave a forwarding address or phone 
J24 196 number) they were more likely to be in the hard-to-find subsample. 
J24 197 Students who were not interviewed had very low GPAs (about a D+ 
J24 198 average), but there was no difference between males and females in 
J24 199 this group. Inability to locate these students had the following 
J24 200 effect on the results: (1) the sample has a higher grade average 
J24 201 than the population of all those who began as premed students and 
J24 202 (2) the proportion of persisters in the sample is higher than it 
J24 203 would be if there were data on all those who began as premeds. This 
J24 204 would not, as far as we can tell, have influenced any of the 
J24 205 conclusions about gender differences in persistence.<p/>
J24 206 <p_>Focused fact-to-fact interviews also were conducted with 23 
J24 207 female and 13 male premed students during the fall 1985 and spring 
J24 208 1986 semesters. Students in the main sample (<tf|>n = 542) were 
J24 209 categorized along lines of persistence, grades, and sex; and then a 
J24 210 small number within these broad categories were randomly selected 
J24 211 for interviewing.<p/>
J24 212 <p_>In order to assess initial expectancies of success prior to 
J24 213 entering the premed program, a list of high school students who 
J24 214 planned to begin as freshmen in the fall of 1986 and were 
J24 215 preregistered for any two of the required premed courses was 
J24 216 acquired from the registrar's office (<tf|>n = 76). Sixty-eight of 
J24 217 these students could be located, and interviews were completed 
J24 218 during the same four-week period in April with the 62 students who 
J24 219 indicated they planned a 'premed' course of study.<p/>
J24 220 <p_>Premed persistence was assessed by self-report measures along 
J24 221 with actual records of medical school application acquired from the 
J24 222 Office of Undergraduate Studies. Respondents were determined to be 
J24 223 'persisters' if they either had applied to medical school (premed 
J24 224 students typically apply to medical school during the spring 
J24 225 semester of their junior year) <tf|>or indicated they planned to 
J24 226 apply to medical school in the future.
J24 227 
J25   1 <#FROWN:J25\><h_><p_>DESIGN FOR VULNERABILITY: CUES AND REACTIONS 
J25   2 TO FEAR OF CRIME<p/>
J25   3 <p_>Jack L. Nasar<p/>
J25   4 <p_>Ohio State University<p/>
J25   5 <p_>Bonnie Fisher<p/>
J25   6 <p_>University of Cincinnati<p/><h/>
J25   7 <p_>Fear of crime is a critical problem on university campuses. 
J25   8 <tf_>This paper describes cues in the built environment that may 
J25   9 affect fear of crime.<tf/> It develops and tests a theory about the 
J25  10 relationship between these cues and fear, and consequent reactions. 
J25  11 In our analysis of responses to open-ended questions, <tf_>we found 
J25  12 that fear was heightened by several site-specific cues: poor 
J25  13 prospect for the passerby due to inadequate lighting, blocked 
J25  14 escape for the passerby, and concealment for the offender. 
J25  15 Respondents also reported avoidance, protective, and collective 
J25  16 actions in response to their site-specific fears. The results 
J25  17 suggest that reductions in fear (and actual crime) on campus may be 
J25  18 achieved through the design of micro<?_>-<?/>level physical 
J25  19 features.<tf/><p/>
J25  20 <p_><tf|>Introduction. Fear of criminal victimization threatens the 
J25  21 quality of life for many Americans (Gallup Poll, 1989). Almost half 
J25  22 of the U.S. population have reported feeling unsafe in areas within 
J25  23 a mile of their homes (National Opinion Research Center, 1987). 
J25  24 Many citizens have been found to feel unsafe in the neighborhoods 
J25  25 where they shop, work, go to school, and seek entertainment (Bureau 
J25  26 of Justice Statistics, 1984; Fisher, 1991).<p/>
J25  27 <p_>Fear of crime is also a significant problem on college 
J25  28 campuses, causing faculty, staff, students, and parents to demand 
J25  29 safer campuses (Gaines, 1989). Recent court rulings have held 
J25  30 universities liable for foreseeable victimizations (Raddatz, 1988), 
J25  31 and Congress has passed a law requiring colleges and universities 
J25  32 to publicly report their crime statistics (House Report 101-883, 
J25  33 Section 201-205, 1990). All of these factors pressure college 
J25  34 administrators to address the safety concerns and needs of the 
J25  35 university.<p/>
J25  36 <p_>To better understand causes of fear of crime, researchers have 
J25  37 examined demographics factors. They have found higher levels of 
J25  38 fear among socially or physically vulnerable individuals, such as 
J25  39 minorities, low-income people, women or the elderly, especially 
J25  40 after dark (Box, Hale, and Andrews, 1988; Skogan and Maxfield, 
J25  41 1981; Warr, 1984). Most young urban women, a group prominent on 
J25  42 many campuses, have been found to fear certain types of personal 
J25  43 crimes, such as rape (Warr, 1985); and when individuals are 
J25  44 fearful, they have been found to adopt different crime prevention 
J25  45 behaviors (Gates and Rohe, 1987; Lab, 1990).<p/>
J25  46 <p_>Researchers have also moved beyond demographics predictors to 
J25  47 examine contextual causes. In this regard, we see the occurrence of 
J25  48 victimization from two interrelated theoretical levels - one at the 
J25  49 macro-level and the other at the micro-level. From the macro-level 
J25  50 perspective, researchers have consistently found that 
J25  51 neighborhood-level problems, such as 'physical and social 
J25  52 disorders' or 'incivilities,' heighten fear of crime (Gates and 
J25  53 Rohe, 1987; Skogan and Maxfield, 1981; Wilson and Kelling, 1982). 
J25  54 While this macro<?_>-<?/>level perspective explains broad 
J25  55 characteristics of fear, it misses the micro-level cues in the 
J25  56 built environment that affect feelings of vulnerability and fear of 
J25  57 crime at a specific location. Yet, research has shown that 
J25  58 offenders rely on micro-level cues to select a suitable target (cf. 
J25  59 Taylor and Gottfredson, 1986). The cues indicate opportunities for 
J25  60 committing a crime. A sizable body of research has revealed links 
J25  61 between the built environment, crime, and crime prevention at the 
J25  62 street or block level (Jacobs, 1961; Jeffery, 1977), or the site 
J25  63 level, as in housing projects (Newman, 1972; Merry, 1981) or 
J25  64 schools (Hope, 1985).<p/>
J25  65 <p_>The role of the physical environment on university campuses has 
J25  66 been overlooked. Yet, campuses have high levels of crime and fear 
J25  67 of crime, and they often have macro-level conditions that lead to 
J25  68 these problems. Routine activity theory explains victimization as a 
J25  69 function of the routine activities of victims that place them at 
J25  70 risk (Cohen and Felson, 1979). Campuses exhibit all three risk 
J25  71 factors: the opportunity for victimization presented by potential 
J25  72 targets (students, faculty and staff), a supply of motivated 
J25  73 offenders nearby (neighborhoods with poor socio-economic 
J25  74 conditions), and poor guardianship (open access and varying levels 
J25  75 of security among students).<p/>
J25  76 <p_>With knowledge of how micro-level features affect crime and 
J25  77 fear of crime, university officials can institute design policies 
J25  78 to reduce the risk. They can plan, evaluate or alter campus 
J25  79 buildings and micro-level features to promote safety. Compared to 
J25  80 students and personnel, physical facilities are relatively 
J25  81 permanent. Thus, while educational programs only have short-term 
J25  82 value because they must be repeated for new students and personnel, 
J25  83 environmental design strategies can produce long-term positive 
J25  84 effects on crime and feelings of vulnerability.<p/>
J25  85 <p_>How can campuses be designed for safety? Unfortunately, there 
J25  86 has been little empirical evidence on the effects of the physical 
J25  87 arrangements on crime and fear of crime on campus. Most studies of 
J25  88 environmental strategies have concentrated on residential or 
J25  89 commercial areas (Kuskmuk and Whittemore, 1981). This paper draws 
J25  90 from both the macro- and micro-level perspectives to understand the 
J25  91 cues in the outdoor environment to feelings of vulnerability and 
J25  92 reactions to that fear. We present a theoretical model of how 
J25  93 micro-level site features affect fear of crime and we describe the 
J25  94 results of a study aimed at uncovering some of those cues in 
J25  95 relation to a campus setting. In particular, we analyzed written 
J25  96 responses to open-ended questions in relation to three buildings on 
J25  97 a university campus. The results revealed three micro-level cues as 
J25  98 important influences on site-specific fear of crime: refuge, escape 
J25  99 and prospect (depending on different light levels). Furthermore, we 
J25 100 found evidence of changes in behavior in response to the 
J25 101 site-specific fears.<p/>
J25 102 <p_><tf_>Cues and reactions to fear of crime.<tf/> The built 
J25 103 environment may go relatively unnoticed until it creates a 
J25 104 substantial problem or pleasure. Nevertheless, the design of the 
J25 105 built environment does influence perceptions of safety (Fisher and 
J25 106 Nasar, 1992) which in turn may affect psychological well-being, and 
J25 107 spatial behaviors (Nasar, 1988; Russell, 1989).<p/>
J25 108 <p_>In areas where crime and fear are present, people regularly 
J25 109 evaluate their risk of victimization by scanning their immediate 
J25 110 environment for cues of danger (Appleton, 1975; Gates and Rohe, 
J25 111 1987; Goffman, 1971; Warr, 1990). Based upon their assessment of 
J25 112 the presence or absence of such cues, they adjust their behavior 
J25 113 accordingly. In discussing cues for alarm, Goffman (1971) 
J25 114 observed,<p/>
J25 115 <p_><quote_>Individuals seem to recognize that in some environments 
J25 116 wariness is particularly important, constant monitoring and 
J25 117 scanning must be sustained, and any untoward event calls forth a 
J25 118 quick and full reaction.<quote/>(242)<p/>
J25 119 <p_>Individuals do not necessarily notice all signals as cues for 
J25 120 alarm. They only attend to those cues in their immediate 
J25 121 environment as signals for alarm. According to Goffman,<p/>
J25 122 <p_><quote_>The individual's surround ... (is) that region around 
J25 123 him within which signs for alarm ... can originate ... This is 
J25 124 likely to be measured by means of a radius that is only yards long. 
J25 125 His body is what he mainly can become immediately concerned about, 
J25 126 and it is principally vulnerable ...<quote/>(253-254).<p/>
J25 127 <p_>As we move from place to place, our immediate surroundings 
J25 128 continually change, changing the position or distance of different 
J25 129 signals of alarm. Consequently, different types of situations give 
J25 130 rise to alarm while others do not. For example, Goffman noted,<p/>
J25 131 <p_><quote_>Walking along the street, the individual's surround 
J25 132 follows him; walking around a room, it does not, or does so only in 
J25 133 a small degree. Note, the individual is likely to concentrate his 
J25 134 scanning for signs for alarm at the moment and place of his 
J25 135 entering a bounded area. For often it will be at the doorway that 
J25 136 he will have to notice alarming things if he is to notice them in 
J25 137 time.<quote/> (255-256)<p/>
J25 138 <p_>When a person's proximate surroundings have a cue for alarm, 
J25 139 the person feels vulnerable and reacts. As Goffman puts it,<p/>
J25 140 <p_><quote_>... when the subject senses that something is up, his 
J25 141 attention and concern are mobilized; adaptive behavior occurs if 
J25 142 the alarms proves<&|>sic! 'real,' but if reassuring information is 
J25 143 acquired, the alarm proving false, his concentration will decay 
J25 144 quickly.<quote/> (262)<p/>
J25 145 <p_>In contrast, when a cue for alarm is absent, <quote_>"When the 
J25 146 world immediately around the individual portends nothing out of the 
J25 147 ordinary,"<quote/> Goffman writes that the person,<p/>
J25 148 <p_><quote_>will sense that ... he is safe and sound to continue on 
J25 149 with that activity at hand with only peripheral attention given to 
J25 150 checking up on the stability of the environment.<quote/>(239)<p/>
J25 151 <p_>According to Goffman, then, individuals monitor their 
J25 152 environment for signals of danger. When they detect a danger 
J25 153 signal, they react accordingly. Otherwise, when appearances are 
J25 154 <quote|>"natural" or normal (23), they go about their routine.<p/>
J25 155 <p_>It becomes important, then to identify what cues convey the 
J25 156 message of alarm or danger, how such cues provoke fear, and what 
J25 157 responses then follow. In discussing the design of vulnerability, 
J25 158 Goffman (1971) introduced the concept of 'lurk lines'. These lines 
J25 159 demarcate zones that lie beyond or behind the individual's line of 
J25 160 sight. These zones have also been called 'blind' spots (Warr, 
J25 161 1990). Lurk lines or blind spots occur in many places - the areas 
J25 162 behind an open door, inside an unlocked closet, or around a sharp 
J25 163 bend in hallway<&|>sic!. You do not necessarily have to walk 
J25 164 through a physical obstruction to discover these areas. You can see 
J25 165 potential blind spots, in the near distance and anticipate their 
J25 166 likely character.<p/>
J25 167 <p_>The concept of lurk lines and blind spots conforms with 
J25 168 Appleton's (1975) discussion of prospect and refuge. Appleton 
J25 169 argued that for evolutionary reasons humans favor places that 
J25 170 afford prospect (an open view) and refuge (protection). In 
J25 171 Goffman's (1971) and Warr's (1990) terms, humans dislike lurk lines 
J25 172 or blind spots. Places with prospect and refuge offer an 
J25 173 observation point from which humans can see, react, and if 
J25 174 necessary, defend themselves, as well as a protective space to keep 
J25 175 them from harm. Appleton (1975) went on to say that humans need not 
J25 176 enter an area to determine it's prospect and refuge. They 
J25 177 anticipate what those qualities would be if they were to enter the 
J25 178 place. For example, observers can look at a clear-cut 
J25 179 mountain<?_>-<?/>top in the distance and anticipate that it would 
J25 180 offer them prospect but little refuge should they venture there.<p/>
J25 181 <p_>We believe that potential offenders also value places which 
J25 182 offer prospect and refuge. As Lorenz's (1964: 181) said, such 
J25 183 places offer an advantage to <quote_>"the hunter and hunted alike - 
J25 184 namely to see without being seen."<quote/> This agrees with views 
J25 185 on the role of natural surveillance in reducing crime (cf. Jacobs, 
J25 186 1961, Jeffery, 1977; Newman, 1972); and several studies indicate 
J25 187 that robbers favor prospect and refuge. Bank robbers have been 
J25 188 found to target banks that have poor visibility of the inside from 
J25 189 the outside, and clear views out to escape routes and to see who 
J25 190 might enter (Camp, 1968). Tapes of bank robberies show that robbers 
J25 191 select banks and follow a path that let them see as much as 
J25 192 possible while remaining unseen (Wise, 1983). In a study of 78 
J25 193 tapes of sting operations, Archea (1985) found that robbers operate 
J25 194 from locations with prospect (<quote_>"enough visual access to gain 
J25 195 and maintain control"<quote/>) and refuge (<quote_>"low visual 
J25 196 exposure from areas not in direct control"<quote/>) (p. 249). Stoks 
J25 197 (1983) found that rape outdoors tend to occur in areas with refuge 
J25 198 (<quote_>"physically confined"<quote/> spaces) and limited prospect 
J25 199 (<quote|>"barriers") nearby areas of pedestrian movement (p. 334). 
J25 200 In sum, the research confirms prospect and refuge as relevant 
J25 201 constructs in relation to site-specific opportunities for crime. It 
J25 202 was our hypothesis that prospect and refuge would also affect fear 
J25 203 of crime among passersby in outdoor settings.<p/>
J25 204 <p_>In theory, humans would feel vulnerable passing by places such 
J25 205 as alcoves and tall, dense shrubs that afford potential offenders 
J25 206 refuge (concealment) and potential victims limited prospect. 
J25 207 Offenders would have hiding places, into which passersby could not 
J25 208 see in time to escape or avoid an attack. Conversely, where 
J25 209 pedestrians have wide and deep prospect onto an area which has no 
J25 210 places of refuge for an offender, they would feel safer because 
J25 211 they could anticipate and avoid an attack.<p/>
J25 212 <p_>Expanding the notion of prospect, we argue that insufficient 
J25 213 lighting at night also provokes feelings of vulnerability because 
J25 214 it limits prospect. The idea that the night may be scary is not new 
J25 215 (Fisher and Nasar, 1992; Warr, 1985). Previous research has found 
J25 216 that darkness represents a potent sign of danger, and combined with 
J25 217 novelty and uncertainty can produce considerable fear (Warr, 1990). 
J25 218 We believe, however, that it is not only darkness per se, but also 
J25 219 its effects on prospect that effect site-specific fear of crime.
J25 220 
J26   1 <#FROWN:J26\><h_><p_>Population Decline from Two Epidemics on the 
J26   2 Northwest Coast<p/>
J26   3 <p_>ROBERT BOYD<p/><h/>
J26   4 <p_>Direct contact by Indians of the Northwest Coast culture area 
J26   5 with Euro-Americans began very late, in 1774. Therefore, 
J26   6 documentation of the contact process is relatively good. It appears 
J26   7 that the introduction of Old World diseases was similarly late and 
J26   8 coincided with contact. Although Campbell (1989), using 
J26   9 archeological data, has made a case for penetration of the 
J26  10 Northwest Coast by the hemispheric smallpox epidemic of the 1520s, 
J26  11 all other evidence (archeological, historical, Indian oral 
J26  12 tradition) for Northwest disease introduction postdates 1774. That 
J26  13 evidence is considerable, with nearly the full list of high 
J26  14 mortality infectious diseases introduced in rapid fire sequence, 
J26  15 with accompanying heavy mortalities strongly suggesting that these 
J26  16 diseases were new to the area, or at least present again after a 
J26  17 very long absence.<p/>
J26  18 <p_>Smallpox epidemics appeared roughly every generation - the 
J26  19 first, in the late 1770s following direct contact, over the entire 
J26  20 coast, and others in 1801, 1836-1838, 1853, and 1862-1863 in more 
J26  21 limited regions (Boyd 1990:137-143). This interesting sequence 
J26  22 appears to have been created by the dual factors of introduction 
J26  23 from an outside source plus presence of a large enough pool of 
J26  24 non<?_>-<?/>immune susceptibles in the Northwest born since the 
J26  25 last epidemic. Evidence for depopulation from the initial outbreaks 
J26  26 is limited to descriptions of abandoned villages and native 
J26  27 recollections, but high mortalities from the later epidemics are 
J26  28 well documented in the Indian censuses and estimates compiled by 
J26  29 the Hudson's Bay Company and by early government officials. Besides 
J26  30 smallpox, malaria was introduced to and became endemic in a sizable 
J26  31 portion of the southern coast, and records indicate considerable 
J26  32 population decline concurrent with its introduction. Other 'new' 
J26  33 diseases that contributed to Northwest Coast Native American 
J26  34 population decline included measles, influenza, dysentery, whooping 
J26  35 cough, and (in a different way) tuberculosis and venereal diseases 
J26  36 (Boyd 1985, 1990).<p/>
J26  37 <p_>This is the situation for the region as a whole. This chapter 
J26  38 will discuss the records on population decline associated with two 
J26  39 localized outbreaks - on the lower Columbia in the decade following 
J26  40 the introduction of malaria in 1830, and in the Queen Charlotte 
J26  41 Islands during the years of the last great smallpox epidemic, 
J26  42 1862-1863. The two epidemics appear to qualify as virgin soil or 
J26  43 near virgin soil; malaria had not been known in the Northwest prior 
J26  44 to 1830, and smallpox had been absent from the Charlottes since the 
J26  45 late 1770s. The data on depopulation in these two instances are 
J26  46 remarkably good and may provide clues to patterns of depopulation 
J26  47 in similar virgin soil situations in other places and at earlier 
J26  48 dates in the Americas.<p/>
J26  49 <h_><p_>MALARIA ON THE LOWER COLUMBIA, AFTER 1830<p/><h/>
J26  50 <p_>The Lower Columbia drainage, here defined as the area from the 
J26  51 river mouth to near The Dalles and including the basins of large 
J26  52 tributaries such as the Willamette and Cowlitz, was home to several 
J26  53 Indian groups. The two largest, Chinookans on the banks of the 
J26  54 Columbia and Kalapuyans in the Willamette Valley, are also the most 
J26  55 completely documented as far as population decline is concerned; 
J26  56 and they are used as the base of discussion here.<p/>
J26  57 <p_>In the late 1820s the population of these two peoples 
J26  58 approximated 18,580; within a decade it had dropped to 2,433, or 13 
J26  59 percent of the initial number. Detailed discussions of the sources 
J26  60 for these numbers have been given elsewhere (Boyd 1985, 1990, 
J26  61 1991a; Boyd and Hajda 1987); suffice it to say that the preepidemic 
J26  62 estimates are from Meriweather Lewis and William Clark and the 
J26  63 Hudson's Bay Company, and the postepidemic numbers are from the 
J26  64 1841 U.S. Exploring Expedition.<p/>
J26  65 <p_>What caused this monumental decline in Lower Columbia 
J26  66 populations? The contemporary sources (a large body of data) 
J26  67 uniformly ascribe it to the disease called 'fever and ague' by 
J26  68 Americans and 'intermittent fever' by the British. Despite some 
J26  69 controversy over the identity of this disease (e.g., Cook 1955; 
J26  70 Taylor and Hoaglin 1962), epidemiological evidence strongly 
J26  71 suggests that it was malaria (Boyd 1975), described most often in 
J26  72 later accounts (e.g., Townsend 1839:197; Brackenridge 1931:141, 
J26  73 221; J.R. Dunn 1846) as the tertian form (<tf_>Plasmodium 
J26  74 vivax<tf/> and <tf_>P. falciparum<tf/>). The sources are unanimous 
J26  75 in stating that this disease was new to the area, and unknown 
J26  76 before 1830 (e.g., McLoughlin 1941:88). This points to a virgin 
J26  77 soil situation. Malaria, as has been fully established by research 
J26  78 (F. Dunn 1965; Wood 1975), is an Old World disease, which was 
J26  79 introduced in sequence to different regions of the Americas, where 
J26  80 suitable vectors, mosquitoes of the genus <tf|>Anopheles, were 
J26  81 native (Harrison 1978). Once introduced, it became endemic. In the 
J26  82 unbroken tropical and subtropical regions of the Amazon, 
J26  83 circum-Caribbean, and Southeast United States this introduction was 
J26  84 early and apparently has gone unrecorded (Ashburn 1947:112-123; 
J26  85 Friedlander 1969). In the Lower Columbia and adjacent California 
J26  86 central valley (Cook 1955) malaria arrived late and was both 
J26  87 observed and recorded.<p/>
J26  88 <p_>The statistics from the area are unambiguous in documenting a 
J26  89 dramatic population decline following the introduction of 'fever 
J26  90 and ague.' What remains unclear are the dynamics of this decline. 
J26  91 Such high mortalities are not characteristic of endemic malarial 
J26  92 regions today, nor of those occasional instances where a 
J26  93 combination of factors inflate mortality rates in endemic areas to 
J26  94 numbers that merit the term 'epidemic' (Wood 1979:260). It is 
J26  95 essential to remember that on the Lower Columbia the outbreak was a 
J26  96 virgin soil epidemic, and virgin soil outbreaks of whatever disease 
J26  97 are almost by definition unusually virulent (Crosby 1976). This may 
J26  98 be part of the answer to the large decline. Three other 
J26  99 contributing factors are: the Indian means of dealing with the 
J26 100 alternating spells of chills and fever characteristic of the 
J26 101 disease, secondary diseases that precipitated mortality, and 
J26 102 fertility decline directly or indirectly associated with 
J26 103 malaria.<p/>
J26 104 <p_>A small, consistent, yet independently written body of sources 
J26 105 from the earliest years of the epidemic ascribe the high mortality 
J26 106 to inadequate treatment of the disease. During the fever spells, 
J26 107 Indians would plunge into cold water; when chills came they 
J26 108 retreated to sweat lodges. Sudden death followed. The phenomenon is 
J26 109 securely documented; the actual dynamics of death are not (Boyd 
J26 110 1979). Quinine sulfate, the medicine used by Whites, was in short 
J26 111 supply in the early 1830s (Allan 1882:79; McLoughlin 1941). Factor 
J26 112 two: Modern malaria is a disease of complications; death, when it 
J26 113 comes, is usually from a secondary illness superimposed on a 
J26 114 weakened malarial constitution (Brown 1983:65). Children, in 
J26 115 endemic regions, form the bulk of casualties (Wood 1979:258-259). 
J26 116 Though evidence is sparse, deaths listed in the record book of an 
J26 117 1830s Willamette Valley mission school, for instance are ascribed 
J26 118 to such secondary diseases (including influenza and tuberculosis) 
J26 119 introduced to Indian children chronically ill from malaria (Shepard 
J26 120 1922). It seems likely that much of the mortality in later years 
J26 121 may have been due to secondary illnesses.<p/>
J26 122 <p_>These two factors, in combination, appear to have contributed 
J26 123 to the mortality side of the population equation in the Lower 
J26 124 Columbia valley. But it appears that there may have been a decline 
J26 125 in fertility as well in this newly malarial population. 
J26 126 Post<?_>-<?/>malaria Chinookan and Kalapuya censuses (Hudson's Bay 
J26 127 Company 1838; Spalding 1851; Boyd 1985: chart 26) incorporate 
J26 128 information on population structure, specifically age and sex. 
J26 129 Censuses of groups within the epidemic focal area show low - below 
J26 130 30 - percentages of children. Elsewhere in the Northwest, among 
J26 131 Indian populations counted by the Hudson's Bay Company but not 
J26 132 subjected to disease, the percentages are much higher, generally in 
J26 133 the 30-40 percent range. In the case of the 1851 counts, mortality 
J26 134 from the 1848 measles epidemic (Boyd 1991b) decreased the 
J26 135 percentage of children even more. But in 1838 and 1851, two 
J26 136 underlying explanations for fertility decline also seem likely. 
J26 137 First, in immediate postepidemic years (MacArthur 1961:8), there 
J26 138 was a sudden drop in fertility due to disrupted marital units. 
J26 139 Second, there was considerable malaria-caused anemia, which, among 
J26 140 women of child-bearing age, led to spontaneous abortions and 
J26 141 stillbirths (Wood 1979:258).<p/>
J26 142 <p_>The approximate 87 percent decline in Lower Columbia Indian 
J26 143 populations in the decade following the introduction of malaria 
J26 144 therefore appears not to have been a simple process. Inappropriate 
J26 145 Indian treatments precipitated deaths in cases where proper 
J26 146 treatment would have resulted only in temporary debilitation; 
J26 147 secondary ailments moved in and pushed weakened malarial cases on 
J26 148 to death, particularly among the very young; and maternal anemia is 
J26 149 likely to have caused spontaneous abortions and miscarriages, 
J26 150 resulting in a drop in fertility. The decline was regular and 
J26 151 cumulatively dramatic: in 1841 an American physician, resident 
J26 152 since 1835, estimated that the population of the Willamette Valley 
J26 153 Indians diminished by one-quarter annually (Bailey in Wilkes 
J26 154 1926:57), a proportion fully in keeping with before (late 1820s) 
J26 155 and after (1841) Kalapuyan population figures.<p/>
J26 156 <p_>Socially, after 1841, most Chinookan and Kalapuyan populations 
J26 157 were approaching extinction as viable and ethnically distinct 
J26 158 entities. Inhabitants of Chinookan winter villages, tied to their 
J26 159 local land base, remained in place with minimal regrouping (Dart 
J26 160 1851) until they were reduced to a few survivors or overwhelmed by 
J26 161 migrants from more robust populations (Sahaptin or Salishan) from 
J26 162 the peripheries of the endemic malaria zone (Tappan 1854). The 1851 
J26 163 Kalapuya census showed that these people likewise remained in their 
J26 164 local band territories, with negligible regrouping. The average 
J26 165 band size in 1851 was a mere 53 people, and the bands were evenly 
J26 166 spread over the entire valley. As on the Columbian, more robust 
J26 167 outsiders (Sahaptin Klikitat) had begun to move in, and by 1851 
J26 168 they were equivalent in numbers to the sum total of the Willamette 
J26 169 Valley indigenes. The Kalapuyan population nadir was reached in the 
J26 170 1850s, and numbers (in what was a highly mixed population) began to 
J26 171 increase again only after enforced concentration on the Grand Ronde 
J26 172 Reservation and regular access to Western medicines.<p/>
J26 173 <h_><p_>SMALLPOX IN THE QUEEN CHARLOTTE ISLANDS, 1862-1863<p/><h/>
J26 174 <p_>The steady population decline of the Lower Columbia Indians 
J26 175 following the introduction of malaria was very different in nature 
J26 176 from the sudden catastrophic drop of the Haida population of the 
J26 177 Queen Charlottes caused by the 1860s smallpox epidemic, even though 
J26 178 the percentage losses were comparable.<p/>
J26 179 <p_>The 1862-1863 British Columbia smallpox epidemic has been 
J26 180 documented (Yarmie 1968; Pethick 1978). Over 20,000 Indians, nearly 
J26 181 60 percent of the pre-epidemic total, died in British Columbia and 
J26 182 the Alaska Panhandle (Duff 1964; Boyd 1985, 1990; 142-144). In 
J26 183 classic fashion, the disease arrived with an infected individual on 
J26 184 a ship from San Francisco. The ship docked at Victoria, and the 
J26 185 disease spread rapidly to the crowded Indian encampment on the 
J26 186 city's outskirts. Instead of quarantining the Indians, the 
J26 187 authorities evicted them, and fleets of Haida, Tlingit, Tsimshina, 
J26 188 and Kwakiutl traders sailed back to their homelands, taking the 
J26 189 epidemic with them.<p/>
J26 190 <p_>On the densely populated (relatively speaking) and isolated 
J26 191 Queen Charlotte Islands, the effect was rapid and devastating. A 
J26 192 Hudson's Bay census dating from 1839-1842 showed a total of 8,428 
J26 193 Haidas (table 1); there is no evidence that this number changed 
J26 194 significantly in the next 20 years. The people were concentrated in 
J26 195 several winter villages spread along the coastline in areas of 
J26 196 heavy resource concentration (especially halibut, the local 
J26 197 staple). Each village was associated with a particular 
J26 198 matriclan.<p/>
J26 199 <p_><O_>table&caption<O/><p/>
J26 200 <p_>Census of the Haida taken 1882-1884 (Chittenden 1884; Petroff 
J26 201 1882) show 1,598 survivors, or a population drop of over 80 
J26 202 percent, nearly all of which must on present evidence be assigned 
J26 203 to the smallpox epidemic. This exceedingly large loss was due to 
J26 204 several factors. First, the strain of smallpox virus in the 1860s 
J26 205 epidemic was particularly virulent; second, Haida settlement was 
J26 206 (relatively) dense and continuous, facilitating transmission; 
J26 207 third, the Queen Charlotte population was particularly vulnerable, 
J26 208 as there was no segment with acquired immunity, as was the case 
J26 209 with most other British Columbia Indian populations. Whereas 
J26 210 Tsimshian, Tlingit, and others had experienced an outbreak 24 years 
J26 211 prior, the Haida had not known the disease for more than 90 years 
J26 212 (Boyd 1985; Blackman 1981:23; cf. MacDonald 1983:17). It was, in 
J26 213 essence, a virgin soil experience for them. A fourth factor was 
J26 214 vaccine. While sizable numbers of Tlingit and some Kwakiutl had 
J26 215 been vaccinated in the 1830s, and the Metlakatla Tsimshian in 1862, 
J26 216 none of the Haida had been vaccinated (Boyd 1985, chapter 4 and 
J26 217 appendix).<p/>
J26 218 
J27   1 <#FROWN:J27\><h_><p_>The Division of Household Labor<p/><h/>
J27   2 <p_>The most obvious predictors of wives' perceptions of fairness 
J27   3 might seem likely to be the outcomes related to the quantity of 
J27   4 labor, such as the extent of the husband's contribution to 
J27   5 household labor and the total amount of labor performed by the 
J27   6 wife. Benin and Agostinelli (1988) have shown that women are 
J27   7 relatively unaffected by increased household labor participation on 
J27   8 the part of husbands unless the labor is specifically spent in 
J27   9 those tasks traditionally defined as 'feminine' chores, such as 
J27  10 cooking or cleaning. What might explain this pattern? First, the 
J27  11 traditional male tasks involve little investment of time relative 
J27  12 to the female tasks. Second, male involvement in female tasks is 
J27  13 likely to have direct and visible consequences for the wife's 
J27  14 workload. Third, since husbands' contributions to such tasks cross 
J27  15 traditional gender lines, they will be more salient and more likely 
J27  16 to be perceived as involving a special effort by husbands to be 
J27  17 'fair.' We thus expect perceptions of fairness to be affected by 
J27  18 husbands' participation in 'female' household tasks, but not by 
J27  19 their participation in 'male' or gender neutral tasks. Since our 
J27  20 arguments for this effect hinge in part on the reduced need for 
J27  21 wives' labor, we also predict a direct effect of wives' total labor 
J27  22 on perceptions of fairness.<p/>
J27  23 <p_>However, we do not expect even this aspect of husbands' 
J27  24 household labor contribution to be related to perceptions of 
J27  25 fairness in all families. As Thompson (1991) rightly emphasizes, 
J27  26 women's orientations to various household outcomes vary 
J27  27 considerably. It is still the case that many families allocate 
J27  28 labor market participation exclusively to husbands (for the sample 
J27  29 utilized here, about a third of the families have nonemployed 
J27  30 wives), with household labor presumably becoming the wife's 
J27  31 responsibility. For such families, it is unlikely that husbands' 
J27  32 participation in housework would have much impact on perceptions of 
J27  33 fairness. Hence, all of our analyses will be carried out separately 
J27  34 for families in which the wife is employed and those in which she 
J27  35 is not. We expect that the quantity of labor variables will have 
J27  36 their clearest impact for families in which the wife is 
J27  37 employed.<p/>
J27  38 <h_><p_>Qualitative Aspects of Household Labor<p/><h/>
J27  39 <p_>Thompson has reasonably argued that quantitative aspects of the 
J27  40 division of labor or <quote_>"the distribution of time and 
J27  41 task"<quote/> do not tap the full range of possibly important 
J27  42 outcomes. For example, Oakley (1974) found that wives who were 
J27  43 dissatisfied with the division of labor in their home were likely 
J27  44 to complain about the monotony and fragmentation of their chores. 
J27  45 Dissatisfied wives were also likely to complain about the 
J27  46 loneliness of household labor; that is, they expressed concern over 
J27  47 the lack of companionship during the performance of household 
J27  48 labor. Thus, although the relationship between 'satisfaction' and 
J27  49 perceptions of fairness may be complicated, it is reasonable to 
J27  50 hypothesize, on the basis of Oakley's findings, that wives' 
J27  51 perceptions of the extent to which their household labor is lonely 
J27  52 and complicated will be related to their perceptions of the 
J27  53 fairness of the division of labor.<p/>
J27  54 <h|>Appreciation
J27  55 <p_>Kessler and McCrae (1982) conclude that husbands' willingness 
J27  56 to participate in housework is important to wives' in part because 
J27  57 it carries a 'symbolic meaning' for wives, such that their work is 
J27  58 recognized and appreciated by the husbands. Thompson (1991) also 
J27  59 argues that among the most important outcomes of the division of 
J27  60 household labor are symbolic outcomes, particularly the 
J27  61 significance of caring. We would argue that the 'satisfaction' 
J27  62 involved in such a demonstration will be greater when wives 
J27  63 perceive that their work is, indeed, appreciated. We expect, 
J27  64 therefore, that women who do not perceive their household labor to 
J27  65 be appreciated will be more likely to feel that the division of 
J27  66 labor is unfair, and that this effect should be evidenced whether 
J27  67 or not she is employed.<p/>
J27  68 <h_><p_>Ideological Factors<p/><h/>
J27  69 <p_>What role might we expect gender ideology to play in women's 
J27  70 reactions to division of house<?_>-<?/>hold labor? A number of 
J27  71 authors (e.g., Huber and Spitze, 1983) assume that gender 
J27  72 ideologies are an important determinant of the allocation of chores 
J27  73 within the home, and we will be able to test this assumption. 
J27  74 However, since task allocation certainly takes place through a 
J27  75 negotiation process (Atkinson & Huston, 1984), and one that might 
J27  76 be somewhat protracted (Hochschild, 1989) there will undoubtedly be 
J27  77 a far from perfect relationship between gender ideology and the 
J27  78 division of labor. Given the general finding that men, on average, 
J27  79 contribute very little to house<?_>-<?/>hold labor, it is 
J27  80 reasonable to assume that there will be some direct relationship 
J27  81 between women's gender ideology and their assessment of fairness in 
J27  82 the division of labor.<p/>
J27  83 <p_>Additionally, however, we would expect ideology to be related 
J27  84 to all three of the factors in Thompson's (1991) model. First, 
J27  85 husbands' contributions to the division of household labor should 
J27  86 be a particularly salient outcome for less traditional wives. 
J27  87 Second, less traditional wives should be more inclined to make the 
J27  88 cross-gender comparisons that would produce dissatisfaction with 
J27  89 husbands' lack of participation. Third, less traditional wives will 
J27  90 presumably be less likely to accept the traditional justification 
J27  91 for low levels of husbands' contributions to household work. Thus, 
J27  92 we would expect an interaction effect involving ideology and 
J27  93 husband's contributions, such that women with egalitarian 
J27  94 ideologies will react strongly to the extent of their husband's 
J27  95 participation, while those with more traditional ideologies will 
J27  96 not. And we would expect this effect to be particularly clear for 
J27  97 those families in which both partners participate in the paid labor 
J27  98 force.<p/>
J27  99 <h_><p_>DATA AND VARIABLES<p/><h/>
J27 100 <p_>Data for this study are taken from the 1988 National Survey of 
J27 101 Families and Households (Sweet, Bumpass, & Call, 1988). The NSFH 
J27 102 provides a cross-sectional national sample of 13,017 respondents 
J27 103 aged 19 and older. The sample here is limited to 778 married white 
J27 104 women for whom data were complete across the variables required 
J27 105 here<?_>-<?/>in. Our smaller sample size results from the 
J27 106 restriction of the study to only white, currently married wives for 
J27 107 whom data on both attitudinal and household labor measures are 
J27 108 complete. The primary limitations on sample size result from the 
J27 109 use of only married households (68% of the total sample), women 
J27 110 (50% of the total sample), whites (85% of the total sample), and 
J27 111 individuals less than 65 years of age (86% of the total sample). 
J27 112 The sample was also restricted to include only respondents who 
J27 113 reported a weekly household labor performance of 120 hours or 
J27 114 less.<p/>
J27 115 <p_><tf_>Household labor<tf/>. For each couple, the NSFH includes 
J27 116 reports from each partner/spouse regarding their own household 
J27 117 labor contributions and those of their partner/spouse. Each partner 
J27 118 provides an estimate of the hours spent per week on eight specific 
J27 119 household tasks. The tasks are: (a) preparing meals, (b) washing 
J27 120 dishes, (c) cleaning house, (d) outdoor tasks, (e) shopping, (f) 
J27 121 washing and ironing clothes, (g) paying bills, and (h) auto 
J27 122 maintenance. Given the focus of this investigation on wives' 
J27 123 reactions to the division of labor, measures of both husbands' and 
J27 124 wives' household labor are based on reports from wives.<p/>
J27 125 <p_>Two primary aspects of the quantitative division of household 
J27 126 labor are of central interest here: how much work is done by 
J27 127 husbands and how much by wives. First, with regard to husbands' 
J27 128 household labor, our major focus will be on <tf_>male labor in 
J27 129 female-dominated tasks<tf/>, the number of hours spent by husbands 
J27 130 in those chores typically envisioned as 'female' tasks (meal 
J27 131 preparation, dishes, cleaning house, and ironing and washing 
J27 132 clothes), as measured by wives' estimations. We will also begin our 
J27 133 analysis of the effects of male labor on wives' perceptions of 
J27 134 fairness with a demonstration that <tf_>male labor in 
J27 135 male-dominated tasks<tf/> (outdoor tasks and auto maintenance) and 
J27 136 <tf_>male labor in gender neutral tasks<tf/> (shopping and paying 
J27 137 bill) have little to do with perceptions of fairness. Second, 
J27 138 <tf_>total female labor<tf/> is the total number of hours spent in 
J27 139 all household labor per week by wives.<p/>
J27 140 <p_><tf_>Qualities of household labor<tf/>. Three measures of 
J27 141 wives' assessment of the nature of their household labor were 
J27 142 available in the NSFH. Responses were taken from the question: 
J27 143 <quote_>"How would you describe the work you do around the house? 
J27 144 Would you say it is: (1) boring-interesting, (2) 
J27 145 complicated-simple, (3) lonely-sociable?"<quote/> Responses were 
J27 146 taken on a 7-point scale, with the responses shown above 
J27 147 representing the respective end points of each scale.<p/>
J27 148 <p_><tf|>Appreciation. The extent to which women perceive their 
J27 149 household labor to be appreciated is based on the same question 
J27 150 used to assess the qualities of household labor. One of the 7-point 
J27 151 scales presented in the NSFH was 
J27 152 <quote|>"unappreciated-appreciated."<p/>
J27 153 <p_><tf_>Gender ideology<tf/>. An indexed measure of wives' 
J27 154 <tf_>sex-role ideology<tf/> was created from responses to the 
J27 155 following questions: (a) It is much better for everyone if the man 
J27 156 earns the main living and the woman takes care of the home and the 
J27 157 family, (b) Preschool children are likely to suffer if their mother 
J27 158 is employed, (c) Parents should encourage just as much independence 
J27 159 in their daughters as in their sons, and (d) In a successful 
J27 160 marriage, each partner must have the freedom to do what they want 
J27 161 individually. Wives answered each question on the basis of a 
J27 162 5-point scale, ranging from strongly agree to strongly disagree. 
J27 163 Each item was coded appropriately, with a high score indicating 
J27 164 egalitarian sex-role orientations. Coefficient alpha for the scale 
J27 165 was .55.<p/>
J27 166 <p_>A measure of ideology focused more directly on the division of 
J27 167 labor, <tf_>family-labor ideology<tf/>, was taken from responses to 
J27 168 the question: <quote_>"If a man and a wife both work full-time, 
J27 169 they should share household tasks equally."<quote/> Here, responses 
J27 170 ranged across a 5-point scale, with a higher score indicating 
J27 171 egalitarian family-role orientations.<p/>
J27 172 <p_><tf|>Employment. The employment variable is based on a question 
J27 173 regarding number of hours per week spent in the paid labor force. 
J27 174 Our first intention was to separate the wives into three groups 
J27 175 (employed full time, employed part time, and nonemployed), but for 
J27 176 these data less than 10% of the women were employed fewer than 35 
J27 177 hours per week. We decided, therefore, to combine all 'working' 
J27 178 women, and the employed group includes all women who report any 
J27 179 hours of paid employment.<p/>
J27 180 <p_><tf_>Perceptions of fairness<tf/>. Wives' <tf_>perception of 
J27 181 fairness<tf/> of the division of labor was measured with the 
J27 182 following question: <quote_>"How do you feel about the fairness in 
J27 183 your relationship in each of the following areas? (household 
J27 184 chores)."<quote/> Responses were on a 5-point scale, ranging from 
J27 185 <quote_>"very unfair to me"<quote/> to <quote_>"very unfair to 
J27 186 him."<quote/> A code of 5 indicates <quote_>"very unfair to my 
J27 187 partner,"<quote/> 4 is <quote_>"somewhat unfair to my 
J27 188 partner,"<quote/> 3 corresponds to a response of <quote|>"fair," 2 
J27 189 represents <quote_>"somewhat unfair to me,"<quote/> and 1 is 
J27 190 <quote_>"very unfair to me."<quote/> Since very few wives 
J27 191 responding perceived the division of labor to be unfair to their 
J27 192 partner (see below), we will refer to higher scores on this 
J27 193 variable as indicating <quote|>"fairness."<p/>
J27 194 <p_><O_>table&caption<O/><p/>
J27 195 <p_>Among the 496 employed wives in this sample, 61% perceive the 
J27 196 division of labor to be fair, 28% <quote_>"somewhat unfair to 
J27 197 me,"<quote/> 6% <quote_>"very unfair to me,"<quote/> and about 4% 
J27 198 as either <quote|>"somewhat" or <quote|>"very" unfair to him; the 
J27 199 mean is 2.64. Among the 282 nonemployed wives, 71% report a 
J27 200 <quote|>"fair" division of labor, 24% see it as <quote_>"somewhat 
J27 201 unfair to me,"<quote/> 2% as <quote_>"very unfair to me,"<quote/> 
J27 202 and 3% as somewhat or very unfair to him; the mean is 2.76.<p/>
J27 203 <h_><p_>RESULTS<p/>
J27 204 <p_>Division of Labor<p/><h/>
J27 205 <p_>Table 1 presents the mean hours per week spent in household 
J27 206 labor, by each spouse, across the eight household chores, as well 
J27 207 as their percentage distribution. As shown, wives and husbands 
J27 208 perform significantly different total amounts of labor and 
J27 209 different types of labor. In those households in which the wife is 
J27 210 employed, wives average 31.06 hours per week of total labor, while 
J27 211 their husbands average only about 15.28. The disparity between male 
J27 212 and female total labor is, of course, even greater within those 
J27 213 households in which the wife is nonemployed. Here, wives perform 
J27 214 approximately 42.04 hours per week of total labor, while their 
J27 215 husbands average 12.23 hours per week. Obviously, the employment 
J27 216 status of wives has a significant impact on their total labor in 
J27 217 the home; their employment status has a substantially weaker 
J27 218 association with husbands' household labor.
J27 219 
J27 220 
J28   1 <#FROWN:J28\>Rather than seek integration of the best elements of 
J28   2 each model, model-based professional organizations place behavioral 
J28   3 scientist-practitioners in a multiple-choice stance in which they 
J28   4 are encouraged to affiliate with one model.<p/>
J28   5 <p_>Furthermore, many literature reviews, such as those published 
J28   6 in <tf_>Psychological Bulletin<tf/> and <tf_>Clinical Psychology 
J28   7 Review<tf/> organize their presentations around separate causal 
J28   8 models and evaluate their comparative efficacy. This strategy also 
J28   9 places causal models in a competitive stance and fails to 
J28  10 acknowledge that behavior disorders may be a function of several 
J28  11 classes and levels of causal variables, either concurrently or 
J28  12 under different conditions, and that some variables and causal 
J28  13 relationships in different causal models may be compatible and 
J28  14 equally valid. As Blalock (1964) noted, this leads to 
J28  15 <quote_>"jurisdictional disputes"<quote/> among proponents of 
J28  16 models that are not necessarily incompatible.<p/>
J28  17 <p_>Causal models can also be artificially contrasted by focusing 
J28  18 on only one parameter of a behavior disorder (e.g., focusing only 
J28  19 on the 'occurrence' of depression). This narrow focus is limiting 
J28  20 in that it fails to recognize that different parameters of a 
J28  21 disorder are affected by different variables. The cognitive model 
J28  22 of depression, presented in chapters 1 and 2, provides a good 
J28  23 example. An examination of the published longitudinal research 
J28  24 might suggest that <quote_>"beliefs of helplessness"<quote/> should 
J28  25 be minimized as an explanatory concept for the <tf|>occurrence of 
J28  26 depressive symptoms because the evidence that it reliably precedes 
J28  27 the onset of depressive episodes is weak. However, if we focus on 
J28  28 the <tf|>magnitude or <tf|>duration of depressive symptoms, the 
J28  29 research is more supportive of a causal role for <quote_>"learned 
J28  30 helplessness"<quote/> (Barnett & Gotlib, 1988).<p/>
J28  31 <p_>'Alternative' causal models are sometimes simply different 
J28  32 <tf_>levels of explanation<tf/> for the same phenomena. We can base 
J28  33 a useful causal model for lamp illumination on either initiating 
J28  34 electron flow through a resistor or on the behavior of throwing a 
J28  35 light switch. Both can be useful, are not incompatible, and are 
J28  36 simply different levels of explanation. Similarly, 'learned 
J28  37 helplessness beliefs,', 'neurotransmitter deficits,' and 'social 
J28  38 rejection experiences' need not be incompatible causal concepts for 
J28  39 depression (Beck & Young, 1985; Boyd & Levis, 1980; Coyne, Kahn, & 
J28  40 Gotlib, 1987; Lewinsohn & Hoberman, 1982). They may reflect only 
J28  41 different labels, different measurement procedures, and different 
J28  42 levels of foci for the same phenomena.<p/>
J28  43 <p_>The relative validity or power of causal models may vary across 
J28  44 domains or conditions. For example, between-spouse communication 
J28  45 difficulties may be an important factor in marital distress, but 
J28  46 significantly less so in the context of a supportive extended 
J28  47 family. Similarly, the relative importance of diet and life 
J28  48 stressors as determinants of hypertension risk may differ between 
J28  49 European-Americans and African-Americans, or between younger and 
J28  50 older adults. The various models, however, should not be viewed as 
J28  51 necessarily competing but as potentially complimentary; elements of 
J28  52 each may be necessary to account for causal relationships in 
J28  53 different domains.<p/>
J28  54 <h_><p_>Unspecified Causal Mechanisms<p/><h/>
J28  55 <p_>Because causal inference demands a logical connection between 
J28  56 variables, and because causal mechanisms are important in treatment 
J28  57 decisions, the mechanisms of action of a causal variable (i.e., how 
J28  58 or in what manner the causal variable exerts its influence) must be 
J28  59 identified or at least amenable to reasonable hypotheses (Hyland, 
J28  60 1981). For example, we can hypothesize that aerobic conditioning 
J28  61 can reduce premenstrual distress (Gannon, 1985), hypertension 
J28  62 (Danforth, et al., 1990), depression (Doyne, Chambless, & Beutler, 
J28  63 1983), heart attacks (Dubbert, Rappaport, & Martin, 1987), and 
J28  64 obesity (Brownell & Foreyt, 1985). But, as noted in chapter 1, it 
J28  65 is important that the mechanisms of these hypothesized causal 
J28  66 relationships be identified. '<tf|>How does exercise reduce 
J28  67 premenstrual distress or hypertension?'<p/>
J28  68 <p_>Causal relationships with unspecified mechanisms may have 
J28  69 predictive and clinical efficacy. Consider the clinical utility of 
J28  70 a reliably identified causal relationship between aerobic 
J28  71 conditioning and hypertension, even if the causal mechanism is 
J28  72 unknown. However, the utility of any hypothesized causal 
J28  73 relationship is limited if the mechanism that underlies that 
J28  74 relationship is not articulated. Knowledge of a causal mechanism 
J28  75 helps us to identify the 'active components' of a causal 
J28  76 relationship, to refine our intervention procedures, and to develop 
J28  77 more effective and efficient interventions. Going back to our 
J28  78 exercise example, it is useful to know that moderate levels of 
J28  79 aerobic exercise can reduce premenstrual distress for some women 
J28  80 (Gannon, 1985). However, if we also identify a possible causal 
J28  81 mechanism for that relationship (e.g., that aerobic conditioning 
J28  82 increases receptor-site sensitivity to endogenous opiates that may 
J28  83 be released during premenstrual phases or affects prostaglandin 
J28  84 release), we can possibly develop other interventions that operate 
J28  85 through the same mechanism.<p/>
J28  86 <p_>However, the question of 'how' an hypothesized causal variable 
J28  87 affects the target behavior is too infrequently addressed in causal 
J28  88 models of behavior disorders. How does childbirth sometimes lead to 
J28  89 postpartum depression (Atkinson & Rickel, 1984)? How does a severe 
J28  90 threat to self-esteem sometimes lead to paranoid ideation (Haynes, 
J28  91 1986b)? How does sexual abuse of a child sometimes lead to 
J28  92 disturbed interpersonal relationships as an adult (Harter, 
J28  93 Alexander, & Neimeyer, 1988)? How do self-efficacy beliefs 
J28  94 sometimes influence a person's social interactions (Bandura, 
J28  95 1977a)? How does an 'accepting' and 'positive' client-therapist 
J28  96 relationship sometimes lead to a reduction in interpersonal 
J28  97 anxiety?<p/>
J28  98 <p_>In summary, many causal models of behavior disorders have 
J28  99 unspecified causal mechanisms. As a result, these models will (1) 
J28 100 be less likely to evolve into more powerful models, (2) have a 
J28 101 limited impact on our ability to explain behavior, and (3) have 
J28 102 limited utility for the development of more effective 
J28 103 interventions.<p/>
J28 104 <h_><p_>Unacknowledged Domains<p/><h/>
J28 105 <p_>As indicated in chapter 2, causal relationships are never 
J28 106 unconditional. They have domains (i.e., boundaries or necessary 
J28 107 conditions) outside of which the causal relationships are no longer 
J28 108 valid. In psychopathology, these domains include population 
J28 109 characteristics, internal states, developmental stages, variable 
J28 110 values, temporal factors, and environmental contexts. Domains may 
J28 111 apply to the types of causal variables related to the behavior 
J28 112 disorder as well as the strength and form of causal 
J28 113 relationships.<p/>
J28 114 <p_>Many causal models of behavior disorders fail to specify their 
J28 115 domains adequately. For example a causal model that suggests that 
J28 116 self-efficacy beliefs affect the probability of posttreatment 
J28 117 relapse (Marlatt, Baer, Donovan, & Kivlahan, 1988) should carefully 
J28 118 delimit the social context in which that proposed relationship is 
J28 119 applicable. Similarly, hormonal models of gender behavior should 
J28 120 specify the environmental conditions in which hormonal factors will 
J28 121 influence sexual orientation (Ellis and Ames, 1987). Also, it is 
J28 122 important to stipulate the conditions under which stimulus pairings 
J28 123 will produce a classically conditioned response (Rescorla, 1988; 
J28 124 Papini & Bitterman, 1990), defensiveness and withdrawal will lead 
J28 125 to long-term marital distress (Gottman & Krorkoff, 1989), a single 
J28 126 exposure to a stimulus will produce a phobic response (McNally, 
J28 127 1987), and social support will mediate the impact of environmental 
J28 128 stressors (Alloway & Bebbington, 1987).<p/>
J28 129 <p_>Unacknowledged domains can lead to several conceptual and 
J28 130 methodological errors. First, a causal relationship may erroneously 
J28 131 be presumed to be absent. This can occur when the causal model is 
J28 132 tested outside of its domain of operation. Second, domains can 
J28 133 provide information about causal mechanisms and an unspecified 
J28 134 domain restricts access to this information. For example, 
J28 135 long<?_>-<?/>duration and short-duration stressors may have 
J28 136 opposite effects on the immune system. Some studies have suggested 
J28 137 a strengthening of the immune system during brief stress and a 
J28 138 weakening during protracted stress (Miller, 1983), illustrating a 
J28 139 'chronicity' domain for the effects of the stressors. Examining 
J28 140 causal relationships within these chronicity domains may lead to a 
J28 141 better understanding of causal mechanisms involved in immune system 
J28 142 deficiencies. Therefore, unacknowledged domains restrict the 
J28 143 evolution of causal models.<p/>
J28 144 <p_>Third, undefined domains for causal relationships can lead to 
J28 145 inappropriate clinical applications. If negative outcome 
J28 146 expectancies contribute to the maintenance of depression, but not 
J28 147 its onset (a behavior disorder parameter domain), cognitive 
J28 148 intervention efforts may be more effective if used during 
J28 149 depressive episodes to reduce its duration than if used as a 
J28 150 prevention strategy between depressive episodes.<p/>
J28 151 <h_><p_>Excessively High Level<p/><h/>
J28 152 <p_>As noted in chapters 1 and 2, causal models of a behavior 
J28 153 disorder can be expressed at different levels. Furthermore, various 
J28 154 levels of causal models can be clinically and empirically useful, 
J28 155 depending on their intended application. Consider the utility of 
J28 156 both political-sociological and biological models of 
J28 157 post<?_>-<?/>traumatic stress disorders of Vietnam veterans. 
J28 158 However, there is probably a hyperbolic functional relationship 
J28 159 between the level of a causal model and its utility in that 
J28 160 excessively low and excessively high levels often have diminished 
J28 161 clinical utility for treating and preventing behavior disorders as 
J28 162 well as diminished predictive and explanatory utility. However, 
J28 163 behavioral scientists-practitioners err more frequently by 
J28 164 proposing excessively high-level models.<p/>
J28 165 <p_>As pointed out earlier the difficulty with a high-level causal 
J28 166 variable is that it includes many lower-level variables. Therefore, 
J28 167 higher-level variables and models do not permit distinction among 
J28 168 the multiple possible causal variables and paths that they 
J28 169 represent. For example, finding that 'marital distress' has a 
J28 170 strong causal relationship to a behavior disorder, such as 
J28 171 depression or alcoholism, has limited clinical utility because this 
J28 172 variable does not identify the specific forms, mechanisms, or 
J28 173 parameters responsible for the causal relationship. The active 
J28 174 elements in 'marital distress' can include hostile verbal 
J28 175 exchanges, physical abuse, sarcastic comments, defensiveness, 
J28 176 withdrawal, infrequent presence in the home, feeling unloved, 
J28 177 anxiety and emotional arousal, or lack of positive statements to 
J28 178 the spouse. Therefore, attributing a behavior disorder to 'marital 
J28 179 distress' provides only an <tf|>array of possible causal variables 
J28 180 and paths.<p/>
J28 181 <p_>High-level behavior-disorder constructs are also problematic. A 
J28 182 causal model for 'anxiety' is insufficiently specified because we 
J28 183 do not know if the model applies to physiological, subjective, 
J28 184 cognitive, or behavioral components of anxiety or to its onset, 
J28 185 magnitude, or duration (Bernstein, Borkovec, & Coles, 1986).<p/>
J28 186 <p_>Personality variables have played a prominent role in the 
J28 187 behavioral sciences but are particularly vulnerable to the 
J28 188 criticism of being dysfunctionally high level. Constructs such as 
J28 189 'locus of control,' 'hardiness,' 'authoritarianism,' 'need for 
J28 190 dependency,' 'assertiveness,' 'self-esteem,' 'Type A behavior 
J28 191 pattern,' 'emotional adjustment,' 'self-respect,' 'sexuality,' and 
J28 192 'need for achievement,' include so many possible lower-level 
J28 193 variables that they are rendered scientifically and clinically 
J28 194 debilitated. Personality variables suffer from an added 
J28 195 disadvantage as causal variables because they usually imply 
J28 196 stability across time and conditions and, therefore, are less 
J28 197 useful as explanations of variance in the parameters of behavior 
J28 198 disorders (Epstein, 1979, 1980).<p/>
J28 199 <p_>Less molar causal variables are also open to this criticism. 
J28 200 For example, it has been reliably demonstrated that there is a 
J28 201 causal association between 'exercise' and a variety of behavior 
J28 202 problems (e.g., response to stressors, hyper<?_>-<?/>tension). 
J28 203 However, at a lower level of analysis, it is apparent that some 
J28 204 types of exercise (i.e., weight lifting) can increase blood 
J28 205 pressure while others (e.g., jogging) can decrease it; exercise 
J28 206 early in the day can facilitate sleep onset while exercise later in 
J28 207 the day can inhibit it, and the mediating effects of exercise on 
J28 208 responses to psychosocial stressors may be related to the length of 
J28 209 time a person has been exercising. Again, the concept of 'exercise' 
J28 210 can be suggestive of causal relationships but requires lower-level 
J28 211 specification to facilitate the design of intervention programs.<p/>
J28 212 <p_>As with other elements of limited causal models, excessively 
J28 213 high-level causal variables also promote inferential and 
J28 214 measurement errors. Proposing a causal relationship between 
J28 215 'exercise' and response to psychological stressors, without more 
J28 216 precisely describing the relationship, increases the chance that it 
J28 217 will be measured at the wrong time of day, with the wrong sampling 
J28 218 rate, or with the wrong assessment instruments.<p/>
J28 219 <p_>Identifying higher-level causal variables can be a useful first 
J28 220 step in psycho<?_>-<?/>pathology research and treatment programs. 
J28 221 However, higher-level variables should be viewed as preliminary 
J28 222 'markers' for lower-level and more heuristic causal relationships. 
J28 223 Subsequent inquiry can increase the chance of identifying causal 
J28 224 variables and paths with greater clinical and empirical utility.<p/>
J28 225 <h|>Linearity
J28 226 <p_>Most causal models do not specify the mathematical form of 
J28 227 their functional relationships. Consequently, most applications and 
J28 228 tests of the models presume that the relationships are linear in 
J28 229 form. However, as noted by <}_><-|>umerous<+|>numerous<}/> scholars 
J28 230 and clinicians (e.g., Asher, 1976; Biddle & Marlin, 1987; Bishop, 
J28 231 Fienberg, & Holland, 1975; Blalock, 1964; Bridgman, 1931; Grove & 
J28 232 Andreasen, 1986, James et al., 1982; Miller, 1983), many functional 
J28 233 relationships adhere more closely to parabolic, sine-wave, log, 
J28 234 exponential, or other nonlinear forms.<p/>
J28 235 <p_>The main drawback to an erroneous presumption that a causal 
J28 236 relationship is linear in form is, again, an increased chance of an 
J28 237 inferential error - underestimating the strength of a causal 
J28 238 relationship. This can happen when statistical techniques based on 
J28 239 a presumed linear relationship are applied to date that are 
J28 240 nonlinear.
J28 241 
J29   1 <#FROWN:J29\><h_><p_>Conflict Talk:<p/>
J29   2 <p_>Sociolinguistic Challenges to Self-Assertion and How Young 
J29   3 Girls Meet Them<p/>
J29   4 <p_>Amy Sheldon<p/>
J29   5 <p_>University of Minnesota<p/>
J29   6 <p_>Cultural stereotypes which interpret girls as less forceful or 
J29   7 less assertive than boys in pursuing their own agendas, 
J29   8 particularly during conflict episodes, are questioned. A theory of 
J29   9 double-voice discourse is proposed to characterize a type of 
J29  10 conflict talk that has a dual orientation, in which speakers 
J29  11 negotiate their own agenda while simultaneously orienting toward 
J29  12 the viewpoint of their partner. In double-voice discourse, 
J29  13 self-assertion is enmeshed with addressee-oriented mitigation. 
J29  14 Examples of such discourse in 3- and 4-year-old middle-class white 
J29  15 girls' conflict talk are analyzed. Gender differences in conflict 
J29  16 talk are seen to be contextualized variations that reflect 
J29  17 differences in the organization of same-sex groups. Girls' use of 
J29  18 the pretend frame in negotiating is discussed. Also highlighted is 
J29  19 the importance of analyzing children's language in the context of 
J29  20 conversational turns in order to develop a fuller interpretation of 
J29  21 utterances.<p/><h/>
J29  22 <p_>This paper is an investigation of how young girls argue during 
J29  23 social play, the kinds of tactics they use to further their own 
J29  24 interests in disputes. As Maccoby (1986) pointed out, <quote_>"we 
J29  25 have a clearer picture of what girls' groups do <tf|>not do than 
J29  26 what they <tf|>do do"<quote/> (p.271). She called for <quote_>"a 
J29  27 more clearly delineated account of interaction in female social 
J29  28 groups"<quote/> (p. 271). Such an account requires description of 
J29  29 the ways in which language creates and maintains social 
J29  30 relationships among girls in everyday conversation.<p/>
J29  31 <p_>A theory of <tf_>double-voice discourse<tf/> (name taken from 
J29  32 Bahktin, 1929) is proposed to describe a linguistic style in white, 
J29  33 middle-class, preschool girls' social interactions. The term points 
J29  34 to a principle of dual orientation that shapes the agenda and style 
J29  35 of their conflict talk. One of the speaker's orientations is toward 
J29  36 her own agenda, toward the self. It asserts the speaker's own 
J29  37 wishes and proposes activities that are in the speaker's interest. 
J29  38 The other orientation is toward the other members of the group. As 
J29  39 a result, self-assertion is enmeshed in an orientation toward the 
J29  40 other. Self<?_>-<?/>assertion is thus regulated and contextualized 
J29  41 by the speaker's relationship<?_>-<?/>centered orientation.<p/>
J29  42 <p_>A theory of double-voice discourse captures the linguistic 
J29  43 complexity and creativity with which young girls manage disputes. 
J29  44 It also raises questions for traditional beliefs about femininity 
J29  45 and masculinity, which treat gender as a polarity or a comparison 
J29  46 of opposites. Such traditional views of gender are ill-conceived 
J29  47 and inadequate to develop an account of girls' sociolinguistic 
J29  48 interaction. Gender and context are confounded (Goodwin, 1980; 
J29  49 Sheldon, 1990; Thorne, 1990). We can best see how talk is gendered 
J29  50 if we take into consideration the context in which it emerges 
J29  51 (e.g., the sex of the speakers and what the speakers are trying to 
J29  52 accomplish). Considering children's talk from the perspective of 
J29  53 gender has the advantage of raising methodological issues that 
J29  54 focus attention on how we study children's language.<p/>
J29  55 <p_>First, I will raise concerns about androcentric interpretations 
J29  56 in some recent research on gender differences in children's talk. 
J29  57 Next, I will describe the theory of double-voice discourse and 
J29  58 relate it to children's solidarity-based task orientation. I will 
J29  59 then discuss methodological advantages of a qualitative approach to 
J29  60 the study of children's discourse and analyze examples of preschool 
J29  61 girls' conflict talk to show how double<?_>-<?/>voice discourse can 
J29  62 be read from them. I will conclude with remarks on the study of 
J29  63 language and gender.<p/>
J29  64 <p_><tf_>Gender and conflict<tf/>. In most parts of American 
J29  65 society women's conflict talk is constrained by the expectation 
J29  66 that they will be 'nice.' 'Tough' talk, hard bargaining, and 
J29  67 'confrontational' talk is taboo for women. Men, however, have the 
J29  68 license to argue in directly demanding ways. They can engage in 
J29  69 unmitigated rivalry. Women are criticized if they speak as men do 
J29  70 (Campbell, 1988, 1989; Coates, 1987b; Lakoff, 1975; Thorne, 
J29  71 Kramarae, & Henley, 1983). Consequently, social talk which is 
J29  72 considered ordinary 'assertive' talk for men is likely to be 
J29  73 perceived as 'confrontational,' 'bossy' (or worse) when uttered by 
J29  74 women. Does the talk of very young girls show evidence of the 
J29  75 cultural taboo on tough talk? How do young girls express themselves 
J29  76 in assertive ways while they keep to the cultural mandate that they 
J29  77 not be 'too assertive'?<p/>
J29  78 <p_>It is difficult to describe the full range of girls' and 
J29  79 <}_><-|>womens'<+|>women's<}/> talk without echoing stereotypical 
J29  80 thinking about feminine and masculine behavior. Our thinking about 
J29  81 conflict has an androcentric bias. As a society, we view aggression 
J29  82 as the conflict norm. Equating conflict with aggression, however, 
J29  83 does not fully capture how girls argue. The dispute management norm 
J29  84 for girls is different from that for boys (Goodwin & Goodwin, 
J29  85 1987). Expecting conflict to have an aggressive component can 
J29  86 prevent us from even noticing conflict in girls' groups in which a 
J29  87 more subdues, yet nonetheless assertive, conflict style is 
J29  88 common.<p/>
J29  89 <p_>If we reconsider verbal conflict by focusing on feminine 
J29  90 conflict styles, there are several interesting consequences. First, 
J29  91 we must ask what agency, self-assertion, and power mean for 
J29  92 females, because looking at conflict through an androcentric lens 
J29  93 hides feminine agentic behavior and obscures the dynamics of 
J29  94 feminine power. Second, we see the constructive and facilitative 
J29  95 aspects of double-voice conflict, which is attentive to the social 
J29  96 cost of self-assertion, in contrast to the constrictive and even 
J29  97 destructive aspects of single-voice, baldly aggressive conflict, 
J29  98 which is enacted with little regard to social cost. Finally, we 
J29  99 gain a much clearer understanding of interaction in female 
J29 100 groups.<p/>
J29 101 <p_><tf_>Some problems with research on gender differences in 
J29 102 children's conflict talk.<tf/> In a review of the literature of 
J29 103 gender differences in children's language and language development, 
J29 104 Klann-Delius (1981) concluded that this area is in <quote_>"dire 
J29 105 need of being developed."<quote/> Two recent quantitative studies 
J29 106 have observed the way that young children's talk is gendered. 
J29 107 Miller, Danaher, and Forbes (1986) studied over 1,000 quarrels by 
J29 108 24 racially and socioeconomically mixed 5- to 7-year-old children. 
J29 109 They concluded that <quote_>"boys are more concerned with and more 
J29 110 forceful in pursuing their own agendae, and girls are more 
J29 111 concerned with maintaining interpersonal harmony"<quote/> (p. 543). 
J29 112 What led the authors to the interpretation that boys were more 
J29 113 <quote|>"forceful" in trying to get their own way is that their 
J29 114 dispute style was more heavy-handed than girls'. Boys used more 
J29 115 threats and physical force. By contrast, girls were interpreted as 
J29 116 more concerned with maintaining group harmony because they used 
J29 117 more conflict-mitigating strategies, such as compromise, evasion, 
J29 118 acquiescence, and clarification of intent.<p/>
J29 119 <p_>This conclusion by Miller et al. (1986) is influenced by 
J29 120 traditional views of gender hierarchy. It implies that girls are 
J29 121 not as self-assertive as boys because (a) when measured against the 
J29 122 masculine norm for conflict, which is coercive, girls do not use as 
J29 123 much verbal brute force to get what they want; and (b) part of 
J29 124 girls' agenda is to be empathic, and empathy presumably limits 
J29 125 self-assertion. To describe the boys as <quote_>"more 
J29 126 forceful"<quote/> in pursuing their own agenda is ambiguous as well 
J29 127 as politically loaded. It is ambiguous because <tf|>forceful means 
J29 128 both 'effective' as well as <quote_>"overpowering ... using 
J29 129 force."<quote/> It is political because it implies that girls are 
J29 130 not as effective as boys in conflict situations; hence, girls are 
J29 131 not good at verbally managing conflict, at furthering their own 
J29 132 interests when opposed by someone. It is also a political 
J29 133 conclusion because it values and emphasizes a masculine mode of 
J29 134 brute force over a feminine mode of conflict mitigation. A 
J29 135 different conclusion about feminine conflict style is possible, 
J29 136 however; one that values the feminine conflict process and does not 
J29 137 interpret it as weakness, as something 'less' than the masculine 
J29 138 mode. From such a perspective, mitigation can be understood as 
J29 139 functioning to tone down coercion and domination, to bring about 
J29 140 adjustment and accord, and to restore group function. Girls and 
J29 141 women are skillful at negotiating constructive conflicts. This view 
J29 142 permits us to ask what important effects a constructive conflict 
J29 143 process has on how girls' groups function.<p/>
J29 144 <p_>To say that boys are <quote_>"more forceful"<quote/> 
J29 145 persuaders, or <quote_>"more assertive"<quote/> (Sachs, 1987), 
J29 146 overlooks the very important work that mitigation does to further 
J29 147 self-assertion in the conflict process and reinforces cultural 
J29 148 stereo<?_>-<?/>types that portray girls and women as submissive, 
J29 149 ineffective, and weak. It equates effectiveness in conflicts with 
J29 150 aggression. It measures self<?_>-<?/>assertion and independence too 
J29 151 narrowly. To remedy this, I propose that the term <tf|>coercive be 
J29 152 used to describe only the heavy-handed conflict style. This frees 
J29 153 the word <tf|>forceful, meaning effective, to describe girls' (and 
J29 154 boys') moderate conflict styles.<p/>
J29 155 <p_>In another study of gender differences in children's talk, 
J29 156 Leaper (1991) analyzed the conversations of 138 middle to 
J29 157 upper-middle class 4- to 9-year-old children in either same- or 
J29 158 mixed-sex dyads. Leaper's findings are consistent with those of 
J29 159 Miller et al. (1986). Girls used more <tf|>collaborative speech 
J29 160 acts, defined as <quote|>"direct" and <quote|>"affiliative" (e.g., 
J29 161 invitations to play, constructive offers, mutual affirmations). 
J29 162 Boys used more <tf|>controlling speech acts, defined as 
J29 163 <quote|>"direct" and <quote|>"distancing" (e.g., insults, orders, 
J29 164 refutations, and nonacceptance). Leaper (1991) hypothesizes,<p/>
J29 165 <p_><quote_>Given that girls have been found to demonstrate more 
J29 166 mutual coordination, responsivity, and elaboration in their 
J29 167 conversations ... the female pairs were expected to use more 
J29 168 affiliative speech acts ... and demonstrate more cooperative 
J29 169 exchanges compared to male pairs. In contrast, since boys have been 
J29 170 observed to be more demanding and domineering in their interactions 
J29 171 than girls, ... male dyads were hypothesized to display more 
J29 172 controlling speech acts and more domineering exchanges. (p. 
J29 173 800)<quote/><p/>
J29 174 <p_>The girls and boys in these two studies actually used both 
J29 175 self-assertive and supportive speech. But because there was a 
J29 176 significant difference in the comparisons of interest, it is easy 
J29 177 to lose sight of the similarities between girls and boys and to be 
J29 178 left with the differences, despite the efforts of the authors to 
J29 179 stress similarities. To address this problem in the study of 
J29 180 conflict talk, disputes can be described, instead, in a way which 
J29 181 better captures the complexity of girls' talk, thus revealing the 
J29 182 imaginative and elaborate ways in which girls are self-assertive 
J29 183 and powerful within the constraint of being relationship 
J29 184 oriented.<p/>
J29 185 <p_>Conflict is a contest of wills. Feminine conflict, because it 
J29 186 requires the overlay of mitigation to avoid jeopardizing 
J29 187 interpersonal harmony, asks for more sociolinguistic sensitivity 
J29 188 than the more direct masculine conflict style. In fact, Sachs 
J29 189 (1987) found that preschool girls have learned already how to 
J29 190 assert themselves <quote_>"with a smile."<quote/> Camras (1984) 
J29 191 studied what she identified as dominant and subordinate 
J29 192 middle-class children in pre<?_>-<?/>school, kindergarten, and 
J29 193 second grade. Dominant boys were much less polite than subordinate 
J29 194 girls or boys, but they were also much less polite than dominant 
J29 195 girls. Camras (1984) interprets these results as showing that 
J29 196 dominant girls <quote_>"are gradually socialized to mask their 
J29 197 exercise of power during conflicts with use of polite 
J29 198 language"<quote/> (p. 263).<p/>
J29 199 <p_>That girls and women are prescribed to assert themselves in a 
J29 200 way that is responsive to others has been noted by Carol Gilligan 
J29 201 (1987) and Jean Baker Miller (1986). This means that feminine 
J29 202 agency functions in a different way than masculine agency, not that 
J29 203 females are less agentic than males. Feminine self-assertion 
J29 204 requires responsiveness to others, whereas masculine agency does 
J29 205 not necessarily do so. The self-in-relation models of feminine 
J29 206 groups proposed by Miller and by Gilligan also predict less 
J29 207 hierarchical power relationships in female groups in contrast to 
J29 208 the masculine model in which power is a relation of domination over 
J29 209 others.<p/>
J29 210 <p_><tf_>Double-voice discourse<tf/>. Double-voice discourse is a 
J29 211 talk style that is predicted by the self-in-relation model of 
J29 212 feminine development (Gilligan, 1987; Miller, 1986). The term 
J29 213 <tf|>double refers to the perspective-taking stance of this style 
J29 214 in which the speaker expresses a double orientation or double 
J29 215 alignment. The primary orientation is to the self, to one's own 
J29 216 agenda. The other orientation is to the members of the group. The 
J29 217 orientation to others does not mean that the speaker necessarily 
J29 218 acts in an altruistic, accommodating, or even self-sacrificing 
J29 219 manner. It means, rather, that the speaker pays attention to the 
J29 220 companion's point of view, even while pursuing her own agenda. As a 
J29 221 result, the voice of the self is enmeshed with and regulated by the 
J29 222 voice of the other.<p/>
J29 223 <p_>Double-voice discourse is the norm in groups that are 
J29 224 solidarity based. The best example of such groups are girls' (or 
J29 225 women's) groups. Their social orientation is more often or more 
J29 226 consistently relationship centered.
J29 227 
J30   1 <#FROWN:J30\><h_><p_>Recovery of traumatic memories leads to 
J30   2 reintegration of the split and isolated multiples.<p/><h/>
J30   3 <p_>There is another aspect to Freud's early belief that the cure 
J30   4 of neurosis lies in the remembrance of traumatic experiences. There 
J30   5 is no other treatment that so stresses remembering, and there is no 
J30   6 religion other than Judaism that makes a religious duty of 
J30   7 remembrance of traumatic events. <quote_>"You shall not forget that 
J30   8 your forefathers were slaves in Egypt and you shall teach it to 
J30   9 your children and to your children's children"<quote/> is one of 
J30  10 the cardinal commandments of Judaism. The Pass-over Seder is a 
J30  11 dramatization of that traumatic event and the redemption from it, 
J30  12 so that it will not be forgotten. The Jew must remember that his 
J30  13 forefathers were slaves. Freud repudiated Judaism as a religion and 
J30  14 consciously was an atheist who followed no religious practices or 
J30  15 ceremonies; however, he never repudiated his identity as a Jew or 
J30  16 his cultural adherence to Judaism. On the contrary, he was proud of 
J30  17 it. I would suggest that the psychoanalytic emphasis on remembering 
J30  18 as the essence of the cure was a return of the repressed or perhaps 
J30  19 a return of the disavowed that was in part determined by the 
J30  20 unconscious part of Freud's identity as a Jew. This, of course, 
J30  21 does not affect the theoretical validity or the degree of practical 
J30  22 utility of the cure through remembering, nor does it deny the 
J30  23 clinical inspiration for the theory. Theories, like all 
J30  24 psychological states and products, are, to use another Freudian 
J30  25 concept, overdetermined; that is, they have many causes. The source 
J30  26 of an idea has nothing to do with its value; to think so is to 
J30  27 commit a genetic fallacy. After I wrote this, I came across Yosef 
J30  28 Hyman Yerushalmi's brilliant and moving <tf_>Freud's Moses: Judaism 
J30  29 Terminable and Interminable<tf/> (1991), in which he expresses a 
J30  30 similar understanding of the origin of some of Freud's 
J30  31 psychoanalytic theorizing.<p/>
J30  32 <p_>Breuer, the third of Freud's spiritual fathers broke with him 
J30  33 over the issue of sexuality. Love turned to hate, or, more 
J30  34 accurately, the flip side of Freud's ambivalence toward fathers 
J30  35 came to the fore, and Freud found it necessary to cross the street 
J30  36 when he saw Breuer, his presence being so distasteful to Freud. 
J30  37 There followed a period of lonely isolation during which Freud met 
J30  38 and fell in love with Wilheim Fleiss, a charismatic Berlin 
J30  39 internist to whom he was related by marriage. Freud was neither the 
J30  40 first nor the last to be fascinated by Fleiss. Confident, 
J30  41 successful, and uncritically admired by many, Fleiss was just what 
J30  42 Freud needed. Brilliant, if erratic and eccentric in his ideas, 
J30  43 Fleiss was receptive to Freud's otherwise and otherwhere unwelcome 
J30  44 theorizing. Fleiss had a mesmerizing charm and was probably more 
J30  45 than a little crazy. His theory that all illnesses were caused by 
J30  46 nasal disorders, the nose being a sexual organ, has found little 
J30  47 scientific support, nor has his belief that all natural phenomena 
J30  48 could be accounted for by combinations and permutations of the 
J30  49 female (28-day) and male (23-day) cycles. Fliess's pseudoscientific 
J30  50 numerology probably owes an unconscious debt to cabalistic number 
J30  51 mysticism - altogether, an unlikely consort for the Helmholtzian, 
J30  52 scientifically rigorous Freud, but the heart has its reason, and a 
J30  53 passionate relationship developed between the two men. Their 
J30  54 contact was mostly through their correspondence, occasionally 
J30  55 punctuated by <tf_>congresses<tf/>, Freud's term for their 
J30  56 anxiously anticipated meetings, a term that suggests both 
J30  57 grandiosity and sexuality. Reading Freud's side of their 
J30  58 correspondence, which is all that has survived (Freud, 1985), we 
J30  59 get a sense of intense intellectual excitement: here are two men 
J30  60 approaching 40 who sound like adolescents who have just discovered 
J30  61 the world of ideas, with all the passion and excitement that goes 
J30  62 with that discovery. Of course, Fliess's excitement is an inference 
J30  63 from Freud's letters, but it certainly appears to be there. Freud's 
J30  64 letters to Fliess are a depiction of life of the educated Jewish 
J30  65 middle class of late 19th-century Vienna that have all the 
J30  66 vividness and richness of a great novel. Sentences filled with 
J30  67 Freud's deep love of children alternate with sarcastic comments on 
J30  68 his academic rivals, discussion of current political events, and 
J30  69 theoretical 'drafts'. The overall effect is exhilarating. Freud's 
J30  70 early theories about neurosis, anxiety, and the role of sexuality 
J30  71 are all given trial balloons in the drafts he sent to Fliess. The 
J30  72 most extensive of the drafts is Freud's 'Project for a Scientific 
J30  73 Psychology' (1895/1950), which he abandoned and never published. It 
J30  74 is a brilliant attempt to give a quantitative neurological 
J30  75 explanation of psychological states and of psychopathology. It was 
J30  76 Freud's last attempt to reduce psychology to physiology. Although 
J30  77 he never abandoned the belief that a neurochemical explanation of 
J30  78 mental events was possible, he himself turned to purely 
J30  79 psychological explanations to account for both normal and 
J30  80 pathological events. It is true that his psychological models and 
J30  81 accounts retain a physicalistic basis, and much of Freud's 
J30  82 theorizing is based on a <quote_>"hydraulic model"<quote/> of 
J30  83 forces, pressures, flows, and blockages. It is a model based on 
J30  84 19th-century physics. It is also true that his theorizing becomes 
J30  85 more and more a theory about meaning, and about relationships, and 
J30  86 becomes truly psychological rather than pseudopsychological 
J30  87 physics.<p/>
J30  88 <p_>During Freud's almost two-decade-long relationship with Fliess, 
J30  89 he suffered a <quote_>"considerable psycho-neurosis"<quote/> 
J30  90 (Jones, 1961, p. 198) himself. Freud's emotional pain drove him to 
J30  91 undertake his self-analysis, in which Fliess served as a sort of 
J30  92 analyst by mail, and more important, was a transference figure 
J30  93 eliciting all of Freud's intense feelings of love and hate for his 
J30  94 father. Although it is unlikely that the two men were actually 
J30  95 lovers, there is no question that Wilheim Fliess was the great love 
J30  96 of Freud's life.<p/>
J30  97 <p_>In the course of his self-analysis and his relationship with 
J30  98 Fliess, Freud 'discovered' the Oedipus complex and wrote what is 
J30  99 usually considered his most important work, <tf_>Interpretation of 
J30 100 Dreams<tf/> (1900/1953a). In analyzing his dreams, Freud came to 
J30 101 see that dreams have the same structure as symptoms. They too are 
J30 102 disguised expressions of forbidden wishes. He concluded that all 
J30 103 dreams are wish fulfillments. In the course of his self-analysis, 
J30 104 he discovered much about himself: about his intense rivalry with 
J30 105 and ambivalence toward his father; about his murderous feelings 
J30 106 toward his infant brother, Julius; about his drivenness; and about 
J30 107 his narcissistic vulnerability.<p/>
J30 108 <p_>The dreams reported in <tf_>Interpretation of Dreams<tf/> make 
J30 109 a unique contribution to the autobiographical literature of the 
J30 110 West. They expand the account of self to include a new dimension. 
J30 111 The self asleep - at least while dreaming - now becomes an integral 
J30 112 part of self. Descartes's questions about distinguishing dreams and 
J30 113 waking reality as a vital component of reality testing become 
J30 114 irrelevant, and Locke's concern about the continuity of self during 
J30 115 sleep is seen in a new light: dream consciousness is just as much 
J30 116 consciousness, just as integral to the self, as waking 
J30 117 consciousness. The injunction <quote_>"Know Thyself"<quote/> 
J30 118 changes in meaning as the locus of self shifts to that which is not 
J30 119 known, to the unconscious as represented in disguised and distorted 
J30 120 forms in the dream.  The self is now more unknown and unknowable, 
J30 121 apart from undergoing the rigors of analysis, than hitherto 
J30 122 believed. Freud's technique of dream analysis is double-edged: on 
J30 123 the one hand, it gives us a tool for knowing the self; on the other 
J30 124 hand, it reveals a new, unknown territory that must be reclaimed 
J30 125 before the self can be either known or integral.<p/>
J30 126 <p_>Having gone public in a unique, if partial and selective, way, 
J30 127 Freud put an important part, by his lights the most important part, 
J30 128 of himself up for scrutiny by any and all; and indeed his dreams 
J30 129 have been interpreted and reinterpreted in a bewildering variety of 
J30 130 ways, both from within and from without the psychoanalytic 
J30 131 movement. One of the most fascinating perspectives on Freud's 
J30 132 dreams is that of Carl Schorske (1980), who looks at their 
J30 133 political meaning and significance and sees Freud as 
J30 134 <quote|>"regressing" from the political (adult's) to the familial 
J30 135 (child's) world, from external reality to internal reality, because 
J30 136 of the disintegration of the Austrian-Hungarian empire, its series 
J30 137 of defeats in war, and growing dissension, corruption, and 
J30 138 decadence; also, increasingly virulent anti-Semitism (Karl Lueger 
J30 139 was installed as the anti-Semitic mayor of Vienna just as 
J30 140 <tf_>Interpretation<tf/> was published) made action in the outer 
J30 141 world increasingly futile and hopeless. Freud's dreams do indeed 
J30 142 have many political references, and Freud like Plato before him 
J30 143 takes the relation between social classes as representative of, or 
J30 144 isomorphic to, the relationships of the parts of the psyche. 
J30 145 Additionally, Freud's metaphors of self and mind are consistently 
J30 146 political, and even sometimes military: defense, resistance, 
J30 147 occupation, and drive.<p/>
J30 148 <p_>Schorske interprets what Freud calls the <tf_>manifest 
J30 149 dream<tf/>, the dream as dreamt, which Freud distinguishes from the 
J30 150 <tf_>latent dream<tf/> , which is where his interest lies. In 
J30 151 Freud's theory of the mechanism of dreams (which serves as a 
J30 152 paradigm for his theory of mind in the sense of self) the dream 
J30 153 thoughts that are forbidden childhood wishes, derivative of drives 
J30 154 (instinctual energies) striving for discharge, are 
J30 155 <quote|>"converted" by the <tf_>dream work<tf/> into the manifest 
J30 156 dream through the mechanisms of displacement, condensation, 
J30 157 symbolization, visualization, and secondary revision. The task of 
J30 158 dream interpretation is to work backwards from the manifest dream 
J30 159 to the latent dream thoughts by listening to the dreamer's 
J30 160 association to each dream element. Secondary revision is the mind's 
J30 161 reworking of the dream material to give it more apparent sense and 
J30 162 continuity than it possesses, that is, to give the dream a better 
J30 163 story line. Dreams make use of current materials (the <quote_>"day 
J30 164 residue"<quote/>) but always equally, or more than equally, 
J30 165 represent in distorted form the events and desires of childhood. 
J30 166 Dreams are always egoistic. The censor imposes the dreamwork on the 
J30 167 latent dream thoughts so they do not arouse so much anxiety as to 
J30 168 wake the dreamer.<p/>
J30 169 <p_>Freud has now moved from psychopathology to a normal 
J30 170 psychological phenomenon, dreaming, and found that dreams are 
J30 171 compromise formations in just the same way as symptoms. He is now 
J30 172 in a position to expound a general psychology, an omni-applicable 
J30 173 account of human nature. In the years following the 
J30 174 <tf_>Interpretation of Dreams<tf/>, Freud went on to apply his 
J30 175 paradigm to jokes, art, hallucinations, religion, and culture in 
J30 176 general, finding each to have the same basic structure as 
J30 177 compromises and disguised wish fulfillments.<p/>
J30 178 <p_>In the famous <quote_>"specimen dream of 
J30 179 psychoanalysis"<quote/>, the dream of Irma's injection, Freud for 
J30 180 the first time subjects a dream of his own to analysis. In the 
J30 181 dream, the dreamer is in a large reception hall receiving guests, 
J30 182 including Irma, who is a former patient who is still ill. By the 
J30 183 time the dream ends, Irma's continued illness is blamed on at least 
J30 184 three other persons, including one who represents Breuer, Freud 
J30 185 interprets the dream wish as the desire to be blameless as well as 
J30 186 to pay back some old scores. Irma in real life was Emme Eckstein, 
J30 187 whom Fliess had operated on for <quote_>"nasal neurosis"<quote/> 
J30 188 (which was plain madness), an intrusive application of his wild 
J30 189 theory to a human being. To make matters worse, he left the packing 
J30 190 in, which infected (long before antibiotics) and almost killed the 
J30 191 patient, who suffered the torments of the damned and was given 
J30 192 psychological interpretation of her difficulties by Freud. Freud 
J30 193 told her that her symptoms were a holding onto her illness, which 
J30 194 was a manifestation of her negative transference to him. Freud's 
J30 195 dream was certainly an attempt to find himself guiltless by 
J30 196 projecting blame for Irma's difficulties onto others, but Freud 
J30 197 missed the main thrust, the deepest wish, behind the dream: to find 
J30 198 Fliess blameless in order to protect his (Freud's) idealized love 
J30 199 object from contamination and devaluation. Freud missed the motive 
J30 200 power of our need for ideal objects, for perfect lovers with whom 
J30 201 we can identify and perhaps merge. Fliess was such an ideal object 
J30 202 for him. If Fliess was a transference object, as according to 
J30 203 Freud's theory he had to be, then it was his father who was to be 
J30 204 protected from the charge of injuring a woman. The childhood wish 
J30 205 represented in distorted form in the dream was his wish that Father 
J30 206 be perfect and blameless.
J30 207 
J31   1 <#FROWN:J31\><p_><h_>THE TIMING OF AN INTERPRETATION<p/>
J31   2 <p_>A Comparative Review of an Aspect of the Theory of Therapeutic 
J31   3 Technique<p/>
J31   4 <p_>Lawrence Josephs<p/><h/>
J31   5 <p_>Interpretation in psychoanalysis is often considered to be as 
J31   6 much an art as a science. And perhaps the most intuitive aspect of 
J31   7 interpretive work, an aspect that is crucial to therapeutic 
J31   8 outcome, is the timing of an interpretation. When do we interpret 
J31   9 the transference? When do we interpret resistance? How deeply do we 
J31  10 interpret? (And by 'deep' do we mean highly defended-against 
J31  11 material, archaic fantasy, or early life historical events?) When 
J31  12 would we simply empathize with the phenomenology of conscious 
J31  13 self-experience and when should we confront and challenge 
J31  14 resistance to discussing anxiety<?_>-<?/>laden unconscious 
J31  15 conflict? By what criteria do we define an interpretation as 
J31  16 premature or perhaps as too late? To what degree is the timing of 
J31  17 an interpretation dependent on the presence of a prerequisite 
J31  18 atmosphere of safety? How do we assess whether early interpretation 
J31  19 of latent negative transference will either strengthen or impair 
J31  20 the formation of a working alliance? The answers to these questions 
J31  21 are partially based on the analyst's evaluation of the particular 
J31  22 dynamics of the individual patient, yet to a large degree the 
J31  23 answers to such questions derive from the analyst's theory of 
J31  24 therapeutic technique. Although timing is in many respects 
J31  25 dependent on the analyst's intuitive grasp of a unique analytic 
J31  26 moment and is informed by past experience conducting analyses, the 
J31  27 analyst's theory of therapeutic technique provides a preconscious 
J31  28 sensibility that quietly guides the analyst's intuition as to the 
J31  29 proper timing of an interpretation. In other words, intuition is 
J31  30 partially derivative of a preconscious theory-derived rationale. It 
J31  31 is preconscious in the sense that one's theory of therapeutic 
J31  32 technique is not, for the most part, subject to repression, denial, 
J31  33 or disavowal but nevertheless operates prereflectively, often 
J31  34 without explicit conscious formulation.<p/>
J31  35 <p_>For the purpose of this paper interpretation will be defined in 
J31  36 the broadest sense as the provision of verbal feedback which aims 
J31  37 at increasing the patient's self-understanding. Thus, 
J31  38 clarification, empathic reflection, and confrontation will be 
J31  39 considered as forms of interpretive activity in addition to the 
J31  40 more narrow definition of interpretation that involves linking 
J31  41 transference manifestations in the here and now to genetic 
J31  42 constellations deriving from the there and then. The timing of an 
J31  43 interpretation refers to the sequencing and pacing of one's 
J31  44 interpretive activity and as such reflects a pre<?_>-<?/>conscious 
J31  45 interpretive strategy; continually modified as it will be by the 
J31  46 vicissitudes of the ongoing therapeutic interaction. The purpose of 
J31  47 this paper will be to review, compare, and contrast recommendations 
J31  48 concerning the timing of an interpretation that derive from diverse 
J31  49 theories of therapeutic technique and offer an integrative overview 
J31  50 in the service of resolving some of the disputes under 
J31  51 discussion.<p/>
J31  52 <h_><p_>FOUNDATIONAL MODELS<p/>
J31  53 <p_>The Topographic and Psychodynamic Approaches<p/><h/>
J31  54 <p_>The original theory of how to time an interpretation is to be 
J31  55 found in Freud's (1911, 1912a, 1912b, 1913, 1914, 1915) seminal 
J31  56 papers on technique which were based primarily on his topographic 
J31  57 and psychodynamic models, having been written prior to the 
J31  58 introduction of the structural model in 1923. Well-known 
J31  59 psychoanalytic aphorisms informing the timing of an interpretation 
J31  60 derive from these papers, including the principles that one should 
J31  61 always work from surface to depth and that one should always 
J31  62 interpret resistance before content. In these papers, resistance 
J31  63 emerged as the key concept on which the assessment of the proper 
J31  64 timing of an interpretation must be based. Resistance to free 
J31  65 association was conceived of as a surface phenomenon that blocked 
J31  66 access to greater depth. According to Freud (1914), the analyst 
J31  67 <quote_>"contents himself with studying whatever is present for the 
J31  68 time being on the surface of the patient's mind, and he employs the 
J31  69 art of interpretation mainly for the purpose of recognizing the 
J31  70 resistances which appear there, and making them conscious to the 
J31  71 patient"<quote/> (p. 147). Resistance analysis was seen as the 
J31  72 primary technique through which the analyst helped the unconscious 
J31  73 to become conscious.<p/>
J31  74 <p_>Freud discovered in his psychoanalytic work that resistance to 
J31  75 the uncovering of unconscious contents was a ubiquitous phenomenon. 
J31  76 Patients blocked introspective understanding of unconscious 
J31  77 conflicts in inhibiting the flow of free association and they would 
J31  78 not accept the analyst's interpretation of unconscious contents, be 
J31  79 it forbidden wishes or painful memories, until the analyst had 
J31  80 interpreted the resistance to the awareness of such warded-off 
J31  81 contents. If one interpreted prematurely (i.e., too deeply) or too 
J31  82 late (i.e., too superficially) resistance was exacerbated rather 
J31  83 than ameliorated.<p/>
J31  84 <p_>Expecially pertinent to the timing of an interpretation was a 
J31  85 consideration of the dynamics of the transference. The art of 
J31  86 correct timing largely focuses on the problem of overcoming the 
J31  87 resistance to free association, and the major form of resistance is 
J31  88 invariably to be found in the transference:<p/>
J31  89 <p_><quote_>Over and over again, when we come near to a pathogenic 
J31  90 complex, the portion of that complex which is capable of 
J31  91 transference is first pushed forward into consciousness and 
J31  92 defended with the greatest obstinacy .... These circumstances tend 
J31  93 towards a situation in which finally every conflict has to be 
J31  94 fought out in the sphere of transference.<quote/> (Freud, 1912b, p. 
J31  95 104)<p/>
J31  96 <p_>In terms of the relationship of the timing of an interpretation 
J31  97 to the nature of the transference, Freud (1913) gave this 
J31  98 recommendation:<p/>
J31  99 <p_><quote_><tf_>So long as the patient's communications and ideas 
J31 100 run on without any obstruction, the theme of transference should be 
J31 101 left untouched.<tf/> One must wait until the transference, which is 
J31 102 the most delicate of all procedures, has become a 
J31 103 resistance.<quote/> (p. 139)<p/>
J31 104 <p_>Yet, before transference can be interpreted as a resistance, 
J31 105 there is a crucial preparatory phase that must occur if 
J31 106 interpretation is to be effective at all:<p/>
J31 107 <p_><quote_>When are we to begin making our communications to the 
J31 108 patient? ... The answer can only be: Not until an effective 
J31 109 transference has been established in the patient, a proper 
J31 110 <tf|>rapport with him. It remains the first aim of the treatment to 
J31 111 attach him to it and to the person of the doctor. To ensure this, 
J31 112 nothing need be done but to give him time. If one exhibits a 
J31 113 serious interest in him, carefully clears away the resistances that 
J31 114 crop up at the beginning and avoids making certain mistakes, he 
J31 115 will of himself form such an attachment.<quote/> (Freud, 1913, p. 
J31 116 139)<p/>
J31 117 <p_>Part of what makes for an effective interpretation is not only 
J31 118 the correct content of the interpretation but the nature of the 
J31 119 transference at the time the interpretation is made: <quote_>"The 
J31 120 patient, however, only makes use of the instruction in so far as he 
J31 121 is induced to do so by the transference; and it is for this reason 
J31 122 that our first communication should be withheld until a strong 
J31 123 transference has been established"<quote/> (Freud, 1913, p. 
J31 124 144).<p/>
J31 125 <h_><p_>The Structural Viewpoint<p/><h/>
J31 126 <p_>Freud discovered that resistance analysis was no easy task. 
J31 127 Although resistance is closer to the surface than the wishful 
J31 128 impulses and painful memories whose expression resistance serves to 
J31 129 inhibit, resistance itself is nevertheless a deeply unconscious 
J31 130 phenomenon for which there is no ready access to awareness. In 
J31 131 other words, there is <tf|>always resistance to the awareness of 
J31 132 resistance. In the structural model, resistance was traced to the 
J31 133 unconscious defensive activities of the ego:<p/>
J31 134 <p_><quote_>There can be no question but that this resistance 
J31 135 emanates from his ego .... We have come upon something in the ego 
J31 136 itself which is also unconscious, which behaves exactly like the 
J31 137 repressed - that is, which produces powerful affects without itself 
J31 138 being conscious and which requires special work before it can be 
J31 139 made conscious.<quote/> (Freud, 1923, p. 17)<p/>
J31 140 <p_>The technical rule of interpreting resistance before content 
J31 141 could be amended to read as a recommendation to analyze ego before 
J31 142 id, ego defined as the unconscious mechanisms of defense.<p/>
J31 143 <h_><p_>Deviations in Technique<p/><h/>
J31 144 <p_>By the end of his career, Freud (1937) began to assess the 
J31 145 limitations of psychoanalysis as a therapeutic modality. He had 
J31 146 discovered that psychopathology and character structure were 
J31 147 massively resistant to change, that patients were massively 
J31 148 resistant to the awareness of their resistance to change, that 
J31 149 whatever changes did transpire occurred very slowly and only with 
J31 150 painstaking working<?_>-<?/>through of anxiety-laden conflictual 
J31 151 issues, and that, even when change occurred, regressive 
J31 152 developments could always undo it. Despite this tragic vision of 
J31 153 human development Freud believed that his technical recommendations 
J31 154 provided the optimum conditions for a 'talking cure.' Naturally, 
J31 155 succeeding generations of analysts would attempt to improve results 
J31 156 with technical innovations given the modest therapeutic 
J31 157 expectations that Freud suggested.<p/>
J31 158 <p_>If Freud's technical recommendations are treated as a baseline, 
J31 159 it becomes apparent that technical innovations have deviated in 
J31 160 basically two directions. On the one side, the central idea has 
J31 161 been that classical technique is too conservative in addressing 
J31 162 anxiety-laden unconscious conflicts and that resistance to the 
J31 163 awareness of unconscious processes needs to be addressed more 
J31 164 directly, vigorously, and systematically. On the other side, the 
J31 165 central idea has been that classical technique has laid excessive 
J31 166 emphasis on the analysis of defense, resistance, and latent 
J31 167 transference in a context of abstinence, in neglect of establishing 
J31 168 a therapeutic relationship and building psychic structure, 
J31 169 activities that are seen as preceding and laying down the 
J31 170 foundation for meaningful analysis of unconscious conflict. The 
J31 171 debate has centered on matters of relative emphasis and priority, 
J31 172 with the issues resting on a continuum from conservative to radical 
J31 173 approaches. When classical technique has been seen as too 
J31 174 conservative, the innovation has been to address latent 
J31 175 transference more directly, actively, and systematically. Reich 
J31 176 (1933) was one of the first innovators in that regard, chastising 
J31 177 his peers for insufficient attention to latent negative 
J31 178 transference and suggesting that nonverbal characterological 
J31 179 resistances to treatment be consistently interpreted as 
J31 180 manifestations of latent negative transference. Klein (1952) shared 
J31 181 Reich's focus on systematically interpreting the latent negative 
J31 182 transference, but felt that links to archaic unconscious fantasy 
J31 183 could be established much more quickly than was the case utilizing 
J31 184 classical technique. Searles (1979), Langs (1976), and Gill (1982) 
J31 185 also advocated the primacy of interpretation of the latent negative 
J31 186 transference, but felt that transference interpretation needed to 
J31 187 be linked to the triggering stimuli in the here-and-now therapeutic 
J31 188 interaction. The overall innovation in technique in all of the 
J31 189 aforementioned suggestings is that unconscious conflict is most 
J31 190 quickly brought to the fore through a primary and active 
J31 191 interpretation of the latent negative transference. The difference 
J31 192 in these approaches resides in whether transference interpretation 
J31 193 is most efficaciously linked to character analysis, archaic 
J31 194 fantasy, or current interpersonal transactions. The analyst's 
J31 195 resistance to employing such innovations is usually traced to his 
J31 196 or her fear of the patient's anger in confronting latent negative 
J31 197 transference, fear of psychosis in interpreting archaic fantasy, 
J31 198 and fear of admitting interpersonal involvement interpreting the 
J31 199 here-and-now interaction.<p/>
J31 200 <p_>When the critique of the classical approach is for insufficient 
J31 201 attention to relationship building, technical recommendations 
J31 202 center on interpretive strategies that are thought to facilitate a 
J31 203 therapeutic relationship as well as greater emphasis on nonverbal 
J31 204 affective attitudes that are thought to facilitate the proper 
J31 205 ambience for treatment. Be it the ego psychologist's fostering of a 
J31 206 working alliance and an observing ego, the object relations 
J31 207 theorist's provision of containment or a holding environment, or 
J31 208 the self psychologist's facilitation of a selfobject transference 
J31 209 through empathy, the essential idea is the same: A therapeutic 
J31 210 climate, which is partially curative in and of itself, must be 
J31 211 established before conflict defense analysis can be fruitfully 
J31 212 conducted. Verbal interpretation from this perspective tends to 
J31 213 focus on the articulation of preconscious processes that are 
J31 214 thought to be crucial in ego development and in the establishment 
J31 215 of a cohesive sense of self.<p/>
J31 216 <p_>Each approach claims to achieve maximal therapeutic benefit and 
J31 217 possesses a critique of the inadequacies of other approaches. When 
J31 218 the technical approach is seen as unnecessarily avoidant of 
J31 219 addressing unconscious conflict and therefore superficial, the 
J31 220 treatment is devalued as re-educative supportive psychotherapy that 
J31 221 bolsters defenses rather than analyzes them. When the approach is 
J31 222 seen as going too deep too quickly, the assumption is that 
J31 223 treatment will result in excessive negative therapeutic reaction, 
J31 224 intellectualized insight, false self-compliance, and a moralistic 
J31 225 maturity ethic. The basic question in regard to interpretation 
J31 226 boils down to one of timing: how deep to go how quickly? In working 
J31 227 from surface to depth, must painstaking elucidation of the 
J31 228 phenomenological surface precede deeper interpretation or is such 
J31 229 an approach only working with the manifest content and avoiding a 
J31 230 more active, direct, and systematic analysis of latent negative 
J31 231 transference?<p/>
J31 232 
J32   1 <#FROWN:J32\><h_><p_>Chapter 4<p/>
J32   2 <p_>The Frequency of Dirty Word Usage<p/><h/>
J32   3 <p_>How frequently are dirty words used in American culture? How 
J32   4 often does one person use them throughout the day? Although many 
J32   5 people in broadcasting, education, law, and social science make 
J32   6 judgments about the frequency of dirty word usage, there are no 
J32   7 sound data on which to make those decisions. If one examines the 
J32   8 literature on general word frequency, one finds little information 
J32   9 on dirty word usage. Entries in standard dictionaries are standard 
J32  10 speech. Studies of word frequency tend to be studies of standard 
J32  11 word frequency. One can examine colloquial dictionaries or those 
J32  12 dedicated to argot, slang, or jargon. These provide no indication 
J32  13 of how frequently such terms are used. A few minutes on a busy 
J32  14 street corner convinces the listener that Americans use dirty words 
J32  15 frequently in public but how frequently? This chapter is about 
J32  16 determining the relative frequencies of dirty words in American 
J32  17 English using standard empirical techniques. We will look at 
J32  18 traditional means of establishing word frequency and some of the 
J32  19 problems with establishing how often people swear. The conclusion 
J32  20 from the available data is that these words are used relatively 
J32  21 frequently.<p/>
J32  22 <h_><p_>Why Word Frequency?<p/><h/>
J32  23 <p_>For many years those interested in human communication and 
J32  24 verbal behavior have known that words are used with different 
J32  25 frequencies in communication. The notion of variable frequency has 
J32  26 led investigators to study how frequency differences affect a wide 
J32  27 variety of language-related activities (reading, creativity, 
J32  28 language learning, problem solving, or comprehension). Given that 
J32  29 dirty word usage is a behavior that most social scientists have 
J32  30 constantly ignored, how can we tell how often dirty words are used? 
J32  31 What impact does differential usage have?<p/>
J32  32 <p_>One of the early concerns was the role of word frequency in 
J32  33 both face-to-face communication and through electronic media like 
J32  34 radio, short wave, or encoded channels. It was pointed out by Zipf 
J32  35 (1949), for example, that relatively few words were used extremely 
J32  36 often in communication and that the higher the frequency of 
J32  37 occurrence a word had, the more likely it was to be used in 
J32  38 general. Shannon and Weaver (1949) incorporated 'Zipf's Law' into 
J32  39 their grand theory of communication, using word frequency to make 
J32  40 predictions about the probability of various sayings or messages 
J32  41 during communication. These predictions were important to produce 
J32  42 efficient and quick communication and to eliminate errors by using 
J32  43 predictable words. These findings were applied in military and 
J32  44 government communication systems following World War II. However, 
J32  45 the grand theory building that dominated psychology in the 1950's 
J32  46 has died out and contemporary psychologists now focus on specific 
J32  47 issues and problems involving human communication. Interest has 
J32  48 shifted to how word frequency influences a specific type of 
J32  49 language processing. The frequency question remains present in 
J32  50 almost every aspect involving information processing abilities, 
J32  51 such as attention, problem solving, pattern recognition, learning, 
J32  52 rehabilitation, and memorization. Below are some of the recent 
J32  53 applications of word frequency in contemporary investigations to 
J32  54 show why the dirty word frequency question has remained 
J32  55 unanswered.<p/>
J32  56 <p_>Word frequency has been a fairly consistent predictor of 
J32  57 response time differences in language processing tasks. High 
J32  58 frequency words are processed faster and more easily than words at 
J32  59 low frequencies. The result has been called 'the word frequency 
J32  60 effect' in whatever process is under investigation. In a lexical 
J32  61 decision task, for example, subjects are shown a string of letters 
J32  62 and asked to tell whether the string forms a word. One of the best 
J32  63 predictors of response time is how frequently the word is used; the 
J32  64 higher the frequency, the lower the reaction time.<p/>
J32  65 <p_>Word frequency effects have been reported in other language and 
J32  66 memory tasks. In an object-naming task, where subjects are asked to 
J32  67 name objects as fast as possible, results indicate that word 
J32  68 frequency is related to the ease of naming the object. In word 
J32  69 legibility tasks, frequent words were found to be as legible as 
J32  70 single letters, although infrequent words are less legible than 
J32  71 either. In lexical access tasks, word frequency effects the time it 
J32  72 takes to decide if a target word has occurred in a sentence. Word 
J32  73 frequency effects have been found in many memory tests of recall, 
J32  74 recognition, and others (see Jay, 1980a). People who study reading 
J32  75 and learning to read know that frequent or familiar words make 
J32  76 information processing tasks easier and faster than obscure or low 
J32  77 frequency words.<p/>
J32  78 <p_>It should be clear that in each of these studies dirty words 
J32  79 are <tf|>never used. What is known about linguistic processes has 
J32  80 had little or nothing to do with dirty words. If all science on 
J32  81 language stopped now, we would know little about dirty word usage 
J32  82 or how dirty word usage relates to more normal language use.<p/>
J32  83 <p_>A recent question has been whether word frequency is related to 
J32  84 the age of acquisition of a language by children. Carroll and White 
J32  85 (1973 a,b) found that frequent words tend to be those that are 
J32  86 acquired early in life. Another variable related to acquisition is 
J32  87 the number of different meanings that a word has. One point here is 
J32  88 that frequent words have more interpretations than low frequency 
J32  89 words. So, age of acquisition depends both on meaning and frequency 
J32  90 aspects of word usage. It is important to know what children learn 
J32  91 early in life when examining patients with brain damage. Lesser 
J32  92 (1978, pp 110-112), for example, shows that word frequency is 
J32  93 needed to study aphasic (language loss) patients. Patients may use 
J32  94 childish or highly frequent language when recovering from brain 
J32  95 damage. Some of these aphasics may use only dirty words when 
J32  96 recovering because the words were learned early and well, and may 
J32  97 be stored in parts of the brain untouched by the trauma.<p/>
J32  98 <p_>There should be no doubt that word frequency has an important 
J32  99 influence on communication and communication problems. But, have we 
J32 100 stopped to ask the question, where did all these frequency data 
J32 101 come from in the first place?<p/>
J32 102 <h_><p_>The Frequency Estimation Problem: Why There Are No Dirty 
J32 103 Words<p/><h/>
J32 104 <p_>There are hundreds of millions of speakers of English using 
J32 105 tens of thousands of words on thousands of different occasions. To 
J32 106 accurately count actual word usage is impossible. Therefore, 
J32 107 <tf|>estimates must be used. Throughout the history of frequency 
J32 108 research, the question of proper frequency estimation has received 
J32 109 minimal attention, and one wonders whether any of these previous 
J32 110 estimates were accurate. While the tasks mentioned above have been 
J32 111 conducted with appropriate methods, those interested in taboo 
J32 112 language estimation would find them inadequate and inaccurate to 
J32 113 estimate taboo language frequency. Future interest in controlling 
J32 114 taboo language frequency or offensiveness requires an alternative 
J32 115 to traditional methods and reports.<p/>
J32 116 <p_>One major problem is the use of inappropriate normative samples 
J32 117 of word frequency. Since its publication, psychologists and others 
J32 118 interested in language frequency have been using the Thorndike and 
J32 119 Lorge (1944) norms to estimate word frequency. However, the count 
J32 120 (or others like it) are inadequate for three reasons: (a) the 
J32 121 sample is restricted only to <tf|>written, not oral usage, (b) the 
J32 122 written sample is restricted to a limited domain of reading 
J32 123 materials (mostly children's and popular adult literature), and (c) 
J32 124 it is outdated (language changes with time). Eriksen (1963) has 
J32 125 demonstrated quite clearly that the Thorndike-Lorge count is 
J32 126 inadequate to estimate <tf|>oral usage and that it in fact 
J32 127 underestimates the frequency of many colloquially used words. Two 
J32 128 collections of written word frequency norms were published by 
J32 129 Kucera and Francis (1967) and more recently by Carroll, Davies, and 
J32 130 Richman (1971). These are updated and less restricted than 
J32 131 Thorndike-Lorge, but they are still limited to written samples.<p/>
J32 132 <p_>The problem with written norms is not that they are inaccurate, 
J32 133 but that they are used incorrectly by researchers. The written 
J32 134 norms generally are appropriate when applied to tasks involving 
J32 135 textual material; that is, reading processes. The written norms are 
J32 136 <tf|>not appropriate for research concerning oral usage, however. 
J32 137 Written norms do not apply directly to colloquial, conversational 
J32 138 situations such as parent-child interaction, discourse processes, 
J32 139 or language influenced by sociolinguistic variables (social or 
J32 140 physical setting). The point is that sociolinguistic variables are 
J32 141 crucial to understanding dirty word usage. It is context that 
J32 142 controls dirty word usage and these factors must be accounted 
J32 143 for.<p/>
J32 144 <p_>The bottom line on studies of written samples is that one is 
J32 145 rarely going to find dirty words used in the sample because they 
J32 146 are collected from biased material, even though that material may 
J32 147 be appropriate to design children's reading texts, for example.<p/>
J32 148 <h_><p_>Counting Oral Frequency: Almost Good Enough<p/><h/>
J32 149 <p_>Written and oral speech are two different forms of language. In 
J32 150 addition to different rules (e.g., the future perfect does not seem 
J32 151 to exist in oral speech) and different distribution of rules they 
J32 152 have in common (e.g., the perfect form of the verb appears much 
J32 153 more in written speech), written language has the benefit of more 
J32 154 polish. Oral speech is marked by hesitations, interruptions, 
J32 155 incomplete expressions, is more prone to imprecise or incorrect 
J32 156 definitions - all of which can be corrected with a little 
J32 157 proofreading in the written form.<p/>
J32 158 <p_>Oral speech is also at the mercy of a number of sociolinguistic 
J32 159 influences. Spoken language, particularly in its more colloquial 
J32 160 form, is more sensitive to the relation between speaker and 
J32 161 listener, the degree of social relaxation, and the topic of 
J32 162 discussion (see Jay, 1978c). When these variables 
J32 163 <{_><-|>flucuate<+|>fluctuate<}/>, so does the kind of language 
J32 164 selected and used in conversation. In light of these contextual 
J32 165 constraints, then, the estimation of oral frequency requires 
J32 166 looking at oral - not written - samples of language for taboo 
J32 167 speech.<p/>
J32 168 <p_>Several attempts have been made to examine the frequency of 
J32 169 word usage in conversational English (Jay, 1980a). One widely 
J32 170 mentioned study is French, Carter, and Koenig's (1930) collection 
J32 171 of words and sounds from telephone conversations. This study is 
J32 172 cited because it provides information about vowel, consonant, and 
J32 173 word frequency data. The study has one major flaw. They omitted 
J32 174 some 25% of the data representing utterances such as exclamations, 
J32 175 interjections, proper names, titles, letters, numbers, and 
J32 176 <tf|>profanity. In fact profanity was 40% of the material omitted! 
J32 177 While the study could give a relatively accurate picture of 
J32 178 conversations, it compromised a true picture of dirty word usage. 
J32 179 Fairbanks (1944) updated the French et al. study and compared the 
J32 180 spoken language samples of college students with diagnosed 
J32 181 schizophrenics. More recently, Black, Stratton, Nichols, and Chavez 
J32 182 (1985) published a word count based on college student classroom 
J32 183 language, as did Berger in 1968.<p/>
J32 184 <p_>Several studies concentrate on children's oral language. The 
J32 185 need for these data in reading, learning, and comprehension 
J32 186 applications should be clear. These data serve the purpose of 
J32 187 designing age-appropriate textbooks but do not indicate anything 
J32 188 about how children use dirty words or how often. One of the best 
J32 189 collections and most current counts is <tf_>Spoken Words<tf/> 
J32 190 (1984) by Hall, Nagy, and Linn. These investigators report the data 
J32 191 as a function of situation and social status of the children's 
J32 192 family. However, when speech was recorded in classes or at the 
J32 193 dinner table, very few dirty words were spoken. Dirty words are 
J32 194 highly context dependent and even young children have learned not 
J32 195 to use them most of the time at school or at the dinner table. Thus 
J32 196 few of them appear in the corpus. While these norms provide a 
J32 197 useful foundation for writing or evaluating children's reading 
J32 198 texts, as intended, they give the impression that children do not 
J32 199 produce dirty words. Consequently, there is a risk of thinking 
J32 200 children are much more naive about matters involving sex and 
J32 201 aggression than they are, if the conclusion is based on biased word 
J32 202 counts. Cameron (1969) made one of the more natural attempts to 
J32 203 collect adult language data as a function of social setting. His 
J32 204 sample, though restricted to a few college settings, is useful to 
J32 205 indicate how speech changes from relaxed to formal social 
J32 206 environments. The major problem with the Cameron norms stems from 
J32 207 an inadequate sampling procedure. He asked his 'overhearer' to 
J32 208 record by hand <quote_>"the first three words they heard during the 
J32 209 conversation at 15 second intervals"<quote/> (p 102). Such 
J32 210 recording is subject to constraints from attention, perception, or 
J32 211 recording bias, especially when overhearers knew he was interested 
J32 212 in certain types of words.
J32 213 
J32 214 
J33   1 <#FROWN:J33\>The most successful representations make fairly 
J33   2 specific assumptions about the way in which the text should be 
J33   3 interpreted (e.g., as a story about one of a small number of 
J33   4 topics) and about the kinds of questions that might be asked about 
J33   5 the text (e.g., questions about actor's intentions). Some work has 
J33   6 been done to adapt the natural language understanding techniques to 
J33   7 an information retrieval setting, but there is little near-term 
J33   8 hope that these techniques could be used to represent large 
J33   9 document collections and arbitrary queries [Sparck Jones and Tait, 
J33  10 1984].<p/>
J33  11 <p_>Within the information retrieval community, a number of 
J33  12 techniques have been developed that can represent the content of 
J33  13 documents and information needs. These representations have a much 
J33  14 different flavor than NLP representations. They are generally based 
J33  15 on simple, very general, features of documents (e.g., words, 
J33  16 citations) and represent simple relationships between features 
J33  17 (e.g., phrases) and between documents (e.g., two documents cite the 
J33  18 same document). The focus here is on simple, but general, 
J33  19 representations that can be applied to most texts rather than on 
J33  20 specialized techniques which capture more information but are 
J33  21 applicable only in narrow contexts. Information retrieval 
J33  22 representations also make extensive use of the statistical 
J33  23 properties of representations features and attempt to make use of 
J33  24 information produced by human analysis (e.g., manual indexing) when 
J33  25 available.<p/>
J33  26 <p_>Over the last decade there has been considerable interaction 
J33  27 between the AI and information retrieval communities; AI techniques 
J33  28 have been adapted to an IR setting and the IR focus on 'real' 
J33  29 document collections and on thorough experimental evaluation has 
J33  30 helped to expand the focus of AI research.<p/>
J33  31 <p_>Given the availability of a number of representation techniques 
J33  32 that capture some of the meaning of a document or information need, 
J33  33 our basic premise is that decisions about which documents match an 
J33  34 information need should make use of as many of the representation 
J33  35 forms as practical. The remainder of this paper develops a 
J33  36 theoretical framework for retrieval that allows multiple 
J33  37 representations to be combined.<p/>
J33  38 <p_>In the next section, we describe the major types of retrieval 
J33  39 models. Section 7.3 presents the motivation for a retrieval model 
J33  40 based on inference. In Section 7.4, we review related research on 
J33  41 inference and network models. Sections 7.5 and 7.6 describe the 
J33  42 basic inference network model and how it is used. Section 7.7 
J33  43 addresses the issue of causality in a network model. The final 
J33  44 section discusses recent results and research directions.<p/>
J33  45 <h_><p_>7.2 Current Retrieval Models<p/><h/>
J33  46 <p_>A retrieval model fixes the details of the representations used 
J33  47 for documents and information needs, describes how these are 
J33  48 generated from available descriptions, and how they are compared. 
J33  49 If the model has a clear theoretical basis we call it a formal 
J33  50 retrieval model; if the model makes little or no appeal to an 
J33  51 underlying theory we call it <tf_>ad hoc<tf/>. We use the terms 
J33  52 theory and model here in the mathematical or logical sense in which 
J33  53 a theory refers to a set of axioms and inference rules that allow 
J33  54 derivation of new theorems. A model is an embodiment of the theory 
J33  55 in which we define the set of objects about which assertions can be 
J33  56 made and restrict the ways in which classes of objects can 
J33  57 interact.<p/>
J33  58 <p_>Four retrieval models are particularly important in IR 
J33  59 research: the Boolean, cluster-based, probabilistic, and 
J33  60 vector-space models. Most of the commercial and prototype IR 
J33  61 systems currently available are based on some variation of these 
J33  62 models, and some understanding of them is necessary for our 
J33  63 discussion of the inference net model in the next sections.<p/>
J33  64 <p_><tf|>Boolean. Boolean retrieval forms the basis of most major 
J33  65 commercial retrieval services, but is generally believed to be 
J33  66 difficult to use and has poor recall and precision performance 
J33  67 since the model does not rank documents. In the Boolean model we 
J33  68 have a finite set of representation concepts or features <tf|>R = 
J33  69 {<tf|>r<sb_>1<sb/>, ..., <tf|>r<sb_>k<sb/>} that can be assigned to 
J33  70 documents. A document is simply an assignment of representation 
J33  71 concepts and this assignment is often represented by a 
J33  72 binary-valued vector of length <tf|>k. The assignment of a 
J33  73 representation concept <tf|>r<sb_>i<sb/> to a document is 
J33  74 represented by setting the <tf|>i<sp_>th<sp/> element of the vector 
J33  75 to <tf|>true. All elements corresponding to features not assigned 
J33  76 to a document are set to <tf|>false.<p/>
J33  77 <p_>An information need is described by a Boolean expression in 
J33  78 which operands are representation concepts. Any document whose set 
J33  79 of representation concepts represents an assignment that satisfies 
J33  80 the Boolean expression is deemed to match the information need, all 
J33  81 other documents fail to match the information need. This evaluation 
J33  82 partitions the set of documents, but provides no information about 
J33  83 the relative likelihood that documents within the same partition 
J33  84 will match the information need.<p/>
J33  85 <p_>Relevance in Boolean retrieval, then, is defined in terms of 
J33  86 satisfiability of a first-order logic expression given a set of 
J33  87 document representations as axioms. Several attempts have been made 
J33  88 to extend the basic Boolean model to provide document ranking.<p/>
J33  89 <p_><tf_>Cluster-based retrieval.<tf/> Cluster-based retrieval is 
J33  90 based on the Cluster Hypothesis which asserts that similar 
J33  91 documents will match the same information needs [van Rijsbergen, 
J33  92 1979]. Rather than comparing representations of individual 
J33  93 documents to the representation of the information need, we first 
J33  94 form clusters of documents using any of several clustering 
J33  95 algorithms and similarity measures. For each cluster, we then 
J33  96 create an 'average' or representative document and compare this 
J33  97 cluster representative to the information need to determine which 
J33  98 clusters best match. We then retrieve the clusters that are most 
J33  99 likely to match the information need rather than the individual 
J33 100 documents. There are several ways to identify the clusters to be 
J33 101 retrieved, particularly when using hierarchical clustering 
J33 102 techniques that allow navigation of the cluster hierarchy.<p/>
J33 103 <p_>Since many techniques are used to compare the query with the 
J33 104 cluster representative, there is no single definition of relevance 
J33 105 for cluster-based retrieval. Rather, relevance is partially defined 
J33 106 by the model that forms the basis of the comparison. The similarity 
J33 107 measures used to define clusters and the method used to create the 
J33 108 cluster representatives also play a part in defining relevance 
J33 109 since they determine which documents will be judged similar to a 
J33 110 cluster representative that matches the information need.<p/>
J33 111 <p_><tf_>Vector-space retrieval.<tf/> In the vector-space model, we 
J33 112 have a set of representation concepts or features <tf|>R = 
J33 113 <tf|>r<sb_>1<sb/>,..., <tf|>r<sb_>k<sb/>}. Documents and queries 
J33 114 are represented as vectors of length <tf|>k in which each element 
J33 115 corresponds to a real-valued weight assigned to an element of the 
J33 116 representation set. Several techniques have been used to compute 
J33 117 these weights, the most common being <tf|>tf.idf weights which are 
J33 118 based on the frequency of a term in a single document (<tf|>tf) and 
J33 119 its frequency in the entire collection (<tf|>idf). These 
J33 120 <tf|>tf.idf weights are discussed in more detail in [Salton and 
J33 121 McGill, 1983].<p/>
J33 122 <p_>Documents and queries are compared using any of several 
J33 123 similarity functions, the most common function being the cosine of 
J33 124 the angle between their representation vectors.<p/>
J33 125 <p_>Since several techniques have been used to compute weights for 
J33 126 the vector elements, the vector-space model has no single form of 
J33 127 document or query representation, although all representations have 
J33 128 a common form. Similarly, since several similarity functions have 
J33 129 been used, relevance has no single definition.<p/>
J33 130 <p_>The vector-space model is historically important since it forms 
J33 131 the basis for a large body of retrieval research that can be traced 
J33 132 back to the 1960's. The vector-space model has been criticized as 
J33 133 an <tf_>ad hoc<tf/> model since there is relatively little 
J33 134 theoretical justification for many of its variations.<p/>
J33 135 <p_><tf_>Probabilistic retrieval.<tf/> Probabilistic retrieval is 
J33 136 based on the Probability Ranking Principal which asserts that the 
J33 137 best overall retrieval effectiveness will be achieved when 
J33 138 documents are ranked in decreasing order of probability of 
J33 139 relevance [Robertson, 1977].<p/>
J33 140 <p_>There are several different probabilistic formulations which 
J33 141 differ mainly in the way in which they estimate the probability of 
J33 142 relevance. Using a representative model, a document 
J33 143 <tf|>d<sb_>i<sb/> and an information need <tf|>f<sb_>j<sb/> are 
J33 144 represented as the now familiar vectors of length <tf|>k in which 
J33 145 each element is true if the corresponding representation concept is 
J33 146 assigned to the document or query. If we let <tf|>F represent the 
J33 147 set of representations for information needs and <tf|>D represent 
J33 148 the set of document representations, then we can define an event 
J33 149 space <tf|>F x <tf|>D and our task becomes one of determining which 
J33 150 of these document-request pairs would be judged relevant, that is, 
J33 151 estimating <tf|>P(R|d<*_>i<*/>,f<sb_>j<sb/>). We then use Bayes' 
J33 152 theorem and a set of independence assumptions about the 
J33 153 distribution of representation concepts in the documents and 
J33 154 queries to derive a ranking function that computes 
J33 155 <tf|>P(R|d<*_>i<*/>,f<sb_>j<sb/>) in terms of the probabilities 
J33 156 that individual representation concepts will be assigned to 
J33 157 relevant and non-relevant documents. Different independence 
J33 158 assumptions lead to different forms of the model. Given estimates 
J33 159 for these two probabilities (say, from a sample of documents judged 
J33 160 relevant and from the entire collection), we can compute 
J33 161 <tf|>P(R|d<*_>i<*/>,f<sb_>j<sb/>).<p/>
J33 162 <p_>Probabilistic models are in many ways similar to the 
J33 163 vector-space model [Bookstein, 1982; Turtle and Croft, 1992]. Both 
J33 164 can be considered to be generalizations of the Boolean model in 
J33 165 that they can support partial matching using Boolean queries. 
J33 166 Probabilistic models, however, provide a sounder theoretical base 
J33 167 for the design of IR systems, and have significantly contributed to 
J33 168 our understanding of some aspects of IR, such as term weighting, 
J33 169 ranking, and relevance feedback.<p/>
J33 170 <h_><p_>7.3 Retrieval Based on Inference and Networks<p/><h/>
J33 171 <p_>Recent retrieval research has suggested that significant 
J33 172 improvements in retrieval performance will require techniques that, 
J33 173 in some sense, 'understand' the content of documents and queries 
J33 174 [van Rijsbergen, 1986; Croft, 1987] and can be used to infer 
J33 175 probable relationships between documents and queries. In this view, 
J33 176 information retrieval is an inference or evidential reasoning 
J33 177 process in which we estimate the probability that a user's 
J33 178 information need, expressed as one or more queries, is met given a 
J33 179 document as 'evidence.'<p/>
J33 180 <p_>The idea that retrieval is an inference or evidential reasoning 
J33 181 process is not new. Cooper's logical relevance [Cooper, 1971] is 
J33 182 based on deductive relationships between representations of 
J33 183 documents and information needs. Wilson's situational relevance 
J33 184 [Wilson, 1973] extends this notion to incorporate inductive or 
J33 185 uncertain inference based on the degree to which documents support 
J33 186 information needs. The techniques required to support these kinds 
J33 187 of inference are similar to those used in expert systems that must 
J33 188 reason with uncertain information. A number of competing inference 
J33 189 models have been developed for these kinds of expert systems and 
J33 190 several of these models can be adapted to the document retrieval 
J33 191 task.<p/>
J33 192 <p_>In this paper, we describe a retrieval model based on inference 
J33 193 networks. This model is intended to<p/>
J33 194 <p_><*_>bullet<*/>Support the use of multiple document 
J33 195 representation schemes. Research has shown that a given query will 
J33 196 retrieve different documents when applied to different 
J33 197 representations, even when the average retrieval performance 
J33 198 achieved with each representation is the same. Katzer, for example, 
J33 199 found little overlap in documents retrieved using seven different 
J33 200 representations, but found that documents retrieved by multiple 
J33 201 representations were likely to be relevant [Katzer <tf_>et 
J33 202 al.<tf/>, 1982]. Similar results have been obtained when comparing 
J33 203 term- with cluster-based representations [Croft and Harper, 1979] 
J33 204 and term- with citation-based representations [Fox <tf_>et 
J33 205 al.<tf/>, 1988].<p/>
J33 206 <p_><*_>bullet<*/>Allow results from different queries and query 
J33 207 types to be combined. Given a single natural language description 
J33 208 of an information need, different searchers will formulate 
J33 209 different queries to represent that need and will retrieve 
J33 210 different documents, even when average performance is the same for 
J33 211 each searcher [McGill <tf_>et al.<tf/>, 1979; Katzer <tf_>et 
J33 212 al.<tf/>, 1982]. Again, documents retrieved by multiple searchers 
J33 213 are more likely to be relevant. A description of an information 
J33 214 need can be used to generate several query representations (e.g., 
J33 215 probabilistic, Boolean), each using a different query strategy and 
J33 216 each capturing different aspects of the information need. These 
J33 217 different search strategies are known to retrieve different 
J33 218 documents for the same underlying information need [Croft, 
J33 219 1987].<p/>
J33 220 <p_><*_>bullet<*/>Facilitate flexible matching between the terms or 
J33 221 concepts mentioned in queries and those assigned to documents. The 
J33 222 poor match between the vocabulary used to express queries and the 
J33 223 vocabulary used to represent documents appears to be a major cause 
J33 224 of poor recall [Furnas <tf_>et al.<tf/>, 1987]. Recall can be 
J33 225 improved using domain knowledge to match query and representation 
J33 226 concepts without significantly degrading precision.<p/>
J33 227 <p_>The resulting formal retrieval model integrates several 
J33 228 previous models (probabilistic, Boolean, and cluster-based) in a 
J33 229 single theoretical framework [Turtle, 1990].
J33 230 
J33 231 
J34   1 <#FROWN:J34\><p_>Manipulating the +/- UG distinction in terms of 
J34   2 Coppieters' percentage figures turns out to be something of a 
J34   3 vacuous exercise, however, since many of the percentages are based 
J34   4 on small numbers of exemplars, thus lowering their face validity. 
J34   5 Recall that the percentages for NNS-NS deviance are derived from 
J34   6 varying numbers of tokens of each linguistic variable. At one 
J34   7 extreme of NNS-NS divergences are the variables Imparfait vs. 
J34   8 Pass<*_>e-acute<*/> Compos<*_>e-acute<*/> (39.5% divergence) and 
J34   9 <tf|><*_>a-acute<*/> vs. <tf|>de + Infinitive (34.7%), which are 
J34  10 exemplified by 5 tokens and 2 tokens, respectively. At the other 
J34  11 extreme is the A-over-A variable (14.4%), exemplified by 6 tokens. 
J34  12 As numbers of tokens decrease, percentage figures become less valid 
J34  13 indices of response patterns. It would be a simple matter, for 
J34  14 example, to deflate or inflate the deviance for the 
J34  15 <tf|><*_>a-acute<*/> vs. <tf|>de + Infinitive category by changing 
J34  16 (or adding, or subtracting) a single well<?_>-<?/>chosen item. 
J34  17 Clark 1973 has demonstrated the dangers of inference from few 
J34  18 tokens of a given category: there is no evidence that the findings 
J34  19 will generalize beyond the items sampled and apply to the category 
J34  20 as a whole.<p/>
J34  21 <p_>A contingency in data elicitation further clouds the issue of 
J34  22 locus of competence differences. For some 41 of the 107 items, 
J34  23 subjects were given a choice between paired forms (e.g. 
J34  24 <foreign_>Est-ce que tu {as su/savais} conduire dans la 
J34  25 neige?<foreign/> 'Did you {manage/know how} to drive in the 
J34  26 snow?'). They were then asked by the experimenter to decide: (1) 
J34  27 whether both forms were acceptable; (2) if so, whether a difference 
J34  28 in meaning was entailed in the differing forms; (3) if so, 
J34  29 <quote_>"what that difference consisted of in the framework of 
J34  30 sentence interpretation"<quote/> (550). These 41 items were tokens 
J34  31 of five linguistic variables: the Imparfait/Pass<*_>e-acute<*/> 
J34  32 Compos<*_>e-acute<*/> distinction, <tf|>il/elle vs. <tf|>ce, 
J34  33 prepositions <tf|><*_>a-acute<*/> and <tf|>de + Infinitive, 
J34  34 prenominal vs. postnominal adjectives, and article use. The other 
J34  35 elicitation procedure required subjects merely <quote_>"to provide 
J34  36 straightforward well<?_>-<?/>formedness judgments"<quote/> (550) 
J34  37 for single (unpaired) sentences. This was done for <quote_>"most of 
J34  38 the other 66 sentences"<quote/> (550), representing four linguistic 
J34  39 categories: the Object + Predicate construction, Causatives and 
J34  40 Clitics, A-over-A constraint, and the <tf|>de + Adjective 
J34  41 construction. Reviewing the data in Table 1, above, one may discern 
J34  42 a striking pattern. For the top five variables - just those 
J34  43 variables tested by the first technique - NNS diverged dramatically 
J34  44 from the NS (NNS-NS average = 29.2%) and the range of NNS-NS 
J34  45 divergence is disparate (19.9% - 39.5%). For those variables tested 
J34  46 under the second procedure, on the other hand, the NNS-NS 
J34  47 divergence is relatively small (average = 17.3%), with the range 
J34  48 clustering tightly (14.4% - 18.9%). Comparing these figures with 
J34  49 the deviance figures for the +/- UG distinction (average for 
J34  50 putatively - UG items = 27.2%, range = 16.9% - 39.5%; average for 
J34  51 putatively + UG items = 17.4%, range = 14.4%-18.9%), one notes that 
J34  52 the magnitude and heterogeneity of NNS-NS divergence are somewhat 
J34  53 better predicted by the procedural contingency than by Coppieters' 
J34  54 version of the +/- UG distinction.<p/>
J34  55 <p_>The issue of elicitation procedure has special significance for 
J34  56 <tf|>de + Adjective structure. Coppieters registers his surprise 
J34  57 that NNS should diverge so minimally from NS (16.9%) on such a 
J34  58 <quote_>"comparatively obscure"<quote/> construction (561). It is 
J34  59 an ad hoc move to invoke frequency as a predictor of divergence for 
J34  60 this structure alone. Left unmentioned is the fact that minimal 
J34  61 divergences for this structure are an embarrassment for the +/- UG 
J34  62 distinction as a general predictor of NNS-NS differences. As it 
J34  63 happens, the <tf|>de + Adjective construction was tested under the 
J34  64 second procedure; for it and the other structures tested in this 
J34  65 manner, NNS-NS divergences were small. There is no anomaly to 
J34  66 account for if one allows for the possibility that the asymmetry in 
J34  67 NNS-NS differences is an artifact of a procedural asymmetry. 
J34  68 Coppieters is apparently aware of the procedural asymmetry, but 
J34  69 does not attribute differential results to it (553-54).<p/>
J34  70 <p_>Though one can only speculate about whether differences in 
J34  71 procedure are in fact causally related to differences in results, 
J34  72 it is nevertheless easy to see how there might be a relationship. 
J34  73 The first procedure involved a three-part, fine-grained decision 
J34  74 task in the context of a face-to-face interview with the 
J34  75 experimenter. In the second procedure, subjects were asked merely 
J34  76 to give nominal statements of well-formedness. In the latter 
J34  77 instance, it is unlikely that subtle cues could be communicated by 
J34  78 the experimenter to the subjects. However, that likelihood 
J34  79 necessarily increases in an elaborated discussion of form, meaning, 
J34  80 and interpretation, as was the case in the first procedure. I offer 
J34  81 this observation about the relative possibility of experimenter 
J34  82 effects as a statement of objective fact about experimental 
J34  83 procedure (see Heringer 1970, Labov 1975, Rosenthal 1966), not to 
J34  84 dispute Coppieters' assertion that he reinforced all subjects in 
J34  85 their judgments and gave no indication when judgments diverged from 
J34  86 native norms (552-53). Experimenter effects can be unintentional 
J34  87 and unnoticed; measures should be taken to reduce their 
J34  88 likelihood.<p/>
J34  89 <p_>More to the point, one must consider the nature of the data 
J34  90 resulting from the two different elicitation procedures. Recall 
J34  91 that the results displayed in Fig. 1 and the two left columns of 
J34  92 Table 1 represent cumulative departures from NS norms, the norms 
J34  93 being in the form of nominal statements of acceptability or 
J34  94 grammaticality. The second procedure generates just such nominal 
J34  95 statements for each item, and departures from these norms are 
J34  96 straightforwardly tallied. The first procedure, by contrast, 
J34  97 involves direct comparisons of two sentences. In this case, the 
J34  98 subjects declare that the sentences are equally acceptable, or that 
J34  99 they prefer one sentence over the other. Thus in one procedure 
J34 100 judgments of acceptability reflect assessments against some 
J34 101 external criterion of acceptability, while in the other procedure 
J34 102 the judgments reflect comparisons of one sentence with another. A 
J34 103 further difference between the procedures should also be noted. The 
J34 104 first procedure, in eliciting three-part answers, generates complex 
J34 105 commentaries on subtle interactions of syntax and semantics. Anyone 
J34 106 who has ever elicited (or offered) such comments recognizes that 
J34 107 they may contain references to imagined contexts, statements 
J34 108 reflecting judgments based on degrees of well-formedness, 
J34 109 expressions of ambivalence, etc. This type of data may be 
J34 110 contrasted with the simple nominal statements ('correct or 
J34 111 good'/'incorrect or bad') generated by the second procedure. 
J34 112 (Moreover, what is meant by 'good' and 'bad' is not spelled out for 
J34 113 participants, creating the possibility of intersubject variability 
J34 114 as to the basis of judgment.) In light of multiple differences 
J34 115 between the two procedures, one must recognize that their results 
J34 116 are inherently dissimilar and therefore not comparable. The two 
J34 117 types of data should not be lumped together as if they were 
J34 118 identical.<p/>
J34 119 <p_>However, Coppieters seems to do just that. The results of the 
J34 120 first procedure, in order to be considered relevant input for the 
J34 121 NNS-NS comparisons displayed in Fig. 1 and Table 1, have apparently 
J34 122 been converted into nominal data. The details of this conversion 
J34 123 operation are not spelled out. How does one establish a unique NS 
J34 124 norm, and nominal departures from it, when the task generates a 
J34 125 complex response? By what algorithm is a comparison of two related 
J34 126 items, with an accompanying three-part, fine-grained discussion, 
J34 127 transformed into an independent statement of acceptability for each 
J34 128 of the items? These questions speak to the reproducibility of the 
J34 129 results, as well as to their validity.<p/>
J34 130 <p_>With respect to the more general question of whether there are 
J34 131 NNS-NS competence differences, Coppieters' methodology is again 
J34 132 problematic. Recall that the differences he attests are derived 
J34 133 from comparisons of NS and NNS deviations from a prototypical 
J34 134 native norm. The norms represent the majority of NS nominal 
J34 135 judgments. For 90 of the 107 items, there was 80% or more agreement 
J34 136 in judgment among NS. For the other 17 items, <quote_>"the majority 
J34 137 opinion of NS's"<quote/> (553) must be understood as any level of 
J34 138 agreement above 50%. Clearly, it would have been desirable to 
J34 139 establish norms at a high level of NS agreement for all items. Even 
J34 140 if this had been the case, one must question the use of nominal 
J34 141 data to establish norms. Nominal judgments are insensitive to 
J34 142 degrees of grammaticality or acceptability. Chaudron 1983 has 
J34 143 argued that scaled judgments of grammaticality (e.g. 1 = totally 
J34 144 unacceptable/ungrammatical; 5 = perfectly acceptable/grammatical) 
J34 145 are more informative than nominal data, inasmuch as they permit 
J34 146 intergroup comparisons (e.g. <tf_>t<tf/>-tests and ANOVAs) on the 
J34 147 basis of means and variance from means. The psychological validity 
J34 148 of scalar grammaticality statements is supported by Barsalou 1987 
J34 149 and others working in category/concept theory. The category of 
J34 150 well-formedness is susceptible to gradedness effects in 
J34 151 experimental performance, just like other categories such as BIRD 
J34 152 (robins and sparrows are judged more birdlike than emus, ostriches, 
J34 153 penguins, and apteryxes). Moreover, Chomsky 1986 has argued for 
J34 154 relative grammaticality in syntax as a function of the number of 
J34 155 barriers crossed in extractions. In sum, there are numerous reasons 
J34 156 for preferring scalar responses to nominal statements in 
J34 157 determining differences between NS and NNS.<p/>
J34 158 <p_>The composition of the subject groups in the Coppieters study 
J34 159 presents additional problems. To qualify for participation, 
J34 160 nonnative subjects had to perform at a near-native level of speech, 
J34 161 as determined by native-speaker friends of the subjects and by the 
J34 162 experimenter himself. In addition, by Coppieters' reckoning, all 
J34 163 performed orally at a level of 'superior' by ACTFL criteria. (For a 
J34 164 description of the ACTFL oral proficiency interview, see ACTFL 
J34 165 1986.) However, both of these screening procedures are imprecise 
J34 166 and nondeterministic. Informal near-native ratings cannot assure 
J34 167 native-like performance across a variety of linguistic structures. 
J34 168 It is quite possible to sound 'native-like' by avoiding production 
J34 169 of complex structures which are not fully mastered. It is also 
J34 170 possible to sound 'native-like' in restricted contexts, such as 
J34 171 bank transactions or philosophy lectures. Indeed, for restricted 
J34 172 and practiced contexts, there may be apparent pragmatic mastery, 
J34 173 while for other contexts there may be manifest inadequacies. The 
J34 174 second screening measure leaves a great deal of latitude for 
J34 175 composing the near-native group, inasmuch as the ACTFL category of 
J34 176 'superior' ranges between the 3rd and 5th levels of a 5-point 
J34 177 scale. By virtue of these screening procedures, it is quite 
J34 178 possible that the near-native group was not particularly 
J34 179 proficient. It is not clear that Coppieters satisfies the 
J34 180 desideratum of Long 1990 for investigating the general question of 
J34 181 competence differences, viz., that at least some subjects sampled 
J34 182 be among <quote_>"the very best"<quote/> L2 learners.<p/>
J34 183 <p_>The biographical profiles of NNS and NS subjects pose further 
J34 184 problems. As has been documented by Ross 1979 and others, one may 
J34 185 expect differences in grammaticality judgments - even among native 
J34 186 speakers - if sociological and educational variables are not 
J34 187 controlled. Coppieters' 21 NNS were <quote_>"highly 
J34 188 educated"<quote/> (551) and included 19 professors or researchers, 
J34 189 eleven of whom were professors of linguistics or literature. In 
J34 190 contrast, his 20 NS had merely <quote_>"had some education"<quote/> 
J34 191 (551). Alone, such background differences could account for a good 
J34 192 deal of the NNS-NS deviance. That is, failure to control for 
J34 193 background differences between the NNS and NS increases the chances 
J34 194 that the two groups will not coincide on judgments for 
J34 195 <quote_>"subtle areas"<quote/> (Long 1990:281) of the grammar, just 
J34 196 as NS or NNS with heterogeneous backgrounds would be likely to 
J34 197 disagree among themselves.<p/>
J34 198 <p_>The risks of heterogeneity are also evident in the native 
J34 199 language backgrounds of the NNS. Recall that Coppieters' subjects 
J34 200 are from a variety of disparate linguistic backgrounds. In 
J34 201 principle, this design feature would allow one to determine whether 
J34 202 results generalize beyond speakers of a single native language. 
J34 203 However, with only 2 subjects representing Farsi, only 5 subjects 
J34 204 representing 'Oriental' languages, and 6 different native languages 
J34 205 among the 14 native speakers of Germanic and Romance, one cannot 
J34 206 assume validity of results for the individual native language 
J34 207 groups, much less generalize across groups.<p/>
J34 208 <p_>Because of these shortcomings, and others that will come to 
J34 209 light in later sections of this paper, the Coppieters study must be 
J34 210 viewed with some skepticism. At the very least, it should be 
J34 211 evident that the two main questions of maturational effects in L2A 
J34 212 - whether there are competence differences between NNS and NS, and 
J34 213 if there are, which linguistic domains are affected - remain open. 
J34 214 Further examination of the issues is therefore warranted. As a 
J34 215 first step, it is important to determine whether the principal 
J34 216 findings of Coppieters can be replicated with methodological 
J34 217 modifications and under conditions of tighter procedural 
J34 218 control.<p/>
J34 219 
J34 220 
J35   1 <#FROWN:J35\>The other sources for the Eastern dialect give forms 
J35   2 containing [ts] or [<*_>c-hacek<*/>] rather than [ks]. These 
J35   3 include Lean and Mulia, the two archaic sources cited by Lehmann 
J35   4 (1920:656), who give //lochac//, presumably [lo<*_>c-hacek<*/>ak], 
J35   5 and all of the modern sources, e.g., Dennis and Royce (1983:14), 
J35   6 who give <tf|>lots'ak<sp_>h<sp/>. Campbell and Oltrogge (1980:219) 
J35   7 reconstruct *<tf|>lots'ak. The [ks] reported by some sources is 
J35   8 likely an erroneous transcription, due to lack of familiarity with 
J35   9 ejectives. Moreover, none of the sources contains any word of the 
J35  10 form <foreign|>sak or <foreign|>sax that might be what Greenberg 
J35  11 considers to be the second member of the form, or anything like 
J35  12 <foreign|>ala-k 'glowing' or <foreign|>lak 'glow'. Nor do these 
J35  13 forms appear in the notebook. The notebook contains no headword 
J35  14 'glow', and no entry for Jicaque under the headword 'shine', nor 
J35  15 has inspection of all of the Jicaque entries yielded any plausible 
J35  16 sources for these forms. The only entries under 'sun' are 
J35  17 <foreign_>loksak, latsak,<foreign/> and <foreign|>loksaki. It thus 
J35  18 appears that there is no evidence whatsoever internal to Jicaque 
J35  19 for analyzing <foreign|>laksak into <foreign|>lak-sak. In other 
J35  20 words, the comparison is between two words, each containing the 
J35  21 sequence <foreign|>lak (if the Jicaque contains a [k] at all), in 
J35  22 neither of which there is the slightest evidence for an analysis in 
J35  23 which <foreign|>lak is a morpheme. In contrast, Greenberg fails to 
J35  24 mention the etymology proposed by Mason (1918:19), namely, that 
J35  25 <foreign|>ma<*_>unch<*/>alak is derived from 
J35  26 <foreign|>ma<*_>unch<*/>al 'burn, blaze' (cf. 
J35  27 <foreign|>ma<*_>unch<*/>ale 'flames'). The weakness in Mason's 
J35  28 etymology is that no suffix <tf|>-ak is known, but, there being 
J35  29 evidence for one of the two morphemes, it is nonetheless more 
J35  30 plausible than Greenberg's.<p/>
J35  31 <p_>246 STONE<sb_>2<sb/><p/>
J35  32 <p_><tf|>LIA cites M. <foreign|>i<*_>unch<*/>ak and 
J35  33 <foreign|>i<*_>unch<*/>ik 'knife' and <foreign|>asak'a 'flint'. The 
J35  34 last is attested but is indicated by Mason (132) to be 
J35  35 Antonia<*_>n-tilde<*/>o. Neither of the forms for 'knife' appears 
J35  36 in the notebook, which gives M. <foreign|><*_>c-hacek<*/>a:k, A. 
J35  37 <foreign|><*_>c-hacek<*/>ik<sp_>h<sp/>, <O_>formula<O/>, and 
J35  38 <O_>formula<O/>. Nor do they appear in Mason (130), who gives M. 
J35  39 <foreign|><*_>c-hacek<*/>ak, A. <O_>formula<O/>. The form 
J35  40 <foreign|>i<*_>unch<*/>ak is cited by Greenberg and Swadesh 
J35  41 (1953:219). The forms in <tf|>LIA as well as the form in Greenberg 
J35  42 and Swadesh (1953) appear to derive from Sapir (1917:8), who gives 
J35  43 the forms <foreign|>(i)<*_>unch<*/>a:k and 
J35  44 <foreign|>(i)<*_>unch<*/>ik. In the footnote to this entry, Sapir 
J35  45 cites the form as <foreign|><*_>unch<*/>ak, suggesting that the 
J35  46 forms with the initial <tf|>i may be typographical errors, with 
J35  47 <tf|>i in place of the articular prefix <tf|>t, the parentheses 
J35  48 intended to segregate it from the stem.<p/>
J35  49 <p_>255 THROAT<p/>
J35  50 <p_><tf|>LIA lists A.<foreign|>p-e:nik'a. The notebook has 
J35  51 <foreign|>pe:nik'a:i, which is the form given by Mason (127). The 
J35  52 basis for segregating the /p/ is unknown.<p/>
J35  53 <p_><tf_>4.2. Grammatical evidence.<tf/> Chapter 5, 'Grammatical 
J35  54 Evidence for Amerind,' cites Salinan data in eleven places, 
J35  55 sections 6, 13, 16, 19, 45, 74, 80, 84, 88, 90, 100. Of these, the 
J35  56 following five call for comment.<p/>
J35  57 <p_>In section 19 (p. 288) <tf|>LIA gives the 
J35  58 Miguele<*_>n-tilde<*/>o first-person plural pronoun as 
J35  59 <foreign|>ka. The correct form, according to Mason (32) is 
J35  60 <O_>formula<O/>.<p/>
J35  61 <p_>Section 80 (p. 311) reads in its entirety:<p/>
J35  62 <p_><quote_>The following etymology represents a past-tense marker 
J35  63 in HOKAN: Yuru<?_>-<?/>mangu<*_>i-acute<*/> <tf|>iba, Coahuilteco 
J35  64 <tf|>pa-, Tequistlatec <tf|>-pa, Salinan <tf|>be, Pomo <tf|>(hi)ba, 
J35  65 Karok <foreign|>-<*_>unch<*/>ipa<*_>approximate-sign<*/>pa- (near 
J35  66 past), and Shasta <tf|>p'- (distant past, habitual past). The 
J35  67 marker probably also occurs in Salinan <tf|>iwa-<*_>unch<*/>, which 
J35  68 when suffixed to nouns means 'that which was formerly', e.g. 
J35  69 <foreign|>noq<*_>unch<*/> 'head', <O_>formula<O/> 'skull'. The last 
J35  70 element, -<*_>unch<*/>, is a common noun formant in Chumash. The 
J35  71 agreement in a form *<tf|>ipa among Yurumangu<*_>i-acute<*/> in the 
J35  72 extreme south, Coahuilteco in the middle, and Karok in the far 
J35  73 north is striking.<quote/><p/>
J35  74 <p_>This passage presents a number of difficulties. First, Salinan 
J35  75 <foreign|>be is not a simple past tense morpheme as Greenberg 
J35  76 glosses it. Mason (1918:35) glosses <foreign|>be as 'when, definite 
J35  77 past time', as in such examples as <tf|>be:-ya 'when I went'. Sapir 
J35  78 (1920:307) suggests that <foreign|>be:ya is really <quote_>"an 
J35  79 indicative <foreign|>e:ya 'I went' subordinated by the 
J35  80 demonstrative stem <foreign|>pe, <foreign|>pa 'the, that'."<quote/> 
J35  81 Sapir's view is supported by Mason's statement that <quote_>"Pure 
J35  82 sonant <tf|>b has been found only in the case of the demonstrative 
J35  83 article <tf|>pe..."<quote/> (1918:11). If Sapir is right, <tf|>be 
J35  84 is not a tense morpheme at all.<p/>
J35  85 <p_>Second, the agreement among the forms is perhaps less striking 
J35  86 than Greenberg suggests. Of the eight forms cited, only four 
J35  87 (Karok, Pomo, Yurumangu<*_>i-acute<*/>, Salinan 
J35  88 <foreign|>iwa<*_>unch<*/>) have the initial <tf|>i, as we shall 
J35  89 see, the initial <tf|>i of <foreign|>iwa<*_>unch<*/> is probably 
J35  90 not original. Moreover, some of these morphemes are prefixes while 
J35  91 others are suffixes. Finally, as discussed below in <tf|>5.3, it is 
J35  92 unclear whether the Yurumangu<*_>i-acute<*/> past tense morpheme is 
J35  93 the infix <tf|>-iba- or the suffix <tf|>-bai.<p/>
J35  94 <p_>Third, the discussion of <foreign|>iwa<*_>unch<*/> is seriously 
J35  95 flawed. To begin with, this suffix and the examples cited are not 
J35  96 Salinan. The suffix <foreign|>iwa<*_>unch<*/> is not mentioned in 
J35  97 any source on Salinan that I have consulted, nor are the examples 
J35  98 cited as illustrating the use of this suffix 
J35  99 (<foreign|>noq<*_>unch<*/> 'head', <O_>formula<O/> 'skull'). Nor do 
J35 100 they appear under the headings 'head' and 'skull' for Salinan in 
J35 101 Greenberg's Hokan notebook. Indeed, Salinan has no [q] at all.<p/>
J35 102 <p_>Rather, the suffix <foreign|>iwa<*_>unch<*/> and the examples 
J35 103 of its use are Chumash. <foreign|>noq<*_>unch<*/> and 
J35 104 <O_>formula<O/> are among the examples of the use of the suffix 
J35 105 <foreign|>iwa<*_>unch<*/> in Barbare<*_>n-tilde<*/>o Chumash given 
J35 106 by Beeler (1976:259), one of the sources listed in the notebook. 
J35 107 The notebook lists <foreign|>noks under 'head' for 
J35 108 Inese<*_>n-tilde<*/>o and Barbare<*_>n-tilde<*/>o Chumash.<p/>
J35 109 <p_>Nonetheless, the issue of the cognation of Chumash 
J35 110 <foreign|>iwa<*_>unch<*/> with the other forms cited still arises. 
J35 111 Two facts militate against Greenberg's analysis. First, the initial 
J35 112 <tf|>i is very likely not original. There are two related suffixes 
J35 113 in Chumash, the suffix <foreign|>iwa<*_>unch<*/> which derives 
J35 114 nouns meaning 'dead, defunct, former', and the verbal past tense 
J35 115 <foreign|>wa<*_>unch<*/>. The nominal suffix is invariant, as is 
J35 116 the verbal suffix in Barbare<*_>n-tilde<*/>o (Beeler 1976). In 
J35 117 Inese<*_>n-tilde<*/>, however, according to Applegate (1972:102-3), 
J35 118 an epenthetic copy of the last vowel of the stem is inserted before 
J35 119 the past tense marker when the stem ends in a sonorant. Although 
J35 120 the history is not known, it seems very likely that the nominal 
J35 121 suffix is historically derived from the verbal past tense, and that 
J35 122 the initial <tf|>i represents a frozen epenthetic vowel.<p/>
J35 123 <p_>Second, there is little basis for segmenting out the final 
J35 124 <*_>unch<*/>. If <foreign|>iwa<*_>unch<*/> is derived from the 
J35 125 verbal suffix <foreign|>wa<*_>unch<*/>, it is unlikely that the 
J35 126 final <*_>unch<*/> is a noun<?_>-<?/>forming suffix. Noun-forming 
J35 127 suffix <*_>unch<*/> is not described in any source on Chumash that 
J35 128 I have consulted, including the two most detailed grammatical 
J35 129 descriptions, Applegate (1972) for Inese<*_>n-tilde<*/>o and Beeler 
J35 130 (1976) for Barbare<*_>n-tilde<*/>o. There is a suffix 
J35 131 -<tf|>V<*_>unch<*/> described by both Beeler (1976:258) and 
J35 132 Applegate (1972:213) as <quote|>"resultative," and it is to this 
J35 133 suffix that Greenberg refers. The <tf|>V means that the suffix 
J35 134 takes the form of a vowel followed by <*_>unch<*/>. According to 
J35 135 Beeler (1976) this vowel is unpredictable, but Applegate (1972:93) 
J35 136 gives rules for predicting the vowel. In any case, the derivation 
J35 137 envisioned by Greenberg is not clear. If we start from a verbal 
J35 138 past tense suffix <tf|>*ipa, which in Chumash comes to be added to 
J35 139 nouns as well as to verbs, it would seem unnecessary to add a 
J35 140 resultative suffix, and one has to wonder why the basic past tense 
J35 141 suffix would acquire the resultative suffix attached to it in 
J35 142 nouns.<p/>
J35 143 <p_>In section 84 (p. 311), <tf|>LIA cites a suffix 
J35 144 <tf|>-<*_>unch<*/>e 'desiderative' for Antonia<*_>n-tilde<*/>o. 
J35 145 Mason discusses such a suffix, but with final glottal stop 
J35 146 <O_>formula<O/>, on page 49, and although he glosses it 
J35 147 'desiderative', he makes it clear that he is far from confident of 
J35 148 this interpretation, a hesitation fully justified by the varied 
J35 149 meanings of the examples adduced.<p/>
J35 150 <p_>In section 88 (p. 313), <tf|>LIA refers to a Salinan imperative 
J35 151 morpheme <tf|>-i-. This suffix is not described by Mason in his 
J35 152 discussion of the verbal morphology (1918:34-54), nor in Turner 
J35 153 (1987), so that it appears to be quite spurious, and given the lack 
J35 154 of documentation, one despairs of tracking it down. The key turns 
J35 155 out to be Rivet (1942:33), which presents the same equation as in 
J35 156 <tf|>LIA, minus the Karok form, which was evidently added by 
J35 157 Greenberg. Rivet cites Sapir (1921:71), in which we find, as entry 
J35 158 number 28, the following:<p/>
J35 159 <p_><quote_>Sal. <tf|>-i-, imperative suffix with third person 
J35 160 pronominal object (e.g. <foreign|>m-alel-i-k ASK HIM!): Yana 
J35 161 <tf|>-'i', imperative suffix.<quote/><p/>
J35 162 <p_>This constitutes the entire discussion of imperative <tf|>-i- 
J35 163 in the literature. At the very least Greenberg is to be taken to 
J35 164 task for using as evidence a morpheme for which the evidence is so 
J35 165 skimpy, especially when it does not appear in Mason (1918), the 
J35 166 only published grammatical description of the language and the 
J35 167 source of Sapir's data.<p/>
J35 168 <p_>Whether Sapir's analysis should be accepted is unclear. Salinan 
J35 169 has a number of third-person singular objective suffixes, which 
J35 170 according to Mason (1918:46-47) take the form <tf|>-o, <tf|>-ko, 
J35 171 <tf|>-xo, and <tf|>-k. The different suffixes are associated with 
J35 172 different classes of verb: <quote_>"... the <tf|>-p prefix nearly 
J35 173 invariably takes the suffix <tf|>-o or <tf|>-ko as its third 
J35 174 personal objective form while the objective form in <tf|>-k occurs 
J35 175 exclusively with the <tf|>-k prefix"<quote/> (Mason 1918:39). That 
J35 176 is, the forms in <tf|>-k are associated with what Mason considered 
J35 177 to be the intransitive verbs, later argued by Sapir (1920:307-8; 
J35 178 1921:69-70) to be stative. In his discussion of the imperative, 
J35 179 Mason (1918:41) states that : <quote_>"The imperative takes its 
J35 180 third person pronominal object in <tf|>-ik, never in <tf|>-o or 
J35 181 <tf|>-ko."<quote/><p/>
J35 182 <p_>Sapir's reasoning appears to have been that the <tf|>i of this 
J35 183 suffix could be isolated as an imperative since the suffix appears 
J35 184 only in imperatives and since other third-person singular objective 
J35 185 suffixes contain <tf|>k. Against this we may consider the fact that 
J35 186 imperative <tf|>i occurs nowhere else and that it is not possible 
J35 187 to analyze the third-person singular objective morpheme simply as 
J35 188 <tf|>k; even if we could extract <tf|>k from <tf|>ko, we would be 
J35 189 left with the forms in <tf|>o. Moreover, judging from Mason's 
J35 190 examples of the use of <tf|>-ik, namely 
J35 191 <foreign|>k-<*_>a-acute<*/>mamp-ik 'take it out!', 
J35 192 <foreign|><*_>a-acute<*/>mes-ik 'shout to him!', and <tf|>m-alel-ik 
J35 193 'ask him!', it appears that <tf|>-ik occurs even with active verbs, 
J35 194 which according to Mason's generalization do not take the objective 
J35 195 prefixes containing <tf|>k. On balance, it seems that <tf|>-ik must 
J35 196 be treated as a unit, and that Sapir's analysis is overly 
J35 197 aggressive.<p/>
J35 198 <p_>In section 90 (p. 313) <tf|>LIA cites <tf|>k- as the imperative 
J35 199 prefix. Actually, according to Mason (1918:41) this prefix appears 
J35 200 only in the plural, and not in all cases.<p/>
J35 201 <p_><tf_>5. Yurumangu<*_>i-acute<*/>.<tf/> Yurumangu<*_>i-acute<*/> 
J35 202 forms occur in a total of twenty-six entries in <tf|>LIA, to wit: 
J35 203 H15, H32, H35, H44, H61, H69, H72, H87, H142, H158, H161, A9, A79, 
J35 204 A86, A102, A104, A191, A243, A269, G19, G61, G80, G88, G90, 
J35 205 G102.<p/>
J35 206 <p_><tf_>5.1. Segmentation.<tf/> Morphological analysis is often 
J35 207 difficult even in languages for which we have unlimited data; in a 
J35 208 case like Yurumangu<*_>i-acute<*/>, where we have only a tiny 
J35 209 corpus containing few related forms, we must proceed with the 
J35 210 utmost caution and must expect to remain unsure on many points.<p/>
J35 211 <p_>Rivet made a valiant effort at analysis on the basis of the 
J35 212 data available to him, using both what little language-internal 
J35 213 evidence there was, and what was suggested to him by similar forms 
J35 214 in Hokan languages. Many of these proposals are interesting and 
J35 215 would be worthy of pursuit if we were convinced of the affiliation 
J35 216 of Yurumangu<*_>i-acute<*/> with Hokan, but until such an 
J35 217 affiliation is proved they remain the merest speculation.<p/>
J35 218 <p_>The result of the dearth of Yurumangu<*_>i-acute<*/> data 
J35 219 combined with the fecundity of Rivet's etymological imagination is 
J35 220 that most of the morphological analyses he proposed rest on 
J35 221 hypothetical affiliations with Hokan, and so remain undemonstrated. 
J35 222 Rather than exercising caution and utilizing only justifiable 
J35 223 analyses, Greenberg simply accepts Rivet's analyses and presents 
J35 224 them as if they were clearly justified internal to 
J35 225 Yurumangu<*_>i-acute<*/>, as we shall now see in detail.<p/>
J35 226 <p_>Rivet (1942:28-29) posits a prefix <tf|>a-, appearing on both 
J35 227 verbs and nouns. Other than the fact that a considerable number of 
J35 228 words begin with <tf|>a, he cites no language-internal evidence for 
J35 229 the existence of such a prefix. In many cases he gives no evidence 
J35 230 of morphological complexity of any kind. Where he does give 
J35 231 evidence, it consists of comparisons with other languages.
J35 232 
J35 233 
J36   1 <#FROWN:J36\><h_><p_>One<p/>
J36   2 <p_>Palestine and the<p/>
J36   3 <p_>Coming of the Cold War,<p/>
J36   4 <p_>January 1947 - March 1947<p/><h/>
J36   5 <p_>During the winter of 1947, the future of Palestine became 
J36   6 immersed in East-West policy considerations extending far beyond 
J36   7 the Eastern Mediterranean. Britain's sudden retreat from empire 
J36   8 enabled American Zionists and the U.S. State Department to exploit 
J36   9 rising war jitters as they competed with one another in the mass 
J36  10 media to create a new conventional wisdom on Palestine. The 
J36  11 American Zionist Emergency Council (AZEC) insisted American 
J36  12 involvement in Greece and Turkey should be followed by support for 
J36  13 a Jewish state. The State Department's Near East desk argued that 
J36  14 policy would only lead to Communist gains throughout the oil-rich 
J36  15 region. Both sides attempted to use the American mass media, 
J36  16 particularly the <tf_>New York Times<tf/>, to win converts to their 
J36  17 cause. They competed in describing a vision of reality that would 
J36  18 serve as the context for policymaking. The beginning of this 
J36  19 struggle to shape conventional wisdom at the outset of the Cold War 
J36  20 and the role the mass media played in that conflict is the subject 
J36  21 of this chapter.<p/>
J36  22 <p_>Americans reading the daily press and listening to the nation's 
J36  23 network commentators in the opening days of 1947 had reason to 
J36  24 believe that the world was entering an era of peace. Although a 
J36  25 state of war still technically existed, President Harry S. Truman 
J36  26 on December 31, 1946 declared the hostilities of World War II 
J36  27 officially terminated. Emergency laws exercised by the Executive 
J36  28 Branch since 1941 were ended. A presidential proclamation pledged 
J36  29 the United States would work with other nations in building a world 
J36  30 in which justice would replace force.<p/>
J36  31 <p_>The <tf_>New York Times<tf/> reported that American Secretary 
J36  32 of State James F. Byrnes and Soviet Foreign Minister Vyacheslav M. 
J36  33 Molotov had just completed negotiations in New York that amicably 
J36  34 resolved differences on more than forty issues. United Nations 
J36  35 Secretary General Trygve Lie indicated in his New Year's message 
J36  36 that a <quote_>"sound foundation"<quote/> had been laid and he 
J36  37 looked to the future with <quote_>"sober confidence."<quote/> The 
J36  38 chief United States delegate to the United Nations, Warren R. 
J36  39 Austin, told a radio audience that he was convinced the United 
J36  40 States and the Soviet Union <quote_>"had come to a better 
J36  41 understanding of each other"<quote/> and that he had <quote_>"great 
J36  42 faith"<quote/> that a start had been made on the <quote_>"long road 
J36  43 away from war."<quote/> The nation's foremost radio commentator, 
J36  44 Hans V. Kaltenborn of the National Broadcasting Company (NBC), 
J36  45 caught this spirit of optimism when he told listeners, <quote_>"the 
J36  46 days ahead will confirm mankind's steady march to better 
J36  47 things."<quote/> The United States, Kaltenborn was convinced, had 
J36  48 <quote_>"seized the torch of freedom and held it aloft for others 
J36  49 to see and follow."<quote/><p/>
J36  50 <p_>The New Year's cheer proved short-lived. The British, 
J36  51 bankrupted by the war and wracked by labor problems, abruptly 
J36  52 announced in February a pullback from their commitments in the 
J36  53 Eastern Mediterranean. The collapse of the British economy and the 
J36  54 Labour government's sudden fallback from empire jolted <tf_>New 
J36  55 York Times<tf/> publisher and board chairman Arthur Hays 
J36  56 Sulzberger, who remained convinced that the <quote_>"common 
J36  57 good"<quote/> of the free world required a strong Britain. The 
J36  58 prospect of a disintegrating British empire had <tf|>Times 
J36  59 editorial writers fearing the emergence of a world in which the 
J36  60 United States stood alone in defense of democratic freedoms 
J36  61 everywhere under attack. Kaltenborn shared this sense of sudden 
J36  62 foreboding. Gone was the <quote_>"new age of peace"<quote/> that 
J36  63 seemed to have been dawning only weeks before. The British 
J36  64 cabinet's decision to reduce Britain's armed forces by 340.000 men, 
J36  65 plus the acute shortages of food, fuel and clothing throughout the 
J36  66 United Kingdom, created a <quote_>"dangerous situation,"<quote/> 
J36  67 Kaltenborn believed, in the postwar world.<p/>
J36  68 <p_>Britain's pullback from the Eastern Mediterranean exposed 
J36  69 misgivings long held by members of the American media and the State 
J36  70 Department over the Soviet Union's postwar aims. In the fifteen 
J36  71 months that followed, the world was rhetorically split into two 
J36  72 hostile camps, one Soviet, the other American, separated by 
J36  73 <quote_>"deep distrust and mutual suspicion."<quote/> Palestine, a 
J36  74 country with a violent history of its own, became absorbed within 
J36  75 the East-West war of words when Britain, eager to trim a costly 
J36  76 100,000 man peacekeeping force, announced in late February it was 
J36  77 turning the Palestine problem over to the United Nations. It was 
J36  78 these events that set the stage for a mass-mediated battle for 
J36  79 public opinion at the beginning of the Cold War.<p/>
J36  80 <h_><p_>JOURNALISM'S FIRST DRAFT ON HISTORY<p/><h/>
J36  81 <p_>The early postwar rhetoric of Kaltenborn and Sulzberger 
J36  82 reflects a journalism of self-promotion and self-conscious public 
J36  83 service, if not self<?_>-<?/>abnegation. Each man intended to play 
J36  84 a bigger part in policymaking than either was permitted during the 
J36  85 war years. Born in Milwaukee, Kaltenborn joined the Fourth 
J36  86 Wisconsin Voluntary Infantry to fight in the Spanish-American War. 
J36  87 In the two decades that followed he hustled stories for the German 
J36  88 language press in Wisconsin before joining the staff of the 
J36  89 <tf_>Milwaukee Journal<tf/>, and later Herbert F. Gunnison's 
J36  90 <tf_>Brooklin Daily Eagle<tf/>. On April 4, 1922 Kaltenborn 
J36  91 presented a radio address at the Army Signal Corps station in New 
J36  92 York City, which years later he billed as <quote_>"the first 
J36  93 editorial opinion over the air."<quote/> He made news when he 
J36  94 climbed Mt. Fuji in 1927 and visited the Soviet Union two years 
J36  95 later. In 1932 he covered the Democratic National Convention for 
J36  96 the Columbia Broadcasting System (CBS), later interviewed Hitler 
J36  97 and Mussolini, reported on the Spanish Civil War and the 
J36  98 appeasement at Munich.<p/>
J36  99 <p_>Kaltenborn considered himself a <quote_>"contemporary 
J36 100 historian"<quote/> and saw his fifteen-minute newscasts for NBC 
J36 101 during the war as first drafts of history. NBC nourished this image 
J36 102 and on October 16, 1941 organized a town meeting in which 
J36 103 Kaltenborn answered questions about the war from two hundred of San 
J36 104 Francisco's <quote_>"outstanding citizens."<quote/> NBC also 
J36 105 arranged for a newsreel camaraman to be present. Subsequently, 
J36 106 Kaltenborn appeared weekly in newsreels shown across the country. 
J36 107 During the first six months of the war, more than one million 
J36 108 theatre goers asked for Kaltenborn's views. While he admitted that 
J36 109 he <quote_>"didn't know all the answers,"<quote/> he believed it 
J36 110 was his responsibility to <quote_>"guide public opinion.<quote/><p/>
J36 111 <p_>Both Kaltenborn and Sulzberger saw the press as a major player 
J36 112 in postwar policymaking. Kaltenborn observed that the 
J36 113 responsibility to lead opinion belonged to the press as much as to 
J36 114 those <quote_>"who place their hands over the <tf|>Bible and swear 
J36 115 to do their duty in public office."<quote/> Each made democracy 
J36 116 possible by their public service. Sulzberger told the nation's 
J36 117 leading editors that how the press handled its <quote_>"sacred and 
J36 118 special mission"<quote/> might well <quote_>"determine the destiny 
J36 119 of the world."<quote/> The war had shown too clearly, Sulzberger 
J36 120 claimed, that only <quote_>"an informed democracy"<quote/> was 
J36 121 strong enough to survive in a world where totalitarianism was on 
J36 122 the march.<p/>
J36 123 <p_>During the war the press had been an agreeable, if at times, 
J36 124 reluctant partner in reporting the Roosevelt administration's war 
J36 125 news and views. Part of the reason was that the press generally 
J36 126 supported the war effort. In April, 1942, Kaltenborn endorsed the 
J36 127 idea that total war required a cooperative press in April 1942. 
J36 128 <quote_>"We want freedom of speech and press for patriotic 
J36 129 Americans whose one concern is to win the war,"<quote/> he noted. 
J36 130 <quote_>"We want silence from all others."<quote/> But as the war 
J36 131 went on, many in the press wearied in the role of messenger service 
J36 132 for the Roosevelt administration. Radio newsmen in May, 1943 went 
J36 133 public with a complain that government censors often left 
J36 134 <quote_>"the Japs better informed than Americans."<quote/> Wire 
J36 135 service reporters were convinced a false image of the war was being 
J36 136 communicated through the government's determination <quote_>"to 
J36 137 hold back and play down American casualties."<quote/> The American 
J36 138 Society of Newspaper Editors, representing the nation's largest 
J36 139 dailies, resented the growth of <quote_>"pernicious 
J36 140 propaganda"<quote/> disseminated by government bureaucrats. It 
J36 141 charged in April, 1944 that news management had confused the 
J36 142 American people.<p/>
J36 143 <p_>Arthur Krock, the <tf|>Times veteran Washington correspondent, 
J36 144 believed the war and the controversy growing out of government 
J36 145 efforts to manage the news would alter the policymaking environment 
J36 146 in the immediate postwar period. Krock thought the press would be 
J36 147 less likely to accept the administration's call for a non-partisan 
J36 148 foreign policy. He wrote that the State Department would be 
J36 149 incapable of managing postwar foreign policy without significant 
J36 150 participation by the Congress and the American people. <tf|>Times 
J36 151 management shared Krock's conviction. Sulzberger conceived of the 
J36 152 <tf|>Times as an <quote_>"American institution"<quote/> called upon 
J36 153 to preserve the country's fragile freedoms through vigorous 
J36 154 editorial crusading. Charles Merz, the paper's editorial page 
J36 155 chief, determined to <quote_>"stir the American people and the 
J36 156 Congress to their responsibilities."<quote/> Sunday editor Lester 
J36 157 Markel saw that responsibility as <quote_>"educating public 
J36 158 opinion"<quote/> to what diplomat correspondent James Reston 
J36 159 described as <quote_>"the changes and convulsions in the world in 
J36 160 which America must operate."<quote/><p/>
J36 161 <p_>The determination of <tf|>Times management to participate in 
J36 162 postwar policymaking was a significant departure from the days when 
J36 163 Adolph S. Ochs seriously considered scrapping the paper's editorial 
J36 164 page. The Ohio country boy turned grocer's clerk and druggist's 
J36 165 apprentice told an interviewer that he could get a larger 
J36 166 circulation by printing a newspaper with all advertisements and no 
J36 167 news rather than a paper with all news and no advertisements. His 
J36 168 work as an assistant in the composing room of the <tf|>Knoxville 
J36 169 (Tenn.) <tf|>Tribune and as staff writer and editor of the 
J36 170 <tf_>Chattanooga Times<tf/> convinced him that <quote_>"news which 
J36 171 told the exact truth so far as possible"<quote/> also made good 
J36 172 economic sense. In 1896 he became publisher and controlling owner 
J36 173 of the <tf_>New York Times<tf/>, then a struggling enterprise in 
J36 174 the era of the yellow press dominated by Joseph Pulitzer and 
J36 175 William Randolph Hearst. Ochs' determination to cultivate an elite, 
J36 176 monied readership resulted in a twenty fold increase in <tf|>Times 
J36 177 earnings during the first generation of his stewardship, and it led 
J36 178 to the <tf|>Times' dominance <quote_>"within its own sphere of 
J36 179 usefulness."<quote/> Ochs reasoned that only one in 100 readers 
J36 180 read all the news that <tf|>Times' editors saw fit to print. But 
J36 181 that one <quote_>"would tell the other ninety-nine"<quote/> and the 
J36 182 <tf|>Times would get the reputation of being the <quote_>"complete 
J36 183 newspaper."<quote/><p/>
J36 184 <p_>Sulzberger saw interpretation and leading elite opinion as 
J36 185 central to the postwar role of the <tf|>Times. Sulzberger had been 
J36 186 a member of a noteworthy Jewish family that featured 
J36 187 philanthropists, scholars and jurists, when he married Ochs' only 
J36 188 daughter in 1917, positioning himself as the heir apparent within 
J36 189 the <tf|>Times hierarchy. On Ochs' death in 1935, Sulzberger became 
J36 190 publisher, president, and chairman of the board at the <tf|>Times 
J36 191 and wielded his power to pick associates who shared his commitment 
J36 192 to a journalism of <quote_>"public service."<quote/> Sulzberger saw 
J36 193 protecting the nation's freedom from totalitarian intrusions at the 
J36 194 center of that service. He warned fellow editors that the press was 
J36 195 like the canary miners took down into the shafts with them. 
J36 196 <quote_>"It fell over at the least sign of poisonous gas"<quote/>, 
J36 197 Sulzberger pointed out, and this warning gave others a chance to 
J36 198 escape. While the <tf|>Times primarily considered Soviet foreign 
J36 199 policy before and during the World War II in terms of that nation's 
J36 200 security interests, by the winter of 1947 it was beginning to smell 
J36 201 poison gas. <quote_>"Communists and fellow travelers"<quote/> 
J36 202 represented a threat to the American way of life, Sulzberger told 
J36 203 the nation's editors in April, 1947; the publisher who 
J36 204 <quote_>"knowingly employed a communist or any other type of 
J36 205 totalitarian"<quote/> or gave him <quote_>"any place of 
J36 206 influence"<quote/> in news or editorial departments 
J36 207 <quote_>"threatened the United States itself."<quote/> The defeat 
J36 208 of Nazi Germany did not mean fascism was dead, <tf|>Times 
J36 209 diplomatic correspondent Herbert L. Matthews wrote, expressing this 
J36 210 new orthodoxy. Communist authoritarianism was a <quote_>"Red 
J36 211 Fascism."<quote/><p/>
J36 212 <p_>Sulzberger and the <tf|>Times were seen as an important target 
J36 213 for those within the Truman administration who were pressing for a 
J36 214 get tough policy toward the Soviet Union. In December, 1945 Navy 
J36 215 Secretary James V. Forrestal told Sulzberger and Brooks Atkinson, 
J36 216 the paper's Moscow correspondent, that <quote_>"the only thing /the 
J36 217 Russians) recognize is stark force."<quote/> Forrestal's case to 
J36 218 Sulzberger was that the Russians had <quote_>"no respect for the 
J36 219 normal human weaknesses, such as justice, kindliness and 
J36 220 affection."<quote/> At a cabinet meeting three weeks later 
J36 221 Forrestal urged President Truman to call an emergency meeting of 
J36 222 Sulzberger and other leading newspapermen, as well Kaltenborn and 
J36 223 the nation's leading radio commentators, impressing on them 
J36 224 <quote_>"the seriousness of the present situation."<quote/><p/>
J36 225 
J37   1 <#FROWN:J37\>During these sessions, the PDRY was consistently 
J37   2 reported in Sanaa as arguing that the transitional period between 
J37   3 the announcement of unity and the holding of national elections 
J37   4 should be extended beyond the six months stipulated in the draft 
J37   5 constitution. PDRY leaders reportedly feared that six months was 
J37   6 not enough time to overcome their regime's poor image in the eyes 
J37   7 of the electorate. There was also speculation that both the YAR and 
J37   8 PDRY leaders feared that opposition to the draft constitution was 
J37   9 growing, so they wanted to accelerate the unification process to 
J37  10 deny opponents time to organize.<p/>
J37  11 <p_>Predictably, the issue of assigning senior posts in the new 
J37  12 government proved difficult. Throughout the government structure, 
J37  13 the principle of a 50-50 split of positions, and of assigning 
J37  14 northern deputies to southern department heads and vice versa, was 
J37  15 maintained. The bargaining sessions were long and at times 
J37  16 rancorous as officials jockeyed endlessly to ensure themselves 
J37  17 favorable spots in the new hierarchy. Salih and Bidh were named 
J37  18 president and vice president, respectively, of the five-man 
J37  19 Presidential Council provided for in the draft unity constitution; 
J37  20 the PDRY head of state, Haydar Abu Bakr al-Attas, became prime 
J37  21 minister of a 39-member cabinet, and PDRY prime minister Said Yasin 
J37  22 Numan was installed as speaker of the parliament. The unity 
J37  23 agreement said that sufficient time should be allowed for 
J37  24 transition to permanent unity and specified a two and one-half 
J37  25 year, rather than a six-month, transition period. The 
J37  26 constitutional referendum called for at Aden and stipulated in the 
J37  27 draft constitution was not mentioned.<p/>
J37  28 <p_>The new state was something of a Potemkin facade. The situation 
J37  29 was symbolized by the new flags seen around Sanaa, from which it 
J37  30 was obvious that the green star of the YAR had simply been removed 
J37  31 to leave the unadorned red, white, and black tricolor of the new 
J37  32 state. The 'united' ministries tended to be divided into two camps 
J37  33 of rival northern and southern officials who were more inclined to 
J37  34 keep to themselves than to integrate with their new colleagues. 
J37  35 These divisions were particularly sharp in bodies such as the 
J37  36 Education Ministry, where northern and southern ideas differed 
J37  37 sharply on fundamental substantive issues such as curriculum. As 
J37  38 more than one senior official admitted, the complex problems of 
J37  39 unifying the PDRY's socialist economy with the free market system 
J37  40 of the YAR were at first swept under the rug with the two economies 
J37  41 left to function largely as they had done in the past. In the field 
J37  42 of defense, the general staffs were successfully integrated into a 
J37  43 unified defense ministry, and a few units were moved from south to 
J37  44 north and vice versa. Unification at the rank-and-file level, 
J37  45 however, was left to take place over a protracted period of time, 
J37  46 in order not to sacrifice military efficiency.<p/>
J37  47 <p_>The haste with which the two sides came together had its costs 
J37  48 in the early months of unity. The low salaries that had been paid 
J37  49 to southern officials were at first not raised quickly enough to 
J37  50 keep pace with the cost of living, which rose rapidly toward 
J37  51 northern levels despite the maintenance of some consumer goods 
J37  52 price subsidies. This problem, combined with administrative failure 
J37  53 to meet payrolls in Aden, created severe hardship and short-term 
J37  54 discontent in the south. Another cause of friction was a hasty 
J37  55 attempt to roll back the land reform program under which the PDRY 
J37  56 government had distributed agricultural land in the years following 
J37  57 independence from Great Britain. The dislocations caused by this 
J37  58 effort led to demonstrations in at least one southern province. At 
J37  59 the same time, the government was slow to deliver on promises to 
J37  60 restore real estate confiscated from businessmen who had fled north 
J37  61 from Aden following southern independence. This failure hurt 
J37  62 efforts to induce these businessmen to reinvest in the stagnant 
J37  63 southern economy.<p/>
J37  64 <p_>Despite these difficulties, however, the merger took place 
J37  65 without the major disruptions some had predicted, and the small 
J37  66 size of demonstrations mounted in Sanaa on 22 May against the union 
J37  67 was a fair measure of the weakness of anti-unity sentiment in the 
J37  68 country. Officials noted at that time that their strategy was to 
J37  69 capitalize on the enthusiasm for unity that existed in 1990 and not 
J37  70 allow the formidable practical problems of unification to cause 
J37  71 them to miss this major opportunity. In retrospect, and 
J37  72 notwithstanding the severe problems the Republic of Yemen has faced 
J37  73 in its first two years, their calculation appears sound.<p/>
J37  74 <h_><p_>THE POLITICS OF UNIFICATION<p/><h/>
J37  75 <p_>There were several reasons why the leaders in Sanaa and Aden 
J37  76 were able to overcome a legacy of mutual suspicion and fear created 
J37  77 by 22 years of politico<?_>-<?/>military combat and to unify Yemen 
J37  78 in less than six months. The first and foremost was the sea change 
J37  79 in the international political climate brought about by the Soviet 
J37  80 Union's acceptance of change in Eastern Europe in the late 1980s 
J37  81 and the implications for the Aden regime of Moscow's new attitude 
J37  82 toward its friends elsewhere in the world. The southern leadership 
J37  83 doubtless<&|>sic! felt compelled to alter radically its political 
J37  84 course and to strike the best deal possible with Sanaa as quickly 
J37  85 as possible.<p/>
J37  86 <p_>The other reasons for the success of the unification effort are 
J37  87 interrelated. In the 1980s, the consolidation of the authority of 
J37  88 the YAR government in tribal areas left Salih, whose personal stake 
J37  89 in a successful unity initiative was high, greater room for 
J37  90 maneuver in unity negotiations than he had previously enjoyed. 
J37  91 Salih's greater maneuverability vis-<*_>a-acute<*/>-vis the tribes 
J37  92 grew out of the evolution of the complex Yemeni-Saudi relationship, 
J37  93 which was an important element influencing the success of the 
J37  94 initiative. To understand the radical transformation in the 
J37  95 attitude of the two sides toward one another, the political and 
J37  96 economic positions of Aden and Sanaa in November 1989 must be 
J37  97 considered.<p/>
J37  98 <h_><p_>Aden: Fall 1989, Nowhere to Turn<p/><h/>
J37  99 <p_>By the fall of 1989, the regime in Aden had very limited 
J37 100 options. The bloodletting of January 1986 was a repudiation of Ali 
J37 101 Nasir Muhammad and his effort to seek an opening to the West, seen 
J37 102 by many as the key to the PDRY's economic salvation. Also gone from 
J37 103 the scene, however, were the most prominent of Ali Nasir Muhammad's 
J37 104 hard-line opponents. Although they were eulogized as 'martyred' 
J37 105 heroes, the country's new leaders showed little enthusiasm for 
J37 106 returning the country to a radical communist course.<p/>
J37 107 <p_>PDRY politics following the January events were essentially 
J37 108 stagnant. The regime was divided into factions opposed to one 
J37 109 another along regional as well as ideological lines, with hard-line 
J37 110 North Yemeni members of the former NDF pitted against moderates, 
J37 111 many of whom came from Hadhramaut Province. These splits sharply 
J37 112 limited the regime's ability to develop a clear policy direction. 
J37 113 The only success the new PDRY leadership could claim was the 
J37 114 rapprochement with the YAR that produced the joint investment zone, 
J37 115 the proliferation of other less significant agreements with Sanaa, 
J37 116 and the gradual diminution of the status of Ali Nasir Muhammad and 
J37 117 his exiles in the YAR.<p/>
J37 118 <p_>In social terms at least, the regime had some reason for 
J37 119 self-congratulation. Between 1967 and 1985, illiteracy was reduced 
J37 120 from 97 to 59 percent. In the YAR, the illiteracy rate stood at 80 
J37 121 percent in 1985. In achieving this progress, the PDRY relied 
J37 122 largely on native, well-motivated teachers whereas the YAR depended 
J37 123 heavily on Egyptians. The PDRY could also point with pride to its 
J37 124 liberal family law that gave women rights unparalleled in most 
J37 125 Islamic countries.<p/>
J37 126 <p_>The economy, by contrast, was largely dysfunctional. Land and 
J37 127 fisheries reforms had produced declines in agricultural production, 
J37 128 and the port of Aden, once one of the busiest in the world, played 
J37 129 almost no role in international commerce. Industrial production had 
J37 130 declined, and, despite 20 years of socialism, more than 50 percent 
J37 131 of the gross national product still came from the private sector, 
J37 132 while hard currency remittances from workers abroad accounted for 
J37 133 half the government's annual budget.<p/>
J37 134 <p_>Nowhere was the bankruptcy of the PDRY's system more apparent 
J37 135 than in the petroleum sector. The discovery of oil in the YAR by 
J37 136 the US-based Hunt Oil company in 1984 had led to exports of 200,000 
J37 137 barrels of oil a day five years later. A more or less 
J37 138 contemporaneous Soviet discovery just across the border in the PDRY 
J37 139 had put Aden $500 million in debt with nothing to show for it other 
J37 140 than 60 or so mostly non-functioning wells, a pipeline suspected of 
J37 141 leaking, an outmoded oil processing complex, and a few barrels of 
J37 142 crude oil trucked sporadically to Aden's decrepit refinery. Ali 
J37 143 Nasir Muhammad's opening to the West had brought several Western 
J37 144 companies into the PDRY, but none had made a discovery.<p/>
J37 145 <p_>Against this somber backdrop came the changes in Moscow's 
J37 146 policy toward Eastern Europe. The political message that Moscow was 
J37 147 unwilling to stand behind the regimes there was complemented by 
J37 148 widespread reports in the latter part of 1989 that the Soviet 
J37 149 military and economic aid that had been vital to the Aden 
J37 150 government's survival was to be drastically reduced. Exactly what 
J37 151 the Soviets said to the Aden leaders about aid levels, and when 
J37 152 they said it, is not well known. There is little doubt, however, 
J37 153 that such cuts were an imminent prospect.<p/>
J37 154 <p_>The PDRY leaders' strategy for improving their bleak situation 
J37 155 was to move cautiously in the direction of political and economic 
J37 156 reform. In the latter part of 1989, the government organized local 
J37 157 council elections in which candidates outside the ruling Yemen 
J37 158 Socialist Party were allowed to run; a high percentage of non-party 
J37 159 members were elected. The government also appeared to reach a tacit 
J37 160 understanding with newspaper editors permitting freer journalistic 
J37 161 expression. On the economic front, discussions began with the 
J37 162 Soviet Union in 1989 aimed at making available to Western companies 
J37 163 a substantial portion of the area in Shabwa Province where the 
J37 164 Soviets had been looking for oil. The government also adopted a law 
J37 165 intended to encourage domestic and foreign private investment and 
J37 166 to permit investors to take a percentage of their profits out of 
J37 167 the PDRY. Finally, wealthy Saudis of South Yemeni origin, as well 
J37 168 as southern businessmen who had moved to the YAR, were invited to 
J37 169 make investments in the PDRY economy.<p/>
J37 170 <p_>Aden's limited economic liberalization efforts, however, proved 
J37 171 a failure. Whatever negotiations there had been with the Soviets 
J37 172 about the release of oil acreage seemed to be going nowhere. Soviet 
J37 173 exploration in Shabwa largely ceased, and the date for the opening 
J37 174 of the pipeline from Shabwa to the coast was continually postponed. 
J37 175 Efforts to attract private investment languished as businessmen 
J37 176 waited until the fate of the regime became clear.<p/>
J37 177 <p_>The response of South Yemenis, like that of investors, made it 
J37 178 plain that the regime's political strategy was too little too late. 
J37 179 The spring of 1990 saw considerable ferment in the media - in 
J37 180 contrast to the silence of the still highly 'disciplined' fourth 
J37 181 estate in the YAR - as well as the first stirrings of political 
J37 182 demonstrations and strikes. South Yemenis also made clear their 
J37 183 strong pro-unity feelings. When President Salih went to Aden in 
J37 184 November 1989, he was greeted by crowds calling for unity whose 
J37 185 enthusiasm was obviously not staged. At the same time, some of the 
J37 186 political parties that had been active in both the YAR and the PDRY 
J37 187 in the early 1960s began to resurface in the PDRY. While these 
J37 188 parties were insignificant as political forces, their appearance 
J37 189 reflected the popular interest in genuine liberalization.<p/>
J37 190 <p_>Pressure for unification from South Yemenis continued in the 
J37 191 spring of 1990. By then, the leadership in Aden, short of other 
J37 192 alternatives, appeared to have reached the conclusion that 
J37 193 unification was its best option. In theory, it could have continued 
J37 194 to resist pressures for unification, opting instead for more 
J37 195 radical political change, for a renewed effort to open the oil 
J37 196 fields to Western companies, and for strategms designed to avoid 
J37 197 the need both to play second fiddle to the YAR leadership and to 
J37 198 share their oil wealth with Sanaa. Their decision against such 
J37 199 actions and instead to respond favorably to Salih's unity 
J37 200 initiative almost certainly stemmed from a calculation that popular 
J37 201 feeling in the PDRY both against them and in favor of unity was too 
J37 202 strong to permit them to stay in power.<p/>
J37 203 
J38   1 <#FROWN:J38\><h_><p_>10.2 Connections between City Growth and 
J38   2 Economic Development<p/><h/>
J38   3 <p_>Compared with Third World averages, India did not develop 
J38   4 rapidly between 1960 and 1981. Much of the difference can be 
J38   5 attributed to far lower total factor productivity growth rates 
J38   6 (chap. 7). Indeed, while poor productivity growth can account for 
J38   7 only a portion of India's slow city growth experience after 1964 
J38   8 (chap. 6), it can account for a great deal of the poor economic 
J38   9 performance overall.<p/>
J38  10 <p_>Underlying India's dismal productivity growth performance are 
J38  11 structural and intrasectoral distortions. To some degree, these 
J38  12 could be reduced by appropriate rural policies (notably, providing 
J38  13 insurance incentives to encourage peasant farmers to switch to 
J38  14 higher yield but riskier crop mixes: see Singh, 1979) and 
J38  15 industry-oriented packages (in particular, by removing location and 
J38  16 input pricing distortions created by current policies: see Sekhar, 
J38  17 1983). In the presence of such distortions, traditional policies 
J38  18 that are oriented toward capital formation will have only a modest 
J38  19 impact, mainly because returns are low. This was the key flaw of 
J38  20 the Mahalanobis strategy (chap. 9). Policies that favored urban 
J38  21 manufacturing at the expense of rural production ultimately 
J38  22 resulted in increasing input and urban food costs, as well as in 
J38  23 sharply declining returns to investment.<p/>
J38  24 <p_>Many public sector policies needlessly reduce real incomes of 
J38  25 the poor as well. Excessive modern sector investment is one such 
J38  26 practice. As chapter 9 shows, the Mahalanobis strategy channels 
J38  27 investment to the most capital-intensive sectors, thereby 
J38  28 minimizing the impact of new investment on labor demand, and hence 
J38  29 on unskilled wages. The neglect of agriculture also results in food 
J38  30 price hikes, again hurting the poor. Migration restrictions and 
J38  31 incomes policies tend to diminish the earnings of most unskilled 
J38  32 workers still further.<p/>
J38  33 <p_>Furthermore, highly 'prorural' development strategies reduce 
J38  34 city growth rates only slightly, largely because urban-rural 
J38  35 linkages have become so strong in India. Manufacturing has always 
J38  36 been a major user of raw materials, so an augmented supply of those 
J38  37 raw materials encourages urban-based manufacturing growth. Because 
J38  38 city workers are heavy consumers of foodstuffs, any improvement in 
J38  39 food production that lowers food prices also lowers urban wages, 
J38  40 thus stimulating city growth. In addition, because Indian 
J38  41 agriculture has become increasingly dependent on manufactured 
J38  42 intermediates, agricultural output growth stimulates the demand for 
J38  43 manufacturing output, creating urban employment. As the Indian 
J38  44 economy is relatively closed to trade, all of these urban-rural 
J38  45 linkages tend to be stronger than in the SOE in which such linkages 
J38  46 spill over into changes in foreign trade volumes. India's poor 
J38  47 export performance also implies that the major outlet for increased 
J38  48 output must be the domestic market. Thus, if rural demands lag 
J38  49 behind, urban output will suffer. Furthermore, the growth of Indian 
J38  50 towns and cities appears to have spurred agricultural productivity 
J38  51 in nearby areas by generating increased demand and improving the 
J38  52 supply of critical intermediate inputs (Dasgupta and Basu, 
J38  53 1985).<p/>
J38  54 <p_>In summary, while Indian economic growth may well be greater in 
J38  55 the 1990s than it was in the 1960s and 1970s, strong forces limit 
J38  56 the extent to which it can be carried by highly unbalanced sectoral 
J38  57 productivity advance favoring urban sectors. Development is likely 
J38  58 to be most dramatic in the coming decade if urban <tf|>and rural 
J38  59 productivity advance<&|>sic! are both enhanced simultaneously.<p/>
J38  60 <h_><p_>10.3 Modeling India and Other Developing Countries<p/><h/>
J38  61 <p_>Let us turn to a third set of findings coming from the previous 
J38  62 chapters and consider what we have learned about computable general 
J38  63 equilibrium models. Our general assessment in chapter 3 was the 
J38  64 BMW's simulation of a recent portion of Indian economic history 
J38  65 provided a surprisingly close fit to reality (even though our 
J38  66 vision of that reality was often blurred by imperfect data). In 
J38  67 addition, counterfactual simulation with BMW has offered detailed 
J38  68 insight into the determinants of city growth. Nevertheless, some of 
J38  69 our tales about Indian city growth could have been told without the 
J38  70 help of an elaborate CGE model. But this statement can only be made 
J38  71 ex post facto: the analyst cannot start by assuming which 
J38  72 urbanization and growth forces are most important, which 
J38  73 interactions matter most, and which assumptions are most 
J38  74 critical.<p/>
J38  75 <p_>Although BMW is a complex computer program, it is <tf|>not a 
J38  76 black box. We were surprised at the number of times the model 
J38  77 yielded results inconsistent with our economic intuition. But 
J38  78 unanticipated results were never accepted (nor hidden) out of 
J38  79 deference to the program's inscrutable omniscience. Instead, 
J38  80 virtually all results were subjected to scrutiny that enabled us to 
J38  81 determine exactly which forces were, and which were not, driving 
J38  82 the results. In other words. BMW is not a black box; nor should 
J38  83 other CGE models be viewed as black boxes. The model is a tool, not 
J38  84 a Ouija board.<p/>
J38  85 <p_>Like all models, a CGE can only provide plausible answers to 
J38  86 the questions it was designed to address. And like all models, it 
J38  87 makes assumptions. The BMW model of India assumes that prices and 
J38  88 quantities are, for the most part, determined by the simultaneous 
J38  89 clearing of all markets. As such, it is designed to explain 
J38  90 medium-term and long<?_>-<?/>run phenomena. It was not designed to 
J38  91 assess short-run responses to shocks, for here disequilibrium 
J38  92 rather than equilibrium assumptions seem appropriate. Similarly, 
J38  93 BMW has been developed so that we can address questions relating to 
J38  94 spatial movements and sectoral growth. But it cannot be expected to 
J38  95 provide great insights into policies and shocks impinging on only a 
J38  96 very narrow part of the economy.<p/>
J38  97 <p_>One of the most valuable contributions of BMW (and something 
J38  98 that can in principle be obtained from other CGE models) is a clear 
J38  99 understanding of the model's errors. Just as one would examine 
J38 100 residuals in econometric work, we devote considerable attention to 
J38 101 those episodes and those parts of the economy in which the model 
J38 102 did not seem to fit Indian history well. By analyzing the errors, 
J38 103 we have been able to identify periods and sectors for which a 
J38 104 neoclassical model does poorly and to highlight the need for 
J38 105 further research. It turns out that the main errors all have fairly 
J38 106 obvious explanations.<p/>
J38 107 <p_>One also may ask what can be learned from BMW that could not be 
J38 108 learned from a different framework. Relative to other CGEs, the BMW 
J38 109 India model richly details government behavior and focuses on 
J38 110 infrastructure, capital market fragmentation, and the rural-urban 
J38 111 spatial division (as do Kelley and Williamson, 1984). But CGE 
J38 112 models do not offer the only means by which to analyze 
J38 113 urbanization. It would have been possible to develop a small 
J38 114 econometric model of Indian city growth. Such models are obviously 
J38 115 useful. Furthermore, they avoid 'one-point estimation' of many 
J38 116 parameters, which is inherent in most CGE models. But such models 
J38 117 are highly aggregative; they typically contain few explanatory 
J38 118 variables and cannot be used to analyze urbanization with the 
J38 119 richness offered here. Rather than designating one method as 
J38 120 inferior to the other, it makes more sense to regard them as 
J38 121 complementary, each with different strengths and weaknesses.<p/>
J38 122 <p_>Demographic forecasting offers yet another way to analyze 
J38 123 urbanization (see, for example, Rogers, 1984). These models 
J38 124 typically have extensive detail with respect to demographic 
J38 125 variables; in particular, they usually contain many regions, 
J38 126 population groups, migration probabilities, fertility rates, and 
J38 127 age- and sex-specific death rates. What they do not have are 
J38 128 behavioral specifications or endogenous economic variables. But it 
J38 129 is imporper to assert smugly the superiority of economic models: 
J38 130 ours, after all, aggregates highly over demographic variables and 
J38 131 treats all of them, but not migration, as exogenous.<p/>
J38 132 <h_><p_>10.4 Can We Generalize from India?<p/><h/>
J38 133 <p_>BMW has been designed to capture critical features of the 
J38 134 Indian economy. Our assessment is that it does so rather well, 
J38 135 enabling us to draw a large set of conclusions concerning the 
J38 136 country's urbanization and growth process. But to what extent can 
J38 137 these conclusions be generalized to other countries? The answer 
J38 138 hinges on the similarity between India's demo-economic structure 
J38 139 and that of other developing countries. Naturally, authors like 
J38 140 their findings to be as general as possible. Alas, there are some 
J38 141 major obstacles in the way.<p/>
J38 142 <p_>A leading obstacle is the greater openness of most developing 
J38 143 countries relative to India. In India's semiclosed economy, a 
J38 144 sectoral demand boom can fizzle if the costs of traded goods or 
J38 145 nontraded inputs are bid up rapidly. In an SOE, traded goods' 
J38 146 supply curves are flatter, since traded goods can be imported at a 
J38 147 fixed price. Thus, a booming sector is not held back so much by the 
J38 148 presence of a stagnant, low-productivity sector in an SOE; indeed, 
J38 149 the more unbalanced the productivity advance, the more unbalanced 
J38 150 the output growth. But India, with its small, moribund export 
J38 151 sector and pervasive import controls, cannot accommodate truly 
J38 152 dramatic unbalanced growth quite so easily. In consequence, 
J38 153 unbalanced urban-rural sectoral productivity advance, a driving 
J38 154 force behind rapid city growth, will have a much more pronounced 
J38 155 impact in an SOE than in India.<p/>
J38 156 <p_>Two other key features of India's economic structure are its 
J38 157 relatively large and developed rural nonagricultural sector and 
J38 158 urban manufacturing's dependence on domestically produced raw 
J38 159 materials rather than on imported intermediates. The latter feature 
J38 160 ensures that rural and urban areas are far more closely integrated 
J38 161 than, say, in many African countries. This linkage makes 'runaway 
J38 162 city growth' difficult if not impossible and ensures reasonably 
J38 163 balanced growth, but it also tends to put the brakes on the overall 
J38 164 rate of economic progress. The large rural service sector 
J38 165 essentially competes with the urban sectors for released peasant 
J38 166 labor, but it can also release labor to agriculture and to the 
J38 167 cities, thus reducing competition between them. If Indian 
J38 168 agriculture continues to modernize rapidly -and one should not be 
J38 169 excessively optimistic here -then the presence of a large rural 
J38 170 service sector will provide something of a surplus labor pool that 
J38 171 will continue to permit rapid growth of output (but, less happily, 
J38 172 continue to depress unskilled wages) both in farming and in the 
J38 173 cities.<p/>
J38 174 <p_>In short, India has many unique features. Thus, the question 
J38 175 remains: Are there any generalizable findings? The most important 
J38 176 ones probably center on the role of government. The inegalitarian 
J38 177 nature of public sector employment (bidding up skill differentials) 
J38 178 and demands (consuming urban goods) is unlikely to be unique to 
J38 179 India. So is the need to follow proagricultural policies if large 
J38 180 welfare gains for the poor are a target. As a whole, the 
J38 181 inefficient government policies outlined above are unlikely to be 
J38 182 dramatically different in most other Third World economies. This 
J38 183 comment applies most strongly to urban incomes policies and 
J38 184 migration restrictions. Furthermore, while IMF-style policies are 
J38 185 likely to produce much more growth in SOEs, they are unlikely to be 
J38 186 more egalitarian than in India. The distinction between policies 
J38 187 that generate large real GDP gains and those that increase living 
J38 188 standards of the poor is also generally valid.<p/>
J38 189 <p_>The forces driving India's city growth slowdown are to some 
J38 190 extent also general, although they operate most strongly in a 
J38 191 semiclosed economy. The relative unimportance of rural push factors 
J38 192 is probably wide<?_>-<?/>spread; it was certainly true of 
J38 193 nineteenth-century industrial revolutions as well (Williamson, 
J38 194 1990). Similarly, the importance of <tf|>unbalanced rates of 
J38 195 productivity advance, rather than their average level, in driving 
J38 196 urbanization is likely to be even stronger in the SOEs, as Kelley 
J38 197 and Williamson (1984) have shown. The importance of urban 
J38 198 nonmanufacturing sectors and rural nonagricultural sectors in 
J38 199 understanding growth and urbanization in India is undoubtedly 
J38 200 matched elsewhere as well.<p/>
J38 201 <p_>One of the striking findings from our counterfactual 
J38 202 simulations was that the misallocation of investment has never been 
J38 203 terribly important in India. In a sense, economic inefficiencies 
J38 204 are more likely to matter at the firm level: returns to investment 
J38 205 are, after all, fairly low everywhere. Since SOEs have more rigidly 
J38 206 determined spheres of comparative advantage, sectoral investment 
J38 207 choices are probably more important than in India.<p/>
J38 208 <p_>In extending the model to other countries -or to India of the 
J38 209 1990s -several modifications need to be considered. In particular, 
J38 210 the choice of sectors and the degree of openness must vary from 
J38 211 country to country. So, too, must the assumed degree of factor 
J38 212 market integration and assumptions concerning domestic restrictions 
J38 213 on the tradeability of goods across space. Public sector behavior 
J38 214 is also largely country specific. Finally, countries such as India 
J38 215 that have experienced significant modernization in portions of 
J38 216 their agricultural economies probably should have more than one 
J38 217 agricultural sector in a CGE model.
J38 218 
J39   1 <#FROWN:J39\><h_><p_>Building Trades<p/><h/>
J39   2 <p_>The building and construction trades have made the most direct 
J39   3 gains in using pension funds offensively. Funds from building 
J39   4 trades union pensions formed three labor banks in Colorado, New 
J39   5 Mexico, and Arizona. The building trades have also channeled funds 
J39   6 into union-built construction. Over eleven projects across the 
J39   7 country with varying arrangements and goals have pooled money from 
J39   8 regional pension funds. One notable example is the Bricklayers and 
J39   9 Laborers Non-Profit Housing Company, Inc. The Bricklayer Union and 
J39  10 Laborer Union pension fund buys federally insured certificates of 
J39  11 deposit (with small subsidies from participating unions) from the 
J39  12 U.S. Trust Bank in Boston, which, in turn, finances construction 
J39  13 loans for union-built, low-price housing for South Boston 
J39  14 residents.<p/>
J39  15 <p_>Other building trade investment projects operate like the Union 
J39  16 Labor Life Insurance Company (ULLICO) 'J for Jobs' project, which 
J39  17 invests union pension funds in an open-ended trust that invests in 
J39  18 union-built construction. The Housing Investment Trust (HIT) has, 
J39  19 since 1964, financed union-only housing construction projects with 
J39  20 union pension money. In 1987, the AFL-CIO has expanded the HIT 
J39  21 scope and established the Building Investment Trust (BIT), which 
J39  22 will finance commercial and industrial real estate investments. In 
J39  23 May 1988, the Bakery and Confectionery Pension Plan and the 
J39  24 Bricklayers National Pension Fund committed $15 million to the BIT; 
J39  25 its first project was a $5.8 million hotel complex in Taos, New 
J39  26 Mexico. BIT's advantages to pension funds are its relatively low 
J39  27 administrative costs and the assurance that union labor will be 
J39  28 used in the construction and maintenance of the project.<p/>
J39  29 <p_>The Sheet Metal Workers are using their national pension funds 
J39  30 in a fashion that could be interpreted as a type of industrial 
J39  31 policy. They seek to increase the demand for their members by 
J39  32 closing gaps in financial markets and in the surety industry. In 
J39  33 order to help contractors in the asbestos removal industry obtain 
J39  34 bonds with lower premiums, the union bought a bonding company. The 
J39  35 union pension fund already owns a stake in an asbestos removal 
J39  36 contractor (U.S. Bureau of National Affairs 1988c). Edward 
J39  37 Carlough, President of the Sheet Metal Workers, calls pension funds 
J39  38 the labor movement's 'Star Wars Weapon' (U.S. Bureau of National 
J39  39 Affairs 1988c). Approximately $500 million has been directed into 
J39  40 real estate projects by building trades investment financing 
J39  41 foundations (Westerbeck 1985).<p/>
J39  42 <p_>The building trades have come closest to systematically 
J39  43 challenging the appropriateness of using only the market rate of 
J39  44 return in assessing the quality of an investment. Instead, they use 
J39  45 a Keynesian multiplier argument and argue that pension funds, 
J39  46 unlike other trust funds where all the income comes from financial 
J39  47 investments, have two sources of income -   employer and employee 
J39  48 contributions and investment earnings -   and the rates of return 
J39  49 from both sources, not just from the more visible financial 
J39  50 markets, must be considered. The multiplier argument is primary 
J39  51 rhetorical and has not been quantified.<p/>
J39  52 <p_>Most of the DOL challenges to building trade investment 
J39  53 projects have failed because ERISA's prudent expert rule allows 
J39  54 each investment vehicle to be evaluated within the context of the 
J39  55 portfolio and the interests of the participants (Leibeg 1980). The 
J39  56 unsuccessful 1981 DOL challenge of the Florida Operating Engineers 
J39  57 low-interest mortgage program (for plan participants) showed that 
J39  58 legal pension-fund investments must have a reasonable rate of 
J39  59 return and must serve the needs of the participants (U.S. Bureau of 
J39  60 National Affairs 1986a, 1986c). The Reagan administration had sent 
J39  61 mixed signals about these union initiatives. The DOL continues to 
J39  62 issue warnings about union social investment projects, but then 
J39  63 President Reagan, speaking to a building trades meeting in 1982, 
J39  64 applauded the unions' efforts in setting an example for local 
J39  65 initiatives (Smith 1984). In fact, the building trades' activities 
J39  66 have not threatened the traditional control of capital.<p/>
J39  67 <p_>Each project has different effects in terms of reallocating 
J39  68 capital. Some projects clearly correct a market failure, or 
J39  69 barrier, by providing funds to projects that would have otherwise 
J39  70 faced a credit problem. The Boston Bricklayer and Laborer project 
J39  71 is an example of reallocating capital. Other projects can be viewed 
J39  72 as substitutes for organizing new members. The enemy in the 
J39  73 building trades is not always perceived as the nonunion worker or 
J39  74 the aggressive employer; and in periods of high unemployment the 
J39  75 nonunion contractor is not blamed as much as insufficient demand. 
J39  76 The building trades have sidestepped organization in favor of using 
J39  77 pension<?_>-<?/>fund monies as a primary way to increase the market 
J39  78 share of unionized construction (U.S. Bureau of National Affairs 
J39  79 1985; Freeman 1985). <p/>
J39  80 <h_><p_>State and Local Governments<p/><h/>
J39  81 <p_>State and local social investing, practiced by public funds in 
J39  82 about twelve states, is confined to mortgages or loans to small 
J39  83 businesses. The main purpose is to increase employment in the 
J39  84 relevant region by filling a capital gap and not by providing loans 
J39  85 below 'market rates.' The state of Michigan's project to coordinate 
J39  86 investments of private and public funds to provide small business 
J39  87 loans and the Pennsylvania MILRITE project are just two examples of 
J39  88 the many affirmative investment strategies of governments. These 
J39  89 trends can be tracked through the BNA's <tf_>Pension Reporter<tf/>, 
J39  90 <tf_>Labor and Investments<tf/>, and other pension-industry 
J39  91 publications.<p/>
J39  92 <p_>From a distance, these programs look like models of socially 
J39  93 responsible investment because the government, endowed with the 
J39  94 duty to maximize social goals, invests. Only some projects 
J39  95 reallocate capital to worthy projects that otherwise would have 
J39  96 faced a credit shortage. Other projects involve granting some 
J39  97 privilege to the private sector and usually do not involve the 
J39  98 public sector labor unions. Moreover, I have not found cases where 
J39  99 the state and local governments have opted for owner control; they 
J39 100 have not operated the projects they finance through pension funds. 
J39 101 Another, more political, state and local use of pension plans is 
J39 102 represented by the efforts of the late California State Treasurer, 
J39 103 Jesse Unruh, who, at the end of 1984, organized the Council of 
J39 104 Institutional Investors (CII), which now has representatives from 
J39 105 twenty-two state and local pension funds, six multiemployer funds, 
J39 106 and one single-employer plan administrator (<tf_>Pensions and 
J39 107 Investment Age<tf/> 1989). The CII seeks to monitor and influence 
J39 108 corporate policies that affect its state and local pension-fund 
J39 109 investments, such as green mail, golden parachutes, and poison 
J39 110 pills, because these practices threaten dividend income. CII was 
J39 111 very vocal in its criticism of GM management's buyout of its 
J39 112 largest individual shareholder, H. Ross Perot. Despite GM's 
J39 113 assertion that a $720 million price tag on $350 million worth of 
J39 114 shares represented a good investment, CII, as well as most of the 
J39 115 financial press, cited H. Ross Perot's increasingly shrill 
J39 116 criticism of GM management, for example, his public questions, such 
J39 117 as, <quote_>"Why does it take longer to design a GM car than it did 
J39 118 to fight World War II?"<quote/> as a leading motive for the buyout 
J39 119 (Kraw 1989). CII forced a meeting with senior members of GM 
J39 120 management. A few years later, in January 1990, two CII members, 
J39 121 the New York and California state funds, in reportedly 
J39 122 uncoordinated efforts wrote to GM asking for a say in the 
J39 123 replacement of Roger Smith as GM chief. Most of the CII's tools are 
J39 124 public embarrassment, shareholder resolutions, proxy votes, and 
J39 125 capital boycotts. CII actions often seek to protect shareholders 
J39 126 from entrenched management resisting a takeover. In many cases, 
J39 127 labor would be directly opposed to the interests of the 
J39 128 shareholders and in agreement with managements' efforts to save the 
J39 129 plant from a hostile takeover and possible plant closing.<p/>
J39 130 <p_>Under criticism from Edward V. Regan, New York State 
J39 131 comptroller and sole trustee of the $44 billion New York State and 
J39 132 Local Retirement Fund, Governor Marie Cuomo's Commission on 'The 
J39 133 New York State Pension Investment Task Force' recommended that 
J39 134 pension funds obtain guarantees from federal agencies to invest in 
J39 135 projects to improve the state's infrastructure. Regan argued 
J39 136 against the Commission's report and financier Felix Rohatyn's 
J39 137 similar suggestions that the federal government was overburdened by 
J39 138 guarantees and the first and foremost duty of the fund was to earn 
J39 139 the highest return.<p/>
J39 140 <p_>This sort of reasoning was further displayed in 1990 when 
J39 141 several state and local pension funds threatened to divest 
J39 142 themselves of the stock of all Pennsylvania-based companies to 
J39 143 protest Pennsylvania's restrictions on hostile takeovers. The 
J39 144 pension funds' position is that hostile takeovers bid up the price 
J39 145 of the stock and any restriction on hostile bids constrains the 
J39 146 potential profit from holding that equity. Lawmakers in 
J39 147 Pennsylvania want to halt hostile takeovers in order to stabilize 
J39 148 communities and the business environment. What the Pennsylvania 
J39 149 pension plans do will reveal how sharp the horns of the dilemma 
J39 150 actually are when it comes to defining socially responsible 
J39 151 pension-fund strategies.<p/>
J39 152 <h_><p_>Churches, Wealthy Individuals, and Endowments<p/><h/>
J39 153 <p_>The Interfaith Center for Corporate Responsibility and the 
J39 154 Investor Responsibility Research Council are research and advocacy 
J39 155 institutes with strong church connections. Their publications 
J39 156 provide advice on share<?_>-<?/>holder rights and strategies. Most 
J39 157 of the alternative investments of university endowments have been 
J39 158 in South African divestment and clean fund investments. In addition 
J39 159 to specific actions and research functions, the financial industry 
J39 160 has responded to the concern of churches, unions, endowments, and 
J39 161 wealthy individuals who fear their investments are encouraging 
J39 162 antisocial activities by the offering of 'clean funds' (Domini and 
J39 163 Kinder 1984). Currently, in the U.S., eight mutual funds and three 
J39 164 money market funds advertise holdings that are screened according 
J39 165 to various criteria. Two Canadian funds, the Summa Fund and the 
J39 166 Ethical Growth Fund, and one British fund, The Stewardship Unit 
J39 167 Trust, use social screening criteria in selecting investments. Each 
J39 168 fund seems specifically tailored to one or more groups. For 
J39 169 instance, the PAX World fund does not contain 'sin' stocks, such as 
J39 170 holdings in tobacco or liquor companies or defense contractors. The 
J39 171 performance of these socially screened funds beats the market 
J39 172 average. As a 1986 <tf_>Wall Street Journal<tf/> headline noted, 
J39 173 <quote_>"Investors Can Do All Right By Doing Good"<quote/>. So do 
J39 174 the brokerage houses and money managers who have developed this 
J39 175 market niche.<p/>
J39 176 <p_>From the point of view of labor and churches, however, the 
J39 177 structure of capital markets limits the effectiveness of the clean 
J39 178 fund strategy. Multinationals and conglomerates issue debt and 
J39 179 equity. Targeting money into a particular region, or to a 
J39 180 particular subsidiary of a conglomerate, is not possible, because 
J39 181 capital allocation decisions are made internally. Managers make 
J39 182 investment decisions. Unions face the same problems a shareholders 
J39 183 if they attempt to transform companies through the ownership of 
J39 184 corporate equity. The advantage the labor movement has over most 
J39 185 shareholders -   its national presence -   can either create 
J39 186 enormous clout, or unresolvable conflicts of interest among unions. 
J39 187 (How successful would the Shell boycott have been if the Oil, 
J39 188 Chemical and Atomic Workers Union represented Shell employees?)<p/>
J39 189 <p_>But, trustees of funds of many corporations and entities with 
J39 190 trust funds are asking the same question Harbrecht (1959) and 
J39 191 Barber and Rifkin (1978) exhorted labor unions themselves to ask. 
J39 192 In the words of a pension attorney, <quote_>"What is it that says 
J39 193 trustees of the American Cancer Society can't say (its pension 
J39 194 fund) won't invest in tobacco stocks"<quote/> (Gerald Feder, quoted 
J39 195 in <tf_>Pensions and Investment Ages<tf/> 1989).<p/>
J39 196 <h_><p_>Corporations<p/><h/>
J39 197 <p_>Corporations have discovered in the 1980s that their pension 
J39 198 finds can be convenient sources of cash and can serve other 
J39 199 corporate needs. A combination of legal, political, and economical 
J39 200 factors explains why single<?_>-<?/>employer pension funds are now 
J39 201 used as a corporate financing tool.<p/>
J39 202 <p_>The interpretation, and Reagan administration's enforcement of 
J39 203 ERISA, all but encouraged corporations to put their funds to 
J39 204 innovative and, indeed, alternative uses. To fend off hostile 
J39 205 takeovers, or to court 'white knights', a corporation can often 
J39 206 obtain DOL permission to direct its employee pension fund to buy 
J39 207 the company's stock (as long as it is not 'overpriced'). A 
J39 208 corporation can terminate a plan that happens to have more assets 
J39 209 than legal liabilities, pay the liabilities, and use the extra 
J39 210 cash. The corporation can also manipulate the rate of return the 
J39 211 fund is assumed to earn in order to alter the cash contributions 
J39 212 required to fund the liability. Raising the assumed rate assumes 
J39 213 the fund will earn more and, therefore, require less from the 
J39 214 firm.<p/>
J39 215 <p_>Between 1980 and 1987 about $9 billion had been recaptured by 
J39 216 corporations in defined-benefit pension plan terminations 
J39 217 (VanDerhei and Harrington 1989: 189).
J39 218 
J40   1 <#FROWN:J40\><h_><p_>Straight talk from Wall Street<p/>
J40   2 <p_>A highly regarded stock analyst points out what's right - and 
J40   3 wrong - with bank investor relations<p/>
J40   4 <p_>By Thomas K. Brown<p/><h/>
J40   5 <p_>What makes an effective investor relations program? The answer 
J40   6 depends to an extent on your position. I will provide the 
J40   7 perspective of a Wall Street bank stock analyst.<p/>
J40   8 <p_>We'll start with the person in charge of investor relations. 
J40   9 This person must have a thorough understanding of the company and 
J40  10 its financial statements, as well as access to senior 
J40  11 management.<p/>
J40  12 <p_>He or she must be able to perform the delicate task of 
J40  13 providing information to analysts and investors without crossing 
J40  14 the line of differential disclosure.<p/>
J40  15 <p_>This person cannot be purely a cheerleader, nor a sugar-coater. 
J40  16 The goal is to present a fair picture of current conditions.<p/>
J40  17 <p_>There is no one spot in the organization from which the head of 
J40  18 investor relations should come.<p/>
J40  19 <p_>For example, at Wachovia Corp. and Mellon Bank Corp. the heads 
J40  20 of investor relations are individuals located in the finance part 
J40  21 of the organization. Both are excellent. Bank of America Corp. has 
J40  22 one individual whose sole responsibility is investor relations and 
J40  23 he is the best in the business. Fleet/Norstar Financial Group 
J40  24 operates with a team involving the chief financial officer and two 
J40  25 individuals with responsibilities in addition to investor 
J40  26 relations. Yet the result is quite effective.<p/>
J40  27 <p_>The form may vary, but in all these cases the end result is an 
J40  28 effective program.<p/>
J40  29 <p_>Unfortunately, in too many companies, including some of the 
J40  30 largest banking firms, the head of investor relations is either not 
J40  31 knowledgeable about the company and its financials or lacks timely 
J40  32 access to senior management. These companies are known for their 
J40  33 mishandling of important information, for differential disclosure, 
J40  34 and for the dreaded 'surprise' announcement.<p/>
J40  35 <p_><tf_>Responsive voice.<tf/> As important as the quality of 
J40  36 information disseminated is its timeliness. Institutional analysts 
J40  37 and investors are under ever-increasing pressure to gain access to 
J40  38 important information and draw investment conclusions.<p/>
J40  39 <p_>At First Union Corp. and Wells Fargo & Co., investor relations 
J40  40 staffs are briefed about the company's quarterly earnings just 
J40  41 before they are released. In this way, several individuals at the 
J40  42 company are then able to answer questions from analysts and 
J40  43 investors once the earnings release is made public.<p/>
J40  44 <p_>At other companies there is only one individual available to 
J40  45 answer questions. This inevitably leads to long delays in receiving 
J40  46 answers and effectively puts some analysts at a significant 
J40  47 competitive disadvantage.<p/>
J40  48 <p_>However, because there are more investors and analysts than 
J40  49 staffers, at times priorities will have to be made as to who is 
J40  50 called first.<p/>
J40  51 <p_>Don't just return calls in the order they are received. In my 
J40  52 opinion, the top priorities should be large shareholders and those 
J40  53 Wall Street analysts who have been particularly visible (both 
J40  54 positive and negative) in providing research on the company. This 
J40  55 may seem unfair, but it will lead to quickest dissemination of 
J40  56 information.<p/>
J40  57 <p_><tf_>Good, timely disclosure.<tf/> Analysts are never satisfied 
J40  58 with the level of disclosure. So it's only natural that one of the 
J40  59 traits that I find in the best investor relations programs is 
J40  60 excellent disclosure of timely information.<p/>
J40  61 <p_>Recent examples of breakthroughs in the disclosure of important 
J40  62 new information include:<p/>
J40  63 <p_><*_>bullet<*/>A reconciliation of flows in nonperforming assets 
J40  64 provided by Valley National Corp., Bank of Boston Corp., and 
J40  65 Shawmut National Corp.<p/>
J40  66 <p_><*_>bullet<*/>First Tennessee National Corp. provides a 
J40  67 breakdown of its loan portfolio by risk rating.<p/>
J40  68 <p_><*_>bullet<*/>Wells Fargo provides excellent disclosure of the 
J40  69 cash payments received on nonperforming loans.<p/>
J40  70 <p_>The goal of increased disclosure should be to put meat on the 
J40  71 bones of the company's required financial statements. The enhanced 
J40  72 disclosure of asset quality trends previously described, as well as 
J40  73 line-of-business results, are quite helpful in this regard. A 
J40  74 better understanding of what is occurring at the company can only 
J40  75 help to reduce investor uncertainty. Over time, this will lead to a 
J40  76 higher relative stock price valuation.<p/>
J40  77 <p_>One of the principal sources of disclosure is the annual 
J40  78 report. I believe this is the single most important communication a 
J40  79 company makes to its share<?_>-<?/>holders and potential investors. 
J40  80 It should provide the reader with a thorough understanding of the 
J40  81 company's products, markets, strategy, and recent financial 
J40  82 performance.<p/>
J40  83 <p_>Frankly, I am amazed that the investor relations departments at 
J40  84 numerous companies do not provide <tf|>any input into the company's 
J40  85 annual report - a mistake.<p/>
J40  86 <p_>There are numerous examples of companies that publish 
J40  87 outstanding annual reports. Among them are Fleet/Norstar, First 
J40  88 Union, Barnett Banks Inc., and Norwest Corp.<p/>
J40  89 <p_>Unfortunately, some of the highest<?_>-<?/>quality companies 
J40  90 publish some of the worst annual reports. As long as these 
J40  91 companies continue to deliver superior results, this won't be a 
J40  92 major problem. But if they stumble, the lack of disclosure will 
J40  93 lead to investor uncertainty and a sharply lower relative 
J40  94 valuation.<p/>
J40  95 <p_><tf_>No differential disclosure.<tf/> It is difficult to be 
J40  96 responsive and provide timely disclosure of information without 
J40  97 crossing the line and providing differential disclosure to one 
J40  98 analysts or investor. The issue can only be managed. It cannot be 
J40  99 avoided completely.<p/>
J40 100 <p_>However, there are some obvious steps that can be taken to 
J40 101 reduce differential disclosure.<p/>
J40 102 <p_>For example, don't allow analysts and investors to visit the 
J40 103 company after the quarter is over and before earnings are reported. 
J40 104 Try as they might, senior management seldom is able to conduct 
J40 105 these meetings without providing an important insight into the 
J40 106 quarterly results.<p/>
J40 107 <p_>In addition, when analysts and investors call after the quarter 
J40 108 is over and before the results are announced, the investor 
J40 109 relations department should discuss only the results from the first 
J40 110 two months of the quarter and make this clear to the caller.<p/>
J40 111 <p_>Finally, senior management must spend more time telling 
J40 112 employees what constitutes inside information. I am surprised at 
J40 113 the number of company executives who know they must not disclose 
J40 114 certain information to analysts and professional investors. Yet 
J40 115 they will freely discuss such information with friends in social 
J40 116 settings.<p/>
J40 117 <p_>Leaks of information destroy an investor relations program and 
J40 118 raise doubts about management's credibility - and internal 
J40 119 controls.<p/>
J40 120 <p_><tf_>Educate the Street.<tf/> Effective investor relations 
J40 121 isn't simply being responsive to Wall Street's ever-changing 
J40 122 desires. Sometimes investor relations programs need to take a stand 
J40 123 on issues.<p/>
J40 124 <p_>My personal peeve is the widespread use of the 
J40 125 reserve-to-nonperforming loan ratio as the sole measure of reserve 
J40 126 adequacy. Any good banker knows that this ratio is a poor indicator 
J40 127 of reserve adequacy. Yet management let Wall Street adopt this 
J40 128 measure over the past few years as its principal tool in reserve 
J40 129 adequacy.<p/>
J40 130 <p_><tf_>Educate the brass.<tf/> An effective investor relations 
J40 131 program must educate the company's senior management, and 
J40 132 particularly its chief executive officer, in the workings of Wall 
J40 133 Street, for example:<p/>
J40 134 <p_><*_>bullet<*/><tf_>The difference between good companies and 
J40 135 good stocks<tf/>. A good or even great company does not necessarily 
J40 136 make a good investment over the short or intermediate term. And 
J40 137 those are the time frames of most investors, whether they say so or 
J40 138 not.<p/>
J40 139 <p_>As of mid-November in 1991, J.P. Morgan had had an outstanding 
J40 140 year and it is widely regarded as an excellent company. Yet it has 
J40 141 been one of the market's worst-performing bank stocks. Analysts can 
J40 142 recognize J.P. Morgan as an outstanding company and yet not 
J40 143 recommend its stock - and be helping their clients in the 
J40 144 process.<p/>
J40 145 <p_><*_>bullet<*/><tf_>Analysts' varying perspectives<tf/>. Most 
J40 146 Wall Street analysts are not good stock pickers.<p/>
J40 147 <p_>Many are really investment bankers hiding out in the research 
J40 148 department; others are just good at understanding industry trends. 
J40 149 A good investor relations program will explain to senior management 
J40 150 the strengths and weaknesses of the analysts who are making public 
J40 151 comments or writing reports.<p/>
J40 152 <p_>For example, when the analysts at the company's principal 
J40 153 investment banking firm write a glowing report about the company, 
J40 154 it's up to the investor relations department to remind senior 
J40 155 management of the analysts' bias. Or, when an analyst who doesn't 
J40 156 know the company well publishes a report that is somewhat off base, 
J40 157 the investor relations department should explain this to senior 
J40 158 management and then contact the analyst.<p/>
J40 159 <p_><*_>bullet<*/><tf_>Don't let the CEO blow up over negative 
J40 160 comments<tf/>. When a negative report is written or negative 
J40 161 comments are made, it is up to the investor relations department to 
J40 162 encourage the CEO not to act irrationally by cutting the analyst 
J40 163 off from the information flow or by preventing the banking company 
J40 164 from doing any business with the analyst's firm.<p/>
J40 165 <p_>Such steps are only understandable when careless analysis has 
J40 166 damaged the company or if the analyst is deliberately spreading 
J40 167 misinformation.<p/>
J40 168 <p_>An effective investor relations program can significantly 
J40 169 influence how investors view the company, which will impact how the 
J40 170 company's earnings stream is capitalized <tf_>over the long 
J40 171 run<tf/>. Too often, managements judge the effectiveness of their 
J40 172 investor relations programs by short-term movements in their stock 
J40 173 price - a critical mistake.<*_>square<*/><p/>
J40 174 
J40 175 <h_><p_>ADA compliance is uncharted territory<p/><h/>
J40 176 <p_>With just a short time remaining before some provisions of the 
J40 177 Americans with Disabilities Act (ADA) take effect, community 
J40 178 bankers are generally less concerned about compliance with the law 
J40 179 than their counterparts in large metropolitan-area banks.<p/>
J40 180 <p_>Nevertheless, they have some real concerns, not the least of 
J40 181 which is how to finance structural and other changes that may be 
J40 182 required. <quote_>"From an employment standpoint, we have a second 
J40 183 floor without elevator access, which pretty well leaves the 
J40 184 handicapped out,"<quote/> notes Gerald Hansen, vice-president and 
J40 185 controller of Itasca (Ill.) Bank &Trust Co., with $172 million in 
J40 186 assets. <quote_>"We can make arrangements that will alleviate the 
J40 187 problem in terms of interviews, but if someone were qualified to 
J40 188 work in that area, we would have to consider the cost of installing 
J40 189 an elevator in the building."<quote/> The law states that 
J40 190 <quote_>"readily achievable"<quote/> measures to remove physical 
J40 191 and communications barriers must be taken, but such language has 
J40 192 yet to be tested in the courts, and the expense of installing an 
J40 193 elevator probably would not be found readily achievable.<p/>
J40 194 <p_>But the problem is not an isolated one. Michael Derr, assistant 
J40 195 vice<?_>-<?/>president, operations, at the $144 million-assets Bank 
J40 196 of Glen Burnie (Md.), faces a similar situation at his bank's main 
J40 197 office. That facility was built in the early 1950s, notes Derr, 
J40 198 with very limited access to the second floor.<p/>
J40 199 <p_>The bank has four remote branches as well, <quote_>"and the 
J40 200 bank is surveying those facilities and identifying areas that could 
J40 201 be considered barriers,"<quote/> says Derr. Like most banks, 
J40 202 accessibility to automated teller machines ranks high on the list 
J40 203 of potential trouble spots, but access to night depositories and 
J40 204 rest rooms can't be overlooked either, notes Derr. <quote_>"We'll 
J40 205 have to make a judgement as to what is practical,"<quote/> he 
J40 206 says.<p/>
J40 207 <p_>Derr and dozens of other bankers attended an ABA-sponsored 
J40 208 symposium on ADA in late October. Speakers, including those 
J40 209 representing various disabled groups, encouraged banks of all sizes 
J40 210 to have a committee in place whose task is to formulate a strategy 
J40 211 for complying with the law. Such a measure will help persuade a 
J40 212 court of law that a bank is attempting to meet the requirements of 
J40 213 ADA, if and when litigation occurs.<p/>
J40 214 <p_><tf_>Disabled neighbors.<tf/> <quote_>"We're not anticipating 
J40 215 litigation,"<quote/> says Paul Sciacchitano, executive 
J40 216 vice-president and cashier of Old Point National Bank, Hampton, 
J40 217 Va., which has $263 million in assets. <quote_>"A lot of disabled 
J40 218 people deal with us already, since we're one street away from a 
J40 219 Veteran's Administration center,"<quote/> he adds.<p/>
J40 220 <p_>A year ago, Sciacchitano's bank surveyed its locations and 
J40 221 identified areas where access for the disabled could be improved. 
J40 222 Since then, Sciacchitano has become more sensitive to the issue of 
J40 223 accessibility for the disabled. He's observed that a local 
J40 224 fast-food restaurant, for example, put a wheelchair ramp in a 
J40 225 virtually inaccessible location leading to a doorway that is only 
J40 226 about 20 inches wide. <quote_>"And the ramp was placed in the 
J40 227 middle of a parking space with no clear access to it,"<quote/> says 
J40 228 <}_><-|>Sciaccitano<+|>Sciacchitano<}/>. <quote_>"It was done as an 
J40 229 afterthought and showed no real consideration."<quote/><p/>
J40 230 <p_>Most disconcerting to Sciacchitano and other bankers is the 
J40 231 fact that the only real enforcement of the law regarding facility 
J40 232 accessibility lies with the Department of Justice. The Equal 
J40 233 Employment Opportunity Commission (EEOC) will oversee compliance of 
J40 234 the law's Title I provisions, which deal with human resources 
J40 235 issues.<p/>
J40 236 <p_><quote_>"Compliance is more subjective than objective,"<quote/> 
J40 237 says Sciacchitano, <quote_>"but the monetary penalties involved are 
J40 238 rather objective.
J40 239 
J41   1 <#FROWN:J41\><h_><p_>Motor Carrier Deregulation and Highway Safety: 
J41   2 An Empirical Analysis<p/>
J41   3 <p_>DONALD L. ALEXANDER<p/>
J41   4 <p_>I. Introduction<p/><h/>
J41   5 <p_>The passage of the Motor Carrier Reform and Modernization Act 
J41   6 of 1980 (MCA 1980) effectively marked the end of rate and entry 
J41   7 regulation in the interstate trucking industry, and most economists 
J41   8 agree that this legislation has created many important economic 
J41   9 benefits during the 1980s. For example, shipping rates fell in real 
J41  10 terms, service expanded and improved in quality, and generally 
J41  11 resources were used more efficiently. There is increasing concern, 
J41  12 however, that deregulation has led firms to reduce safety 
J41  13 expenditures in order to remain competitive, and that trucking 
J41  14 accidents and fatalities have increased as a consequence [4; 9]. 
J41  15 Indeed, Brock Adams (former U.S. Secretary of Transportation) 
J41  16 claims that trucking accidents have increased since 1980 for this 
J41  17 very reason.<p/>
J41  18 <p_>The limited empirical evidence reported in the literature 
J41  19 suggests otherwise. Moore [17], for example, shows that accident, 
J41  20 fatality, and injury rates have fallen since 1980 despite the rapid 
J41  21 increase in the number of truck-miles traveled [13]. His analysis, 
J41  22 however, is based on a comparison of rates across time, and does 
J41  23 not reveal any of the potential economic or institutional forces 
J41  24 that may be affecting the evolution of these data. In a more 
J41  25 systematic analysis, Traynor [22] finds that deregulation has 
J41  26 reduced accident rates in California, although it may be difficult 
J41  27 to extend his results to the national experience as a whole.<p/>
J41  28 <p_>This paper has two major objectives. The first is to estimate 
J41  29 an empirical model using a pooled, cross section of state data to 
J41  30 determine whether the evidence Traynor [22] reports for California 
J41  31 holds, in general, for all other states. The second objective is to 
J41  32 determine empirically those factors that may be driving the results 
J41  33 in Moore [17]. Pooling these data allow<&|>sic! us to test for the 
J41  34 impact of deregulation on accident, fatality, and injury rates 
J41  35 while holding state-specific factors constant; an empirical 
J41  36 approach that is not possible at a higher level of aggregation.<p/>
J41  37 <p_>The paper is organized in the following manner. In the second 
J41  38 section I discuss three possible ways deregulation may have 
J41  39 affected accident rates in interstate trucking. The third section 
J41  40 presents the empirical model and regression results, and the final 
J41  41 section summarizes the major conclusions drawn from this 
J41  42 investigation.<p/>
J41  43 <h_><p_>II. Motor Carrier Deregulation and Highway Safety<p/><h/>
J41  44 <p_>The current theoretical literature provides a framework for 
J41  45 discussing the potential link between changes in deregulation and 
J41  46 highway safety. I will use this framework to focus on three aspects 
J41  47 of deregulation that are likely to affect highway safety in the 
J41  48 trucking industry.<p/>
J41  49 <p_>Before deregulation, rate bureaus acted as cartels and set 
J41  50 shipping rates at supracompetitive levels. Since the Interstate 
J41  51 Commerce Commission (ICC) restricted the entry of new trucking 
J41  52 firms, incumbent firms were able to earn economic rents that were 
J41  53 shared with organized labor. After deregulation, however, the ICC 
J41  54 essentially permitted free entry and naturally there was an influx 
J41  55 of new firms. Winston et al. [31], for example, report that the 
J41  56 number of truckers with ICC operating authority increased from 
J41  57 18,045 in 1980 to 36,948 in 1986. One implication for highway 
J41  58 safety is that trucking accidents may have increased because of the 
J41  59 additional traffic congestion. Moreover, if the new entrants were 
J41  60 inexperienced in handling trucks on congested highways, it is 
J41  61 likely accidents would have increased until the new drivers gained 
J41  62 the necessary driving experience.<p/>
J41  63 <p_>The implicit assumption underlying this argument is that a 
J41  64 driver's behavior towards safety remains unchanged in response to a 
J41  65 change in the regulatory environment, which Peltzman [18] has 
J41  66 questioned on theoretical grounds. Although deregulation in the 
J41  67 trucking industry did not involve a specific change in safety 
J41  68 regulation, Peltzman's model provides a useful framework to examine 
J41  69 the effect of deregulation on the behavior of owner-operators.<p/>
J41  70 <p_>The basic model is that drivers face a choice between driving 
J41  71 intensity (e.g., faster speeds, longer hours) and the probability 
J41  72 of an accident, which is affected by several economic factors: the 
J41  73 price of an accident, income, and a regulatory parameter which we 
J41  74 will associate with the driver's promotion of safety. In a 
J41  75 cross-section model, it is difficult to argue that interstate 
J41  76 drivers respond to differential 'accident prices' across each 
J41  77 state. Moreover, it is equally difficult to argue that secular 
J41  78 changes in income that Peltzman discusses are at work to the same 
J41  79 extent in this analysis since we are using data for a shorter time 
J41  80 span. Therefore, I will ignore the first and second factors and 
J41  81 focus on the third.<p/>
J41  82 <p_>We can think of deregulation shifting the driver's demand for 
J41  83 driving intensity in several ways. The widely-held view is that 
J41  84 deregulation has led owner-operators to reduce safety expenditures 
J41  85 to remain competitive, which raises the probability of an accident 
J41  86 for a given level of driving intensity. It is not quite clear, 
J41  87 however, why owners would reduce safety expenditures when their 
J41  88 discounted future profits depend on providing timely and safe 
J41  89 deliveries today.<p/>
J41  90 <p_>On the other hand, deregulation may have induced firms, which 
J41  91 employ drivers for hire, to increase their safety expenditures. 
J41  92 Suppose a trucking firm uses two complementary inputs, labor 
J41  93 (<tf|>L) and safety (<tf|>S), per truck to deliver a given quantity 
J41  94 of goods. We can think of <tf|>S broadly as the resources the firm 
J41  95 uses to maintain some level of safe operation, which may include 
J41  96 any investment in safety training for drivers or the purchase of 
J41  97 truck-related safety equipment. In competitive markets, the level 
J41  98 of safety the firm provides determines the wages the firm must pay 
J41  99 to compensate drivers for any relative risks in trucking. If, for 
J41 100 example, the firm offers better training or installs more (or 
J41 101 better) safety equipment, then wages would be commensurately lower. 
J41 102 As wages fell after deregulation, this may have created an 
J41 103 incentive for firms to hire more drivers and to provide additional 
J41 104 safety to compensate drivers for any apparent risks in trucking. In 
J41 105 addition, it is quite possible that firms provided the drivers with 
J41 106 greater safety resources (i.e., equipment or training) because the 
J41 107 new drivers were relatively inexperienced. The implication is that 
J41 108 if firms increased safety expenditures because wages fell, then 
J41 109 accidents would have probably fallen as well. Moreover, if the 
J41 110 additional expenditures were used to purchase truck-related safety 
J41 111 equipment, then fatalities and injuries would have fallen too.<p/>
J41 112 <p_>And finally, deregulation may have affected driving intensity 
J41 113 directly if drivers were induced to make more deliveries by driving 
J41 114 longer hours and at faster speeds. Therefore, it would be important 
J41 115 to control for differences in speed limit enforcement and vehicle 
J41 116 inspections when attempting to explain differences in accident 
J41 117 rates across states.<p/>
J41 118 <p_>The above discussion indicates there are reasons to expect that 
J41 119 accidents may have increased or decreased as the result of 
J41 120 deregulation. The next section discusses the empirical model which 
J41 121 attempts to determine the net impact of deregulation, while holding 
J41 122 various other factors constant.<p/>
J41 123 <h_><p_>III. The Empirical Model and Regression Results<p/>
J41 124 <p_>The Empirical Model<p/><h/>
J41 125 <p_>The sample consists of a pooled, cross-section of state data 
J41 126 for 1977, 1982, and 1987. Since the MCA was passed in 1980, the 
J41 127 sample can be partitioned into two periods: 1977 represents a 
J41 128 regulation year, whereas 1982 and 1987 represent deregulation 
J41 129 years. The variable descriptions and sources are discussed in the 
J41 130 appendix.<p/>
J41 131 <p_>The dependent variable is the number of accidents per 
J41 132 truck-miles traveled per state. The numerator represents accidents 
J41 133 that occurred in a particular state, which were reported by truck 
J41 134 drivers engaged in interstate transportation. The denominator is an 
J41 135 estimate of the truck-miles traveled per state, and includes all 
J41 136 trucks that traveled more than 200 miles from their base of 
J41 137 operation. To the extent that the denominator includes some 
J41 138 intrastate travel, the denominator is likely to overstate the miles 
J41 139 logged by interstate truckers. Therefore, the dependent variable is 
J41 140 likely to understate the actual accident rate per truck-miles 
J41 141 traveled for interstate carriers, and any effect of deregulation 
J41 142 that we uncover would be a conservative estimate of the actual 
J41 143 impact.<p/>
J41 144 <p_>The set of independent variables include factors which have 
J41 145 some theoretical or institutional basis for explaining the 
J41 146 variation in accidents per truck-miles traveled across states. The 
J41 147 first is the number of highway police officers per highway mileage 
J41 148 (<tf|>POLICE). This measure is intended to control for differences 
J41 149 in enforcement resources used to detect speed and weight 
J41 150 violations. More officers per highway mile should lead to more 
J41 151 careful driving and, consequently, less accidents. Thus, we expect 
J41 152 a negative sign for this variable.<p/>
J41 153 <p_>The second, third, and fourth variables relate to traffic 
J41 154 conditions on interstate highways which could arguably affect 
J41 155 accident rates across states. These conditions are: the average 
J41 156 speed of interstate traffic per state (<tf|>AVESPEED); the variance 
J41 157 of speed on interstate highways; and a density variable 
J41 158 (<tf|>CONGESTION) to proxy the level of road congestion. Lave [14] 
J41 159 argues that it is the variance of highway speed that causes 
J41 160 accidents and not the mean speed. The intuition is that if all 
J41 161 vehicles were traveling at the same speed (i.e., variance is 0), 
J41 162 then chances of an accident occurring are almost zero at any mean 
J41 163 speed. Recently, Levy and Asch [15] challenge this view and report 
J41 164 some evidence which shows that both the mean and variance of 
J41 165 highway speed affect accident rates. Since this issue appears to be 
J41 166 unresolved, I have included both measures in the model.<p/>
J41 167 <p_><tf|>AVESPEED is the estimated statewide average highway speed 
J41 168 for all vehicles. The variance is calculated as the difference 
J41 169 between 'the speed at or below which 95 percent of the vehicles are 
J41 170 traveling' (<tf|>85TH) and the statewide average. In the regression 
J41 171 model, one could write the expression as<p/>
J41 172 <p_><O_>formula<O/>.<p/>
J41 173 <p_>Lave, however, suggests that the expression be rewritten as<p/>
J41 174 <p_><O_>formula<O/>.<p/>
J41 175 <p_>The rationale is that the coefficient for <tf|>AVESPEED in the 
J41 176 second expression reflects the relative effect of both the average 
J41 177 and variance of speed (i.e., <tf|><*_>beta<*/>-<*_>THETA<*/>). 
J41 178 Thus, if the variance has a larger impact than the average (i.e., 
J41 179 <*_>beta<*/><<*_>THETA<*/>), then the coefficient on <tf|>AVESPEED 
J41 180 would be negative while the coefficient on <tf|>85TH would be 
J41 181 positive. This explains why a negative sign for <tf|>AVESPEED is 
J41 182 counter intuitive, since the coefficient measures the relative size 
J41 183 of each effect.<p/>
J41 184 <p_><tf|>CONGESTION is simply the total number of automobile 
J41 185 registrations normalized by the estimated highway mileage for each 
J41 186 state. This factor is intended to control for differences in road 
J41 187 congestion across states, since greater congestion is likely to 
J41 188 increase the probability of a collision between two vehicles. Thus, 
J41 189 we expect a positive sign for this variable.<p/>
J41 190 <p_>I included two additional variables to control for differences 
J41 191 in weather conditions across states. The first is the average 
J41 192 number of rain days per state (<tf|>RAINDAYS). I anticipate a 
J41 193 positive coefficient for this variable since rain is likely to 
J41 194 impair vision and road conditions. The second is the average 
J41 195 snowfall (<tf|>SNOW) per state, and the expected sign for this 
J41 196 variable is uncertain. On the one hand, one may argue that more 
J41 197 snow leads to more accidents because of slippery roads. On the 
J41 198 other hand, more snow might reduce travel if drivers wait until the 
J41 199 roads are cleared, which makes a negative sign plausible.<p/>
J41 200 <p_>Finally, I included a dummy variable (<tf|>MCA80) in the model 
J41 201 to control for differences attributable to deregulation; 1977 is a 
J41 202 regulation year while 1982 and 1987 are deregulation years. Thus, 
J41 203 <tf|>MCA80 equals 1 for 1982 and 1987 and 0 otherwise. It is 
J41 204 possible, however, that any empirical difference between the time 
J41 205 periods is unrelated to the shift from regulation to deregulation, 
J41 206 and I acknowledge this potential interpretation. Nonetheless, any 
J41 207 difference that is uncovered in the analysis will be discussed in 
J41 208 the context of the existing empirical literature [3; 17].<p/>
J41 209 <h_><p_>The Empirical Evidence: Rates per Truck-Miles 
J41 210 Traveled<p/><h/>
J41 211 <p_>Table 1 reports the estimates from four regression equations, 
J41 212 and several interesting findings emerge from these results. First, 
J41 213 the <tf|>MCA80 variable has a negative sign in each of the four 
J41 214 equations, but is only significant (using a two-tailed test) at 
J41 215 conventional levels in the fatality, injury, and property-damage 
J41 216 equations. These results suggest that drivers experience the same 
J41 217 accident rate that they did before deregulation, but that the 
J41 218 accidents involved fewer fatalities and injuries.<p/>
J41 219 <p_>The insignificance of <tf|>MCA80 in the accident equation 
J41 220 presents a puzzle; that is, how and why would deregulation affect 
J41 221 the fatality and injury rates, but not the accident rate?
J41 222 
J42   1 <#FROWN:J42\><h_><p_>Part 1. Jurisprudence is Adjudication<p/>
J42   2 <p_>a. Critique of legal positivism<p/><h/>
J42   3 <p_>Dworkin constructs his legal theory largely in response to 
J42   4 legal positivism and utilitarianism. Legal positivism, Dworkin 
J42   5 claims, defines law merely as a set of rules or 'social facts,' and 
J42   6 allows judges to legislate when rules run out in hard cases. As 
J42   7 such, Dworkin argues legal positivism contains two main defects: 
J42   8 (1) an inaccurate description of adjudication in American legal 
J42   9 practice, and (2) an inadequate theoretical account of law and 
J42  10 legal obligation. Utilitarianism, Dworkin claims, enforces the 
J42  11 preferences of the majority over the preferences of the minority to 
J42  12 improve social welfare. Dworkin considers utilitarianism a 
J42  13 deficient political theory because individual rights depend upon 
J42  14 the shifting sands of political compromise and majority will. 
J42  15 Consequently, Dworkin's legal theory establishes certain individual 
J42  16 rights beyond the control of the majority, and links positive law 
J42  17 to political theory and thereby to virtue and justice. Dworkin thus 
J42  18 rejects, partially at least, both legal positivism and 
J42  19 utilitarianism.<p/>
J42  20 <p_>Dworkin starts his examination of law with a critique of Hart's 
J42  21 version of legal positivism. Hart's positivism has three central 
J42  22 tenets: (1) the law of a community consists of special rules 
J42  23 identifiable by the manner in which they were adopted, (2) the set 
J42  24 of legal rules is exhaustive of the law, and (3) a legal obligation 
J42  25 derives only from a legal rule. Hart further divides rules into two 
J42  26 types: primary and secondary rules. Primary rules grant rights or 
J42  27 impose legal obligations upon members of the community. For 
J42  28 example, the criminal law consists of primary rules. Secondary 
J42  29 rules stipulate how primary rules are formed and validated. Hart 
J42  30 calls a fundamental secondary rule a 'rule of recognition.' The 
J42  31 latter is legitimate because it is accepted by the community. In 
J42  32 the United States, the rule of recognition is the federal 
J42  33 constitution since the legitimacy of any particular law can be 
J42  34 traced through a complicated chain of validity back to the federal 
J42  35 constitution.<p/>
J42  36 <p_>According to Hart, judges decide cases by applying rules of 
J42  37 law. When a case is not governed by any existing rule of law, a 
J42  38 hard case, the judge decides the case by exercising his discretion. 
J42  39 The new rule the judge forms becomes part of the legal order and is 
J42  40 valid because, under Hart's system, the judge has power to create a 
J42  41 new rule when existing rules do not provide guidance in a 
J42  42 particular case, Judges hence <quote_>"may be said to make 
J42  43 'choices' among possible alternatives or to exercise a 'legislative 
J42  44 discretion.'<quote/> Since most cases involve the simple 
J42  45 application of rules, the legislative powers of the judge are 
J42  46 limited.<p/>
J42  47 <p_>Dworkin charges that Hart's theory of judicial discretion 
J42  48 inaccurately describes what judges in the United States do when 
J42  49 they decide a hard case. Judges use principles, in addition to 
J42  50 rules, to decide cases. Principles differ from rules because 
J42  51 principles are abstract, general and flexible. In support of his 
J42  52 claim, Dworkin cites <tf_>Riggs v. Palmer<tf/>, denying a murderer 
J42  53 his inheritance on the ground that <quote_>"no man shall profit by 
J42  54 his own crime,"<quote/> and <tf_>Henningsen v Bloomfield Motors, 
J42  55 Inc.<tf/>, voiding a limitation of warranty provision in a consumer 
J42  56 contract principally on the ground that unfair bargains are 
J42  57 unenforceable. Because the courts in <tf|>Riggs and <tf|>Henningsen 
J42  58 invoked principles not rules to decide the case, Dworkin concludes, 
J42  59 Hart's theory of judicial discretion fails to describe judicial 
J42  60 decision making and therefore is wrong.<p/>
J42  61 <p_>The origin of legal principles <quote_>"lies not in a 
J42  62 particular decision of some legislature or court, but in a sense of 
J42  63 appropriateness developed in the profession and the public over 
J42  64 time. Their continued power depends upon this sense of 
J42  65 appropriateness being sustained."<quote/> When a judge decides a 
J42  66 hard case, the judge does not simply create a decision in a vacuum; 
J42  67 rather the judge invokes the applicable principles of law and 
J42  68 applies them to the case. The judge does not create law and apply 
J42  69 it retroactively to the parties; the judge enforces moral and legal 
J42  70 rights preexisting the case although not captured by any single 
J42  71 rule of law. Principles exist independently of legal institutions 
J42  72 enacting rules of law because they are part of the community's 
J42  73 moral and political culture.<p/>
J42  74 <p_>Dworkin draws two broad conclusions from the putative failure 
J42  75 of Hart's theory of discretion to reflect actual judicial practice. 
J42  76 First, he claims Hart's theory of law does not identify all laws in 
J42  77 the society because it fails to account for the existence of 
J42  78 principles that judges commonly use to decide cases. Second, the 
J42  79 master rule of recognition, to the extent that it ignores rules, is 
J42  80 not a master rule defining all laws. If the master rule were 
J42  81 redefined to capture principles, Dworkin maintains, it would become 
J42  82 so broad as to be meaningless. Dworkin concludes <quote_>"if we 
J42  83 treat principles as law we must reject the positivists' first 
J42  84 tenet, that the law of a community is distinguished from other 
J42  85 social standards by some test in the form of a master 
J42  86 rule."<quote/> This raises the possibility, Dworkin contends, that 
J42  87 legal obligation rests on constellations of principle, as well as 
J42  88 rules of law. More important, the critique of legal positivism 
J42  89 provides the primary material for Dworkin to create the rights 
J42  90 thesis.<p/>
J42  91 <p_>Scholars claim Dworkin reduces positivism to a theory no one 
J42  92 actually holds since positivists recognize restraints upon judicial 
J42  93 discretion. Sullivan correctly notes that <quote_>"judicial 
J42  94 discretion is more tightly circumscribed than Dworkin's caricature 
J42  95 indicates."<quote/> Though the judge is free to weigh various 
J42  96 considerations, <quote_>"this does not entail that decisions 
J42  97 resulting from this process are arbitrary, or that the judge's 
J42  98 discretionary power is therefore completely unconstrained."<quote/> 
J42  99 Nevertheless, genuine differences differentiate Dworkin's legal 
J42 100 theory from positivism. For positivism <quote_>"law is 
J42 101 fundamentally characterized by the notion of a rule,"<quote/> 
J42 102 whereas for Dworkin it is a process of discovering the political 
J42 103 morality implicit in positive law. Positivism distinguishes law 
J42 104 from morality by identifying a master rule of recognition; Dworkin 
J42 105 denies the existence of a master rule of recognition and locates 
J42 106 law in the practice of interpretation. While some scholars argue 
J42 107 that Dworkin's legal theory merely amends positivism, his theory 
J42 108 nevertheless investigates the origin of law beyond the mere fact of 
J42 109 its enactment by a legitimately constituted legal institution.<p/>
J42 110 <h_><p_>b. The rights thesis<p/><h/>
J42 111 <p_>The rights thesis corrects two flaws in the positivist's 
J42 112 account of judicial discretion: (1) treating the judge as deputy to 
J42 113 the appropriate legislature, and (2) claiming judges decide cases 
J42 114 in two stages, first reviewing the law books to locate pertinent 
J42 115 rules, and second setting aside the law books when pertinent rules 
J42 116 are not found. Dworkin says judges are not and should not be 
J42 117 legislators for two reasons. First, judges are not elected and 
J42 118 therefore, under democratic theory, are not entitled to make law, 
J42 119 and second, the judicial creation of <tf_>ex post facto<tf/> 
J42 120 legislation punishes the losing party. Dworkin also denies that 
J42 121 judges decide cases in two stages as positivism maintains. Rather 
J42 122 judges enforce the preexisting rights of parties grounded in legal 
J42 123 principles. According to Dworkin, adjudication should be as 
J42 124 unoriginal as possible.<p/>
J42 125 <p_>Central to the rights thesis is the distinction between 
J42 126 arguments of policy and arguments of principle. Arguments of 
J42 127 prinicple justify a political decision by showing that the decision 
J42 128 respects or secures some individual or group right. Dworkin states 
J42 129 the <quote_>"argument in favor of anti-discrimination statutes, 
J42 130 that a minority has a right to equal respect and concern, is an 
J42 131 argument of principle."<quote/> Arguments of policy justify a 
J42 132 political decision by showing the decision advances or protects 
J42 133 some collective goal of the community as a whole. Dworkin states 
J42 134 the <quote_>"argument in favor of a subsidy for aircraft 
J42 135 manufacturers, that the subsidy will protect national defense, is 
J42 136 an argument of policy."<quote/> While Dworkin realizes principles 
J42 137 and policies mix, and therefore recognizes the distinction between 
J42 138 them is more subtle and complex than his examples suggest, he 
J42 139 nevertheless advances the claim that a principle cannot be 
J42 140 outweighed by every social policy.<p/>
J42 141 <p_>Dworkin rejects arguments of policy as a legitimate basis to 
J42 142 decide cases because they fail to recognize the existence of rights 
J42 143 and require the judge to legislate. Arguments of policy do not 
J42 144 provide a stable vehicle to secure rights since they depend upon 
J42 145 variable factors designed to promote the social welfare. If 
J42 146 arguments of policy determined rights, the latter would fluctuate 
J42 147 according to whatever factor advanced the social welfare at a 
J42 148 particular historical moment. The law and economic analysis theory 
J42 149 illustrates the problem of basing rights on utility, since the 
J42 150 efficient decision may deviate from prior law, and hence frustrate 
J42 151 the expectations of the parties. Dworkin claims citizens are 
J42 152 entitled to rely on rights and duties flowing from the law, and are 
J42 153 entitled to request the court to enforce them. If a plaintiff is 
J42 154 entitled to win a lawsuit, Dworkin maintains, the plaintiff always 
J42 155 had the right to win and the defendant always had a duty to act. 
J42 156 Economic analysis runs afoul of this conception of adjudication 
J42 157 because economic analysis defines rights <tf_>ex post facto<tf/> on 
J42 158 grounds of efficiency.<p/>
J42 159 <p_>Dworkin divides rights into four categories; (1) background (2) 
J42 160 institutional (3) abstract and (4) concrete. Background rights are 
J42 161 rooted in political theory and are not necessarily recognized as 
J42 162 rights by legal institutions. For example, a political theory may 
J42 163 demand <quote_>"to each according to his needs, from each according 
J42 164 to his ability,"<quote/> although no legal institution in the 
J42 165 United States yet recognizes that claim. On the other hand, an 
J42 166 institutional right <quote_>"provides a justification for a 
J42 167 decision by some particular and specified political 
J42 168 institution"<quote/> and therefore, unlike certain background 
J42 169 rights, has the force of law. An abstract right is <quote_>"a 
J42 170 general political aim"<quote/> such as <quote_>"Congress shall 
J42 171 enact no law abridging the freedom of speech,"<quote/> while a 
J42 172 concrete right gives practical content to its corresponding 
J42 173 abstract right. For example, the right of newspapers to publish 
J42 174 defense plans classified as secret provided the publication will 
J42 175 not create an immediate physical danger to troops is a concrete 
J42 176 expression of the abstract right contained in the first 
J42 177 amendment.<p/>
J42 178 <p_>The rights thesis enforces existing concrete and legal rights 
J42 179 of an institutional type. Dworkin draws an analogy between the 
J42 180 institution of chess and the institution of law to explain what he 
J42 181 means by the institutional character of legal rights. He considers 
J42 182 how a chess referee would interpret a rule of chess which provides 
J42 183 that <quote_>"the referee shall declare a game forfeit if one 
J42 184 player 'unreasonably' annoys the other in the course of 
J42 185 play"<quote/> when one player smiles continually at his opponent to 
J42 186 unnerve him. Since the rule does not define the term 
J42 187 'unreasonably,' Dworkin says, the referee must construct a theory 
J42 188 of the game of chess to interpret the rule. The theory of the game 
J42 189 of chess is derived from the rules constituting the game.<p/>
J42 190 <p_>Dworkin first observes that the chess referee cannot interpret 
J42 191 the rule by imposing personal convictions. For example, the chess 
J42 192 referee may believe that individuals have a right to equal welfare 
J42 193 without regard to intellectual abilities and rely upon this 
J42 194 conviction to find that annoying behavior is reasonable so long as 
J42 195 it reduces the importance of intellectual ability in deciding who 
J42 196 will win the game because chess is a game of intellect. However, 
J42 197 <quote_>"(s)ince chess is an intellectual game, (the chess referee) 
J42 198 must apply the forfeiture rule in such a way to protect, rather 
J42 199 than jeopardize, the role of intellect in the context."<quote/> 
J42 200 Therefore, the discretion of the referee is fettered by the nature 
J42 201 of the game of chess which disqualifies personal convictions of the 
J42 202 referee contrary to the game's point.<p/>
J42 203 <p_>The chess referee must determine the abstract concept of the 
J42 204 game of chess and interpret the rule to implement that concept. The 
J42 205 abstract concept of the game of chess is identified by analyzing 
J42 206 its institutional rules and by posing a series of questions 
J42 207 designed to identify the game's character. Since chess is a game of 
J42 208 intellect, Dworkin suggests, the referee may need to construct not 
J42 209 only the concept of chess, but also the concept of intellect itself 
J42 210 to interpret the rule forbidding annoying behavior. 'Intellect' is 
J42 211 the point of the game. While the referee exercises judgment to 
J42 212 define the concrete right of the players, the exercise of judgment 
J42 213 does not reflect the referee's personal convictions.
J42 214 
J43   1 <#FROWN:J43\><h_><p_>Conceptualizing Anti-Gay Violence<p/>
J43   2 <p_>JOSEPH HARRY<p/><h/>
J43   3 <p_>This chapter attempts a conceptualization of the motivations 
J43   4 and situations surrounding the hate crime of violence against gay 
J43   5 males and lesbians. (The term <tf|>gay will henceforth be used to 
J43   6 refer both to gay males and to lesbians. <tf_>Gay males<tf/> and 
J43   7 <tf|>lesbians will be used to discriminate between the groups.) 
J43   8 Violence is anti-gay when its victims are chosen because they are 
J43   9 believed to be homosexual. This definition excludes common crimes 
J43  10 committed against gay males or lesbians when the homosexuality of 
J43  11 the victim is unknown or irrelevant to the choice of victim. 
J43  12 Although some research has been done on the victims of anti-gay 
J43  13 violence (Committee on the Judiciary, 1986; Harry, 1982; Miller & 
J43  14 Humphreys, 1980), there is little knowledge about the perpetrators. 
J43  15 In this chapter, I attempt to enlarge on this scarce data.<p/>
J43  16 <h_><p_>MOTIVATIONS FOR ANTI-GAY VIOLENCE<p/><h/>
J43  17 <p_>As Berk and his colleagues suggest in Chapter 8, the 
J43  18 perpetrators of anti-gay violence are very largely male, in their 
J43  19 late teens or early twenties, strangers to the victim(s), in 
J43  20 groups, and not engaged in victimization for profit. Anti-gay 
J43  21 violence seems to be committed during the peak years of 
J43  22 delinquency/criminality (Hindelang, Gottfredson, & Garofalo, 1978). 
J43  23 Anti<?_>-<?/>gay violence may thus be but one element of the 
J43  24 general delinquency complex in which correlations are found among 
J43  25 most kinds of illegal behaviors. If so, it may require little 
J43  26 special explanation beyond those usually offered for delinquency 
J43  27 and crime; that is, no special psychological propensities on the 
J43  28 part of the offender need be assumed.<p/>
J43  29 <p_>Even if, however, the typical anti-gay offender is a generic 
J43  30 criminal disengaged from the conventional moral order, some closer 
J43  31 examination is required to explain why or when he may engage in a 
J43  32 particular type of offense (male pronouns are used throughout to 
J43  33 highlight the likelihood that perpetrators are male). Whereas 
J43  34 disengaged delinquents are free to commit a variety of illegal 
J43  35 activities, such freedom does not mean they will engage in any one 
J43  36 particular activity. Motivations and situational circumstances are 
J43  37 needed to focus their attention on a particular illegal 
J43  38 possibility. Why commit anti-gay violence versus rape or armed 
J43  39 robbery or burglary? What is there about beating homosexuals that 
J43  40 appeals to offenders?<p/>
J43  41 <p_>I suggest that most anti-gay violence arises out of the 
J43  42 interactions of male groups in their late adolescence or early 
J43  43 twenties. For many persons, the period of adolescence constitutes 
J43  44 an extended 'moral holiday' during which bonds to the adult moral 
J43  45 order are attenuated by involvement in an adolescent subculture, 
J43  46 the principal emphases of which are hedonism and autonomy from 
J43  47 adult control. Such adolescents find themselves most at home not in 
J43  48 school or in the family but in the company of same-age peers. Such 
J43  49 company is unstructured, informal, and largely devoted to 
J43  50 recreational pursuits, both legal (e.g., sports) and illegal (e.g., 
J43  51 drugs). Although the social groups of the adolescent and 
J43  52 immediately postadolescent worlds consist of both same-sex and 
J43  53 mixed-sex groups, groups of gay-bashers seem to be almost 
J43  54 exclusively male. In a few accounts of gay-bashing incidents, a 
J43  55 female consort of the offenders served as appreciative audience. 
J43  56 This acknowledged, it remains that the offenders are overwhelmingly 
J43  57 male and usually act in groups.<p/>
J43  58 <p_>One depiction of such male adolescent groups has been provided 
J43  59 by Matza (1964, pp. 49-64) in what he calls the <quote_>"situation 
J43  60 of company."<quote/> In this situation, adolescents are constantly 
J43  61 mutually pressured to prove their commitment to the male gender 
J43  62 role. Engaging in a variety of illegal or deviant acts is one way 
J43  63 to prove their daring, their maleness, their adulthood. In the 
J43  64 rather primitive eyes of the adolescent male, sexual and violent 
J43  65 acts are the two main means through which they can prove their male 
J43  66 commitment. For example, adolescent males have been found much more 
J43  67 likely than females (68% versus 44%) to tell their friends about 
J43  68 their first experience with sexual intercourse (Carns, 1973), 
J43  69 apparently because reporting such intercourse has status value in 
J43  70 the eyes of peers.<p/>
J43  71 <p_>Although violence can also validate one's commitment to being a 
J43  72 male, it has risks. In the legitimate forms of sports, one can 
J43  73 lose. Also, many forms of available sports are supervised by adults 
J43  74 and hence do not fit well with the emphases of the adolescent 
J43  75 subculture. Most illegal forms of violence, such as fighting, offer 
J43  76 the possibilities of losing, being injured, possibly being 
J43  77 arrested, and having one's status considerably deflated. Hence, 
J43  78 although it is important for the adolescent male to be able to talk 
J43  79 a good fight, actually engaging in one is risky business.<p/>
J43  80 <p_>The option of gay-bashing offers a nearly ideal solution to the 
J43  81 status needs of the immature male. When done in groups, it offers 
J43  82 little risk of injury. It provides immediate status rewards in the 
J43  83 eyes of one's peers because, unlike verbal reports of sexual 
J43  84 conquest, it provides direct and corroborated evidence of one's 
J43  85 virility. It offers only minimal likelihood of arrest both because 
J43  86 the offenders are rarely known to the victim and because the victim 
J43  87 is unlikely to report the incident to the police. Gay-bashing 
J43  88 serves to validate one's maleness in the areas of both violence and 
J43  89 sexuality. It is a sexual, but not homosexual, act because it 
J43  90 reaffirms one's commitment to sexuality exclusively in its 
J43  91 heterosexual form. Occasionally, gay-bashing incidents include 
J43  92 forcible rape, either oral or anal. Given the context of coercion, 
J43  93 however, such technically homosexual acts seem to imply no 
J43  94 homosexuality on the part of the offenders. The victim serves, both 
J43  95 physically and symbolically, as a vehicle for the sexual status 
J43  96 needs of the offenders in the course of recreational violence.<p/>
J43  97 <p_>The offenders' choice of victim is made appropriate by the 
J43  98 institution of gender. Although young males living in the situation 
J43  99 of company and morally adrift may find anti-gay violence appealing, 
J43 100 such behavior requires that the laws and norms of civil society be 
J43 101 morally neutralized. In cases of gay-bashing, the offender is not 
J43 102 simply on a moral holiday, as he may be when committing common 
J43 103 property offenses, nor is he simply grabbing excuses out of thin 
J43 104 air to justify seriously criminal behavior. He is resorting to an 
J43 105 alternative set of norms based upon the institution of gender: that 
J43 106 set of norms, imbibed mostly unconsciously from birth, that 
J43 107 prescribes our sense of what is 'masculine' and what is 'feminine' 
J43 108 in thought, affect, and behavior.<p/>
J43 109 <p_>The gender institution often operates as a set of subterranean 
J43 110 values justifying illegal conduct when more acceptable 
J43 111 justifications (e.g., self-defense) cannot be found within the law. 
J43 112 Our dominant institution of gender contributes to the view that 
J43 113 male-female rape is justified if the victim behaved in a 
J43 114 'provocative' or 'unladylike' manner. It also allows the 
J43 115 perpetuation of wife-beating. Gay-bashing seems similarly to be 
J43 116 based on a popularly accepted belief, in this case that the only 
J43 117 justifiable forms of sex are those between males and females. In 
J43 118 the case of gay-bashing at least, moral neutralization is based 
J43 119 upon <quote_>"denial of the victim"<quote/> (Sykes & Matza, 1957) 
J43 120 and of her or his moral worth as a human being. By viewing the 
J43 121 victim as worthy of punishment for having violated gender norms, 
J43 122 the offender not only excuses himself from opprobrium but sees 
J43 123 himself as rendering gender justice and reaffirming the natural 
J43 124 order of gender-appropriate behavior.<p/>
J43 125 <p_>The above arguments may seem to predict too much 
J43 126 gay<?_>-<?/>bashing, just as Matza (1964, pp. 25-26) argued that 
J43 127 cultural theories of delinquency predict too much delinquency 
J43 128 because they imply a continuing commitment by the juvenile to 
J43 129 delinquent behaviors. Matza's point was that, if juveniles are so 
J43 130 committed to delinquency, they would engage in it almost on a 
J43 131 full-time basis. Similarly, if anti-gay violence is an ideal means 
J43 132 for the attainment of sexual status by young males and is based on 
J43 133 such a basic institution as gender, it would seem that gay-bashing 
J43 134 should be a daily occurrence involving significant percentages of 
J43 135 both the homosexual and the heterosexual populations. To deal with 
J43 136 this issue, we need some idea of the extent of anti-gay violence. 
J43 137 Because relevant statistics are few, we divide gay-bashing 
J43 138 incidents into three types based on the age of the victim.<p/>
J43 139 <p_>First are <tf_>serious physical assaults and homicides 
J43 140 committed against adult lesbians and gay males<tf/> such as those 
J43 141 reported in the House Criminal Justice Subcommittee hearings on 
J43 142 Anti-Gay Violence (Committee on the Judiciary, 1986). These 
J43 143 <tf|>reported assaults are clearly the most serious ones and do not 
J43 144 include the common, random beatings of homosexuals that occur in 
J43 145 the streets, parks, and parking lots of America. Most assaults go 
J43 146 unreported either because the victim fears being discredited by 
J43 147 family, the law, or employers or because the assault was less 
J43 148 serious, although still criminal.<p/>
J43 149 <p_>Second are <tf_>assaults and related harassments of lesbian and 
J43 150 gay male adolescents by their peers<tf/>, such as those that gave 
J43 151 rise to the Harvey Milk School in New York City for homosexual 
J43 152 adolescents. The existence of such a school implies that 
J43 153 mistreatment of homosexual adolescents is pervasive in the 
J43 154 adolescent world.<p/>
J43 155 <p_>Finally, probably far more common than either of the other 
J43 156 forms of assault and harassment are the <tf_>beatings of effeminate 
J43 157 boys, both future homosexuals and heterosexuals<tf/> (Saghir & 
J43 158 Robins, 1973, pp. 18-23) that occur during childhood. These 
J43 159 beatings occur because the boys do not confirm to the extremely 
J43 160 rigid rules of the male gender role. They also reaffirm the 
J43 161 offender's commitment to that role before his peers. 
J43 162 Psychologically, they serve the same function as the more serious 
J43 163 gay-bashing of adulthood. They differ from the latter in two ways, 
J43 164 however. First, they are more accepted in conventional adult norms. 
J43 165 Second, they do not suggest as much criminality and probable moral 
J43 166 disengagement from the norms of civil society on the offenders' 
J43 167 part as does adult gay-bashing. Culturally, however, the childhood 
J43 168 and adult incidents are the same. Whether persons who engage in 
J43 169 adult gay-bashing have also engaged in childhood 'sissy-bashing' is 
J43 170 unknown.<p/>
J43 171 <p_>If we view the above three age-based types of incidents as 
J43 172 gay-bashings that differ only in the ages of the participants 
J43 173 involved, the ideas offered to explain anti-gay violence may not 
J43 174 predict too much. Gay-bashing may be endemic during childhood and 
J43 175 decline in frequency with age while at the same time it increases 
J43 176 in seriousness and leathality. As males approach adulthood, most 
J43 177 become more secure in their gender roles, so that proving their 
J43 178 gender adequacy becomes less obsessive and gender deviance in 
J43 179 others becomes less salient. Hence the motivations for gay-bashing 
J43 180 may decline with the advent of an adulthood that is not defined in 
J43 181 the stark imagery of the immature male.<p/>
J43 182 <h_><p_>THE SITUATIONS OF ANTI-GAY VIOLENCE<p/><h/>
J43 183 <p_>The views of gay-bashers are clearly in agreement with those of 
J43 184 the large majority of the population who disapprove of 
J43 185 homosexuality (see Chapter 5). Reporting date from the General 
J43 186 Social Survey (National Opinion Research Center, 1988) in 1987, 82% 
J43 187 of the population found homosexuality <quote_>"always 
J43 188 wrong"<quote/> or <quote_>"almost always wrong."<quote/> This 
J43 189 percentage has changed little since 1973 and may have increased 
J43 190 slightly since the 1970s. For purposes of analysis, we divide this 
J43 191 82% into three categories. Most strongly opposing homosexuality are 
J43 192 a small number of <tf|>activists who go out of their way to find 
J43 193 homosexuals to assault. Such strongly motivated persons would 
J43 194 typically go to a place where homosexuals are known to gather such 
J43 195 as a gay ghetto (Levine, 1980) or to the environs of a gay bar. 
J43 196 Somewhat less opposed to homosexuality would be the larger number 
J43 197 of <tf|>opportunists who are not sufficiently motivated to seek out 
J43 198 homosexuals to victimize but will assault them as occasions arise. 
J43 199 Such situations would typically arise in non-gay-defined settings 
J43 200 when persons who are visibly homosexual appear. The remainder of 
J43 201 the 82% are those who disapprove of homosexuality but not strongly 
J43 202 enough to engage in gay-bashing. This group is theoretically 
J43 203 important because it is by far the largest of the three and it 
J43 204 consists of those who might normally be expected to serve as 
J43 205 guardian citizens in cases of assault (Cohen & Felson, 1979). In 
J43 206 the case of common crimes among heterosexual participants, such 
J43 207 guardians serve the function of being interveners or of calling the 
J43 208 police. In cases of anti-gay violence, however, it is doubtful that 
J43 209 many of this large group who disapprove of homosexuality would be 
J43 210 willing to actively assist the victim.
J43 211 
J44   1 <#FROWN:J44\><h_><p_>AMERICAN LEGAL THOUGHT AND LEGAL REFORM<p/>
J44   2 <p_>A. Introduction<p/><h/>
J44   3 <p_>The Federal Rules of Civil Procedure, implemented in 1938, and 
J44   4 the Federal Rules of Evidence, enacted in 1975, are designed, we 
J44   5 are told, to promote the <quote_>"just, speedy, and inexpensive 
J44   6 determination of every action."<quote/> They are to be 
J44   7 <quote_>"construed to secure fairness in administration, 
J44   8 elimination of unjustifiable expense and delay, and promotion of 
J44   9 growth and development of the law of evidence to the end that the 
J44  10 truth may be ascertained and proceedings justly 
J44  11 determined."<quote/> The stated goals of these transsubstantive 
J44  12 rules, then, are that the truth be determined and disputes be 
J44  13 justly resolved.<p/>
J44  14 <p_>The foundational assumptions underlying the claim that the 
J44  15 Federal Rules of Civil Procedure and the Federal Rules of Evidence 
J44  16 are instruments that permit the discovery of truth and the 'just' 
J44  17 resolution of disputes are three related phenomena: first, the 
J44  18 general 'optimistic rationalism' pervading most of Western legal 
J44  19 and intellectual thought from the Enlightenment; second, the legal 
J44  20 'progressivism' of influential early to mid-20th-century American 
J44  21 reformers, who acted as catalysts for both procedural and 
J44  22 evidentiary reform; and third, the jurisprudential reaction to 
J44  23 American legal realism, which coalesced after World War II into 
J44  24 legal process or reasoned elaboration.<p/>
J44  25 <p_>The Federal Rules of Procedure and the Federal Rules of 
J44  26 Evidence were explicitly presented as means to the goals of 'truth' 
J44  27 and 'justice' in part due to this broader Western and narrower 
J44  28 American intellectual milieu. These goals were also channeled by a 
J44  29 deep public and professional reverence for both Law and the Rule of 
J44  30 Law. Finally, the legal profession was dedicated to the beauty and 
J44  31 utility of the adversary system, the hallmark of the 
J44  32 'Anglo-American' system of adjudication. These explicit statements 
J44  33 were not part of the wellspring of the Federal Rules of Evidence, 
J44  34 the American Law Institute's 1942 Model Code of Evidence. Part of 
J44  35 the failure of the Model Code of Evidence was due to its apparent 
J44  36 disavowal of these goals.<p/>
J44  37 <p_>The abiding belief of early 20th-century legal progressive 
J44  38 thought was that legal reform could rationally aid in the progress 
J44  39 of a legal system toward consensual notions of 'truth' and 
J44  40 'justice'. Legal realism, while having little contemporary impact 
J44  41 on the legal profession, shattered a jurisprudential faith in legal 
J44  42 progress toward truth and justice. The restructuring of legal 
J44  43 progressive thought into reasoned elaboration or legal process 
J44  44 after World War II required a fundamentally different justification 
J44  45 for a 'rational' and progressive administration of justice. This 
J44  46 justification, however, was unacceptable to a legal profession then 
J44  47 essentially unaffected by legal realism. While legal academics 
J44  48 could not longer faithfully argue that the goal of the trial was 
J44  49 truth, nor that the administration of justice was concerned with 
J44  50 substantive rather than procedural justice, the legal profession 
J44  51 and the public continued to believe in both goals. Invoking the 
J44  52 goals of truth and justice to garner public and professional 
J44  53 support was necessary to the passage of the Federal Rules of 
J44  54 Evidence; the structure of the Federal Rules, because it is based 
J44  55 on the Model Code of Evidence, undermines those goals.<p/>
J44  56 <h_><p_>B. Optimistic Rationalism<p/><h/>
J44  57 <p_>William Twining describes the tenets of 'optimistic 
J44  58 rationalism' as a congery of beliefs in truth, reason, and justice 
J44  59 under law. Events occur independently of human observation, and 
J44  60 past events can be truthfully reconstructed in the present, 
J44  61 although <quote_>"establishing the truth about alleged past events 
J44  62 is typically a matter of probabilities or likelihoods falling short 
J44  63 of <}_><-|>compete<+|>complete<}/> certainty."<quote/> Ascertaining 
J44  64 the truth is accomplished by listening to experts explain and 
J44  65 interpret relevant data and through the 'common-sense' 
J44  66 generalizations of society. In adjudicating disputes, establishing 
J44  67 the truth must be based on relevant evidence and justice can be 
J44  68 accomplished only if the truth is established on the basis of 
J44  69 relevant evidence. Further, justice can be accomplished only if the 
J44  70 method of fact finding is 'rational.' Rational decision making 
J44  71 means making decisions based on inferences from relevant evidence. 
J44  72 Rational decision making based on relevant evidence will thus lead 
J44  73 the fact-finder to the truth and to 'correctness' in decision 
J44  74 making. The search for truth, then, is at the core of a system of 
J44  75 justice. Since, however, decisions about the truth of factual 
J44  76 allegations occur in an imperfect, human setting, the concern for 
J44  77 justice is not a concern for an idealized justice but a justice 
J44  78 under [positive] law, which means that truth will not always be 
J44  79 discovered or a correct decision rendered and further means that 
J44  80 the goal of 'correctness' may be matched or superseded by other 
J44  81 social goals.<p/>
J44  82 <p_>The 'Anglo-American' system of adjudication - the adversary 
J44  83 system - structures and channels these tenets of optimistic 
J44  84 rationalism. Unlike trial by compurgation or trial by ordeal, the 
J44  85 adversary system was perceived as a rational system for the 
J44  86 discovery of truth and the pursuit of justice. In the adversary 
J44  87 system, each participant, with the notable exception of the 
J44  88 parties, plays a significant role in fulfilling the requirements of 
J44  89 optimistic rationalism. The attorneys for the parties investigate 
J44  90 and sift the facts pertinent to their (opposing) cases and offer 
J44  91 and object to the introduction of evidence; the judge impartially 
J44  92 decides disputed issues of law, including the admissibility of 
J44  93 evidence; and the jury, given the conflicting evidence presented by 
J44  94 both parties and instructions on the applicable law by the judge, 
J44  95 decides the disputed issues of fact and renders a verdict for a 
J44  96 party. This system provides checks on abuses by counsel (by the 
J44  97 judge), by the judge (by counsel on appeal), and by the jury 
J44  98 (through jury instructions, limiting their purview to issues of 
J44  99 'fact' and, in egregious cases, permitting the court to render a 
J44 100 judgment notwithstanding the verdict or to inquire into the 
J44 101 validity of the verdict), and so limits any departures from 
J44 102 rationality.<p/>
J44 103 <h_><p_>C. Legal Progressivism and Procedural Reform<p/><h/>
J44 104 <p_>The story of the codification of the rules of evidence is 
J44 105 further linked to the story of legal progressivism, for the 
J44 106 interest in a code of evidence rules is based on the legal 
J44 107 progressives' spirit of legal reform. In 1904-5, Wigmore's 
J44 108 <tf|>Treatise was published. This four-volume first edition was an 
J44 109 immediate critical and commercial success. Dean Wigmore became the 
J44 110 unchallenged authority on the law of evidence in America.<p/>
J44 111 <p_>The publication of Wigmore's <tf|>Treatise was <quote_>"the 
J44 112 most important event in the history of the law of evidence in this 
J44 113 century."<quote/> Wigmore's <tf|>Treatise was not simply a 
J44 114 compendium of cases and a rationalization of inconsistencies in the 
J44 115 law of evidence but also a call for reform. If the legal system was 
J44 116 to be a rational system for the discovery of truth, as Wigmore 
J44 117 believed, the rules of evidence needed to be applied consistently 
J44 118 with those goals and to be workable in practice, that is, in 
J44 119 trials. Wigmore's ideas for reforming the law of evidence were part 
J44 120 of the emergence of legal progressivism, or sociological 
J44 121 jurisprudence, led by Roscoe Pound.<p/>
J44 122 <p_>In 1906 Pound spoke at the annual meeting of the American Bar 
J44 123 Association in St. Paul, Minnesota, about the reasons for public 
J44 124 dissatisfaction with the administration of justice in American 
J44 125 courts. Among the reasons for public dissatisfaction with the 
J44 126 American legal system was contentious procedure, which turned 
J44 127 litigation from a search <quote_>"for truth and justice"<quote/> 
J44 128 into a game or sport <quote_>"that the parties should fight out ... 
J44 129 in their own way without interference."<quote/> Decrying the 
J44 130 sporting theory of justice, Pound cited Wigmore for the proposition 
J44 131 that this view inaccurately depicted the adversary system. The 
J44 132 sporting theory disfigured the administration of justice and 
J44 133 mistakenly led even the <quote_>"most conscientious"<quote/> judge 
J44 134 to believe that he was <quote_>"not to search independently for 
J44 135 truth and justice"<quote/> and to assume that <quote_>"errors in 
J44 136 the admission or rejection of evidence are presumed to be 
J44 137 prejudicial and hence demand a new trial."<quote/> This gave the 
J44 138 community <quote_>"a false notion of the purpose and end of 
J44 139 law."<quote/><p/>
J44 140 <p_>Pound's call was for a true <quote_>"scientific 
J44 141 jurisprudence"<quote/> based on the use of experts to make the 
J44 142 legal system more efficient. Making judges 'scientists' would 
J44 143 instill in judges an expertise which would create a greater 
J44 144 efficiency in the administration of justice. It would also alter 
J44 145 the administration of justice by creating an emphasis on 
J44 146 substantive justice in the courts. Two years later, Pound fleshed 
J44 147 out both these themes in a <tf_>Columbia Law Review<tf/> article. 
J44 148 The science of law was a means to the end of <quote_>"reason, 
J44 149 uniformity, and certainty."<quote/> A scientific jurisprudence was 
J44 150 a search for full justice, for <quote_>"solutions that go to the 
J44 151 root of the controversies,"<quote/> for equal justice, and for 
J44 152 exact justice. Law was scientific in order to eliminate 
J44 153 <quote/>"the personal equation in judicial administration, to 
J44 154 preclude corruption and to limit the dangerous possibilities of 
J44 155 magisterial ignorance."<quote/> The scientific administration of 
J44 156 justice, however, was not to be confused with a mechanistic 
J44 157 jurisprudence, although a degeneration of legal science could lead 
J44 158 to stagnation and <quote|>"petrification" in the legal system.<p/>
J44 159 <p_>The antidote to the problem of <quote|>"petrification" was 
J44 160 <quote_>"a pragmatic, a sociological legal science."<quote/> 
J44 161 <quote_>"The sociological movement in jurisprudence is a movement 
J44 162 for pragmatism as a philosophy of law; for the adjustment of 
J44 163 principles and doctrines to the human conditions they are to govern 
J44 164 rather than to assumed first principles; for putting the human 
J44 165 factor in the central place and relegating logic to its true 
J44 166 position as an instrument."<quote/><p/>
J44 167 <p_>Pound then noted that the law of procedure and evidence 
J44 168 suffered <quote_>"especially from mechanical 
J44 169 jurisprudence."<quote/> An insistence on perceiving procedure and 
J44 170 evidence in conceptual terms led judges to view them as ends rather 
J44 171 than means, and Pound gave examples of this error. He concluded by 
J44 172 suggesting the enactment of <quote_>"a common-sense and 
J44 173 business-like procedure."<quote/><p/>
J44 174 <p_>The advent at the beginning of the 20th century of sociological 
J44 175 jurisprudence, also known as legal progressivism, progressive 
J44 176 proceduralism, and progressive-pragmatism, was part of the general 
J44 177 progressive movement and specifically part of the intellectual 
J44 178 departure from formalism. Pound, the progenitor of sociological 
J44 179 jurisprudence, relied, like all good progressives, on the 
J44 180 <quote_>"ideology of bureaucracy"<quote/> to support his efforts at 
J44 181 reforming the legal system. In general, <quote_>"[p]rogressivism 
J44 182 believed in the management of government by experts and advocated 
J44 183 the expansion of the executive branch, primarily in the form of 
J44 184 administrative regulatory agencies, at the expense of the Congress 
J44 185 and the courts."<quote/> Specifically, formalist jurisprudential 
J44 186 theory employed a priori reasoning rather than reasoning based on 
J44 187 actual economic and social conditions. The use of disinterested 
J44 188 experts in adjudication would make the administration of justice 
J44 189 more rational and just. Such reform was a gradual reform, 
J44 190 conservative in the sense of taking the best from the American past 
J44 191 and molding it to the present. Political and legal progressives, as 
J44 192 their name suggests, believed in the evolution of human progress, a 
J44 193 gradual but continued movement toward greater enlightenment about 
J44 194 the human condition. As advocates for efficiency, expertise, and 
J44 195 progress, progressives claimed that their movement was 
J44 196 nonideological. All bureaucrats, including judges, if correctly 
J44 197 trained and learned as 'scientists,' could act disinterestedly in 
J44 198 support of progress. Finally, some legal progressives, including 
J44 199 Pound and Wigmore, believed in moral absolutes. While society's 
J44 200 values were often inchoate and in flux, there was some consensus 
J44 201 about values.<p/>
J44 202 <p_>Pound's ideas for legal reform gradually captured the attention 
J44 203 of influential academics and 'elite' members of the legal 
J44 204 profession. In a 1937 article looking back at the early proposals 
J44 205 for legal reform, Wigmore called Pound's 1906 speech <quote_>"the 
J44 206 spark that kindled the white flame of progress."<quote/> Wigmore 
J44 207 noted that on the morning after Pound's speech was given, he met 
J44 208 with William Draper Lewis, then of the University of Pennsylvania, 
J44 209 and they, along with others, <quote_>"resolved to do <tf|>something 
J44 210 about it in our own limited spheres."<quote/> In 1936, a writer 
J44 211 discussing the third draft of the proposed Federal Rules of Civil 
J44 212 Procedure in the <tf_>American Bar Association Journal<tf/> traced 
J44 213 the movement for reform of the rules of civil procedure to Pound's 
J44 214 1906 speech.<p/>
J44 215 <p_>When Pound spoke to the American Bar Association, he was dean 
J44 216 of the University of Nebraska School of Law, a <quote_>"hitherto 
J44 217 obscure Nebraska jurist."<quote/> Two years later, Wigmore 
J44 218 recruited Pound to Northwestern, and shortly after that, he was 
J44 219 named Story Professor of Law at Harvard Law School. By 1916, Pound 
J44 220 was dean at Harvard, and during his 20-year term he consolidated 
J44 221 Harvard's preeminence in legal education. The preeminence of Pound 
J44 222 at Harvard and Wigmore at Northwestern eased the transition of the 
J44 223 legal academy from formalist to 'progressive-pragmatist' notions of 
J44 224 jurisprudence.<p/>
J44 225 
J45   1 <#FROWN:J45\><h_><p_>Chapter 5<p/>
J45   2 <p_>Rebuilding the American City<p/><h/>
J45   3 <p_>There is a potential cycle for change. It begins with the local 
J45   4 problem of urban poverty and central-city decay, then moves to 
J45   5 local public recognition, which generates a local response. That 
J45   6 response is severely constrained and confounded by lack of 
J45   7 resources and power. In the best of circumstances - and we will 
J45   8 argue the case for this - the conflict between attempts to deal 
J45   9 locally with the problems of poverty, on the one hand, and lack of 
J45  10 resources, on the other, will lead to coalitions and pressures on 
J45  11 Congress, the federal judiciary, the White House, and federal 
J45  12 agencies. In the face of these pressures, Congress will pass better 
J45  13 federal laws and offer more generous budgets, the executive branch 
J45  14 will better regulate the national economy, and industry will 
J45  15 develop a more progressive response to competition in the global 
J45  16 economy. These changes, in turn, will lead not only to better 
J45  17 conditions, such as stronger labor demand, more attention to 
J45  18 education, and broad health care coverage, but will also provide 
J45  19 the funds municipalities need to become better places in which to 
J45  20 work and live.<p/>
J45  21 <p_>Changes of this sort will not happen automatically or easily. 
J45  22 Even when reforms begin, desirable as they would be, major changes 
J45  23 in either markets or policy are unlikely in the short run. Neither 
J45  24 is any set of partial reforms likely to 'solve the poverty 
J45  25 problem.' Cognizant of these severe limitations, in this chapter we 
J45  26 aim to be practical, to search for means by which - at the least - 
J45  27 the serious problems of urban poverty will get written prominently 
J45  28 into the political agenda.<p/>
J45  29 <p_>It is not enough to call for a return to generous, liberal 
J45  30 federal policy. Neither our analysis and the recommendations we 
J45  31 make nor the excellent and more detailed proposals of others will 
J45  32 stimulate governmental generosity. The authors of such proposals 
J45  33 have no access to the White House basement, where they might push 
J45  34 good legislation through Congress, to remake the country in their 
J45  35 (and our) better image. Instead, we believe, better policy to 
J45  36 minimize poverty will result only from new political forces, which 
J45  37 are most likely to be rooted in the poverty of the central city. We 
J45  38 believe, that is, that an urban political strategy is the most 
J45  39 practical approach for attacking America's poverty problems.<p/>
J45  40 <p_>The time is ripe for this plan. City governments are poor and 
J45  41 weak, and although they would like to solve the poverty problem, 
J45  42 they are unable. The federal government, so distant from urban 
J45  43 poverty, is preoccupied with international economic and political 
J45  44 affairs. But as the problems mount, city officials and 
J45  45 community-based organizations will increase their pressures and try 
J45  46 to form new political coalitions. As these problems threaten 
J45  47 national productivity, new solutions will become more attractive to 
J45  48 various national groups, such as industrial leaders who fear for 
J45  49 their international competitive advantage. If these city-based 
J45  50 coalitions can be formed, then inroads can be made to improve 
J45  51 federal policies and transfer some real power to the cities, and a 
J45  52 cycle of positive feedback can begin.<p/>
J45  53 <p_>This argument will proceed, section by section, through this 
J45  54 chapter. First, we review the history of federal-local relations in 
J45  55 fighting poverty. We begin by pointing out that federal aid has 
J45  56 drastically declined. Cities are short of resources and nearly 
J45  57 powerless in the face of suburban disparities and economic 
J45  58 pressures from big business. The situation has been made worse by 
J45  59 the rivalries forced on cities by federal programs and their 
J45  60 antineighborhood bias.<p/>
J45  61 <p_>In the second section, we provide a selection of proposals for 
J45  62 sensible, efficient, and efficacious federal programs to solve the 
J45  63 urban poverty crisis. We observe the various options for public 
J45  64 policy. The major portion of this section is devoted to a review of 
J45  65 proposals for better federal policy. It is well for the reader to 
J45  66 recall that the national response to global economic pressures can 
J45  67 vary: Japan, France, Germany, Italy, and the Scandinavian 
J45  68 countries, for example, have adopted policies considerably 
J45  69 different from those adopted in the United States. Even in Great 
J45  70 Britain, intercity rivalry is less destructive, because national 
J45  71 laws and budgets provide a common base for family and urban 
J45  72 services. In particular, countries make political choices among 
J45  73 technical options to help guide capitalist development. The United 
J45  74 States has chosen, partly by lack of plan, regressive policies that 
J45  75 guide choice of technology and work arrangements in 
J45  76 counterproductive directions. The country could, however, plan more 
J45  77 progressively. Reforms could encourage the educating and 
J45  78 strengthening of the workforce, from the bottom up. This would be 
J45  79 in contrast to the current practice of dividing and further 
J45  80 separating labor, destroying opportunity for those at the 
J45  81 bottom.<p/>
J45  82 <p_>In the third section of this chapter, we examine the potential 
J45  83 for political support to implement governmental programs. We raise 
J45  84 a troubling question: from where will political support come for 
J45  85 these reforms? We briefly review four possibilities, but feel 
J45  86 compelled to judge three of them unlikely. The fourth, which 
J45  87 stresses the latent strength of grass-roots politics in cities, 
J45  88 leads us to the last section, where we focus on strengthening the 
J45  89 urban role in the quest for better policy. There we will turn 
J45  90 briefly to the heart of the matter - how we may work collectively 
J45  91 inside cities to gather political support to fight poverty.<p/>
J45  92 <p_>We examine the possibilities for a renewed and revived 
J45  93 municipal politics. We first observe that one way to attack the set 
J45  94 of problems treated in this book (poverty, low productivity, social 
J45  95 division, and urban decay) is through local, progressive 
J45  96 experiments. Their success has been documented in several cities. 
J45  97 Chicago, Hartford, and Cleveland are among the examples, along with 
J45  98 the more widely discussed but smaller city experiments in 
J45  99 Burlington, Santa Monica, and Berkeley. If these experiments were 
J45 100 to be multiplied and extended, they could show the way to the 
J45 101 needed reconstruction of urban America. The evidence suggests there 
J45 102 is room for municipal maneuvering in spite of the dismal prospect 
J45 103 of a continued negative federal policy toward global competition, 
J45 104 and it also suggests what kinds of programs are most effective.<p/>
J45 105 <p_>We are more optimistic, still. When enough local change takes 
J45 106 place, and when more experiments arise from the economic demands 
J45 107 and political pressure of impoverished ghetto populations of 
J45 108 African Americans, Latinos, and recent immigrants, they will 
J45 109 provide the stimulus for coalitions to fight for better national 
J45 110 policies for raising productivity and improving the U.S. response 
J45 111 to global challenges. Once there are better national policies, they 
J45 112 will stimulate still better local reforms, and the cycle may 
J45 113 reinforce positive change.<p/>
J45 114 <h_><p_>Federal Aid, Municipal Expectations, and Antipoverty 
J45 115 Programs<p/><h/>
J45 116 <p_>We open this section on federal-urban relations with a brief 
J45 117 response to conservative pronouncements on the problems of the poor 
J45 118 and the central city.<p/>
J45 119 <h_><p_>A Note on Neoconservatism<p/><h/>
J45 120 <p_>The American city shows a pressing need for more adequate 
J45 121 national-level policies. The core of the metropolis is failing. 
J45 122 Central cities are falling apart physically, economically, and 
J45 123 socially. Whole neighborhoods are decaying, the people in them are 
J45 124 suffering, and social disorganization threatens entire cities. Far 
J45 125 too many people are poor across the nation, not just in the cities 
J45 126 and not only when out of work. Their numbers are not declining, 
J45 127 even during what the indicators say are economic good times. A 
J45 128 generation has reached adulthood in poverty, and the children of 
J45 129 that generation are threatened with worse. The gulf between haves 
J45 130 and have-nots in this country has never been greater, and political 
J45 131 communication never worse.<p/>
J45 132 <p_>Few can doubt that the United States needs a new approach to 
J45 133 problems of poverty, nor can they doubt the needs of the central 
J45 134 city. It is difficult, therefore, to accept conservatives' 
J45 135 arguments that we should leave well enough alone. It is hard to 
J45 136 believe their theories that the situation will get better by 
J45 137 itself. The evidence of the 1980s casts great doubt that problems 
J45 138 of poverty will be resolved or even seriously reduced by benefits 
J45 139 trickling down from general prosperity.<p/>
J45 140 <p_>The conservative argument has been much popularized, but it is 
J45 141 false. Most troublesome for our work at this juncture is a tendency 
J45 142 in much contemporary discussion to use rhetoric that at once 
J45 143 trivializes systematic causes of poverty and magnifies the problems 
J45 144 thought to derive from improper individual behavior. To put this 
J45 145 bias in context, we borrow ideas from political economist Albert 
J45 146 Hirschman, who has examined the problem of rhetoric in a broader 
J45 147 but closely related context.<p/>
J45 148 <p_>The rise of the welfare state in the twentieth century, 
J45 149 Hirschman asserts, can be seen as the third stage in a protracted 
J45 150 zig-zag struggle over centuries for the <quote_>"development of 
J45 151 true economic and social citizenship."<quote/> The first stage was 
J45 152 the back-and-forth struggle for civil rights of speech, thought, 
J45 153 religion, and justice. The second stage involved the effort to win 
J45 154 political rights by extending the vote; and the third stage was the 
J45 155 broader struggle to expand social and economic rights, 
J45 156 <quote_>"recognizing that minimum standards of education, health, 
J45 157 economic well-being, and security are basic to the life of a 
J45 158 civilized person."<quote/> Arguments for and against these 
J45 159 developments of modern society have used greatly exaggerated 
J45 160 rhetoric: progressives extoll the advantages of expanded rights, 
J45 161 while conservatives warn of dangers. At each stage there may be 
J45 162 progress, followed by proposals that attempt to undo the most 
J45 163 recent gains. We are now in a period when 'reactionary rhetoric' is 
J45 164 particularly prominent.<p/>
J45 165 <p_>Rhetorical and ideological backlashes stem not simply from 
J45 166 gloomy estimates of human capacity (as by Edmund Burke on the 
J45 167 French revolution or Thomas Malthus on the utility of starvation 
J45 168 for checking the growth of the English working class), or from fear 
J45 169 by the privileged classes that derives from their being outnumbered 
J45 170 by the common people. Support for reaction is also provided by 
J45 171 theoretical predispositions of the social sciences, especially the 
J45 172 myth of self-regulating economics, which allows free-market 
J45 173 enthusiasts to denounce as strongly 'perverse' any effects from 
J45 174 progressive interferences with the 'natural' laws of supply and 
J45 175 demand. The argument that welfare is the cause of poverty is a 
J45 176 prominent example of this sort of reactionary argument, neatly 
J45 177 echoing centuries of similar reaction to various stages of 
J45 178 progress.<p/>
J45 179 <p_>The ideological onslaught of the last twenty years against 
J45 180 redistributive policies has been widely justified in terms of 
J45 181 national economic policy. Although the most negative and racist 
J45 182 accompaniments of this policy have been kept usually out of sight, 
J45 183 the agendas of those who abuse the theories of free-market 
J45 184 economists and other archconservative social scientists have 
J45 185 sometimes been transparent. The theories lend themselves to this 
J45 186 abuse, as is suggested by the quantity of 'counterintuitive' 
J45 187 reasoning to which we have been subjected. Simulation models are 
J45 188 designed to show that <quote_>"at times programs cause exactly the 
J45 189 reverse of desired results,"<quote/> as would be the case, for 
J45 190 example, if by providing good housing for the poor the City of 
J45 191 Boston would attract impoverished migrants and therefore worsen its 
J45 192 average housing conditions. It is claimed that <quote_>"our efforts 
J45 193 to deal with distress themselves increase distress."<quote/> 
J45 194 Conservatives argue that <quote_>"we tried to provide more for the 
J45 195 poor and produced more poor instead. We tried to remove the 
J45 196 barriers to escape from poverty, and inadvertently built a 
J45 197 trap."<quote/><p/>
J45 198 <p_>These expectations of counterintuitive, reversed, and 
J45 199 inadvertent consequences of progressive social policy exist more in 
J45 200 the flawed reasoning of the right-wing critics than in reality. 
J45 201 Although unanticipated consequences do often result from public 
J45 202 (and private) actions, it is important to recognize that, as 
J45 203 Hirschman points out, <quote_>"there is actually nothing certain 
J45 204 about such perverse effects."<quote/> It is claimed by 
J45 205 conservatives, to take but one example, that minimum-wage 
J45 206 legislation dries up jobs for the poor by making labor too 
J45 207 expensive. But there is in fact little such evidence, and it could 
J45 208 be in theory that a higher legal floor to wages would have 
J45 209 precisely the intended salutory influence, that is, higher minimums 
J45 210 would have <quote_>"a positive effect on labor productivity and 
J45 211 consequently on employment."<quote/> As the terms of public debate 
J45 212 have shifted so as to frame a more conservative and less 
J45 213 compassionate view, reformers have more and more difficulty 
J45 214 defending in public perfectly reasonable attempts (such as the 
J45 215 legislation of a higher minimum wage) to improve basic conditions 
J45 216 for the poor.<p/>
J45 217 
J46   1 <#FROWN:J46\><h_><p_>International Evidence on the Historical 
J46   2 Properties of Business Cycles<p/>
J46   3 <p_><tf|>By DAVID K. BACKUS AND PATRICK J. KEHOE<p/><h/>
J46   4 <p_><tf_>We contrast properties of real quantities with those of 
J46   5 price levels and stocks of money for ten countries over the last 
J46   6 century. Although the magnitude of output fluctuations has varied 
J46   7 across countries and periods, relations among real quantities have 
J46   8 been remarkably uniform. Properties of price levels, however, 
J46   9 exhibit striking differences between periods. Inflation rates are 
J46  10 more persistent after World War II than before, and price-level 
J46  11 fluctuations are typically procyclical before World War II and 
J46  12 countercyclical afterward. Fluctuations in money are less highly 
J46  13 correlated with output in the postwar period but are no more 
J46  14 persistent than in earlier periods.<tf/> (JEL E32, E31)<p/>
J46  15 <p_>We study fluctuations in output, prices, and money in ten 
J46  16 countries for which at least a century of annual data are 
J46  17 available. We also examine the cyclical behavior of components of 
J46  18 national output: private consumption expenditures, fixed 
J46  19 investment, government purchases of goods and services, and net 
J46  20 exports. Our objective is to document some of the salient features 
J46  21 of business cycles. We know that in many respects these countries 
J46  22 and time periods have been markedly different. The ten countries 
J46  23 differ in their institutions, their monetary and fiscal policies, 
J46  24 their industrial compositions and structures, and their average 
J46  25 aggregate growth rates. The question is whether they share, despite 
J46  26 these differences, similar features of business cycles.<p/>
J46  27 <p_>We find a great deal of regularity in the cyclical behavior of 
J46  28 real quantities. Although the magnitude of output fluctuations 
J46  29 varies across countries and over time, relations among variables 
J46  30 are remarkably stable. Investment is consistently 2-4 times as 
J46  31 variable as output; consumption is about as variable as output; and 
J46  32 both investment and consumption are strongly procyclical. The trade 
J46  33 balance is generally countercyclical, exhibiting larger deficits 
J46  34 during booms than during recessions. The exception to this 
J46  35 regularity in quantities is government purchases, which exhibit no 
J46  36 systematic cyclical tendency. Patterns of price-level fluctuations, 
J46  37 however, have changed markedly. Before World War II, prices were 
J46  38 predominantly procyclical; since then, they have been consistently 
J46  39 countercyclical. They have also been, in most countries, 
J46  40 substantially more persistent since World War II than in earlier 
J46  41 periods. We also find for the post-World War II period that 
J46  42 fluctuations in the stock of money have been less highly correlated 
J46  43 with output. There is no general tendency across countries, 
J46  44 however, toward greater persistence of money growth rates.<p/>
J46  45 <p_>Our study is an outgrowth of business<?_>-<?/>cylce research by 
J46  46 Robert Lucas (1977), Finn Kydland and Edward Prescott (1990), and 
J46  47 others that, in turn, retains some of the flavor of the tradition 
J46  48 of Arthur Burns and Wesley Mitchell (1946) at the National Bureau 
J46  49 of Economic Research (NBER). The goal of this work is, for the most 
J46  50 part, to summarize the properties of macroeconomic data without 
J46  51 imposing much theoretical structure. The resulting empirical 
J46  52 regularities can then serve as a guide to a variety of future 
J46  53 theoretical developments. A common theme in this line of research 
J46  54 is that the business-cycle phenomenon consists not simply of 
J46  55 fluctuations in aggregate output, but also of common patterns of 
J46  56 correlation between different aggregate time series. We report 
J46  57 properties of international fluctuations in a manner that conforms 
J46  58 with some recent work on American business cycles and thus extends 
J46  59 this work to a much wider range of countries and time periods. Our 
J46  60 motivation is international in another respect: our own research 
J46  61 (Backus and Kehoe, 1987; Backus et al., 1992) concerns the dynamics 
J46  62 of inernational trade and the relationships among business cycles 
J46  63 in different countries. A useful by-product is additional evidence 
J46  64 on the question of whether output fluctuations since World War II 
J46  65 have been smaller than those prior to World War I. This question 
J46  66 has been the subject of active debate in the United States, 
J46  67 including papers by Christina Romer (1986, 1989), Steven Sheffrin 
J46  68 (1988), and Nathan Blake and Robert J. Gordon (1989). Like 
J46  69 Sheffrin's study, ours puts this debate in an international 
J46  70 context. We include several countries not studied by Sheffrin, 
J46  71 notably Australia, Canada, and Japan, and introduce new data for 
J46  72 Sweden.<p/>
J46  73 <p_>Our data set covers ten countries with at least a century of 
J46  74 annual data on national output: Australia, Canada, Denmark, 
J46  75 Germany, Italy, Japan, Norway, Sweden, the United Kingdom, and the 
J46  76 United States. For the most part, countries with national income 
J46  77 accounts for such a long period are also those with the highest per 
J46  78 capita output today. Several others, including India, report 
J46  79 partial time series, but we doubt that these series are 
J46  80 sufficiently accurate for the study of short-term fluctuations. 
J46  81 Estimates of national output in the ten countries vary in quality, 
J46  82 but in some cases we think they are superior to the U.S. data.<p/>
J46  83 <p_>We begin, in Section I, by describing the data. While data for 
J46  84 earlier periods are unquestionably less reliable than modern data, 
J46  85 in some countries they appear to be good enough to provide an 
J46  86 accurate picture of business cycles prior to World War II. The data 
J46  87 for several countries seem to be significantly more accurate than 
J46  88 the Kuznets-based estimates for the United States, primarily 
J46  89 because raw-data sources are better in these countries. In Section 
J46  90 II, we compare output volatility before World War I (the 
J46  91 <tf|>prewar period), after World War II (the <tf|>postwar period), 
J46  92 and between the wars (the <tf|>interwar period). Until recently, 
J46  93 the presumption has been that prewar U.S. output fluctuations were 
J46  94 two or three times larger than those of the postwar period. Romer 
J46  95 (1989), however, suggests that at least part of this difference is 
J46  96 the result of systematic measurement error in prewar GNP that 
J46  97 overstates its cyclical variability. Our international data set 
J46  98 provides additional evidence on this question.<p/>
J46  99 <p_>For the ten countries, we find that interwar fluctuations in 
J46 100 real output are uniformly larger than those of the postwar period. 
J46 101 With the single exception of Japan, the standard deviations of 
J46 102 output fluctuations are from two to four times larger in each of 
J46 103 the ten countries. We find, however, no consistent pattern for the 
J46 104 prewar-postwar comparison. In six of the ten countries studied by 
J46 105 Sheffrin (1988), prewar fluctuations are no more than 60-percent 
J46 106 larger than those of the postwar period. However, in the other four 
J46 107 (Australia, Canada, Sweden, and the United States) the fluctuations 
J46 108 are considerably larger in the prewar period. The U.S. case has 
J46 109 been discussed extensively, and it appears that part of the excess 
J46 110 volatility of the prewar period can be attributed to measurement 
J46 111 error (Romer, 1989). Romer's preferred estimate of prewar 
J46 112 volatility is only 30-percent higher than for the postwar period, 
J46 113 but Balke and Gordon (1989) argue for a number closer to 100 
J46 114 percent. Sheffrin (1988) considers a similar case for Sweden and 
J46 115 concludes that the excess volatility in the prewar era is not 
J46 116 primarily the result of measurement error. We find, as do Michael 
J46 117 Bergman and Lars Jonung (1989) with different methods, that about 
J46 118 half of the excess volatility Sheffrin finds in the prewar period 
J46 119 disappears when revised as estimates of prewar output are used. 
J46 120 Australia and Canada have the most extreme differences between 
J46 121 periods, with output three and two times more volatile, 
J46 122 respectively, in the prewar period. The data for both countries are 
J46 123 reasonably good, so the greater volatility of measure output 
J46 124 probably indicates a change in the variability of real economic 
J46 125 activity.<p/>
J46 126 <p_>In Section III, we examine the behavior of components of the 
J46 127 national product: consumption, gross investment, government 
J46 128 spending, and net exports. We find that many of the properties of 
J46 129 postwar business cycles in the United States are evident in other 
J46 130 countries and periods. Consumption expenditures have been 
J46 131 procyclical and have approximately the same standard deviation as 
J46 132 output. Investment has also been uniformly procyclical and 
J46 133 generally varies, in percentage terms, from two to four times more 
J46 134 than output. Government spending has generally been more variable 
J46 135 than output, but it has been countercyclical almost as often as 
J46 136 procyclical. Net exports have been, for the most part, 
J46 137 countercyclical. We also find that correlations between measured 
J46 138 output movements in different countries are typically positive and 
J46 139 more pronounced in the postwar period than in the prewar period.<p/>
J46 140 <p_>In Section IV, we examine movements in price levels and money 
J46 141 stocks. Here we find, in contrast to the regularity of real 
J46 142 quantities, two significant changes in the cyclical behavior of 
J46 143 prices. We find, first, that price changes in most countries have 
J46 144 been more persistent in the postwar period than in the prewar 
J46 145 period. This finding extends related work by Jeffrey Sachs (1980), 
J46 146 Charles Schultze (1986), and John Taylor (1986) on the United 
J46 147 States and work by Gordon (1983) on the United States, the United 
J46 148 Kingdom, and Japan, to a larger set of countries. We also find, in 
J46 149 the prewar and interwar periods, that output and price-level 
J46 150 fluctuations are positively correlated in most of the ten 
J46 151 countries. However, in the postwar period, price fluctuations have 
J46 152 been consistently countercyclical. We find a slight decline in the 
J46 153 correlation of money and output in the postwar period, but no 
J46 154 general tendency for greater persistence of money growth rates. We 
J46 155 conclude this section with some speculative remarks on potential 
J46 156 explanations for the observed changes in price behavior.<p/>
J46 157 <h_><p_>I. The Data<p/><h/>
J46 158 <p_>We start with a description and evaluation of the data, 
J46 159 emphasizing in particular the methods used to construct prewar 
J46 160 national income accounts; sources and definitions are described in 
J46 161 Appendix A. Although national accounts are based to a large extent 
J46 162 on a common framework, sources of raw data differ across countries, 
J46 163 especially in the prewar period. Countries with the best source 
J46 164 material tend to have the most reliable estimates of national 
J46 165 income. The United Kingdom, for example, has had an annual income 
J46 166 tax in effect continuously since 1842, while in the United States 
J46 167 the federal personal income tax was only made possible in 1913 by 
J46 168 the Sixteenth Amendment to the Constitution. As a result, the 
J46 169 United Kingdom has much better data on the income side of the 
J46 170 national accounts for the prewar period than the United States. In 
J46 171 other countries, the establishment of statistical bureaus to 
J46 172 measure production and employment, frequently on an industry basis, 
J46 173 makes production-based accounts feasible. In the United States such 
J46 174 sources of annual data are extremely limited. For this reason, and 
J46 175 because accounting methods have improved in the decades since Simon 
J46 176 Kuznets's (1961) work on prewar U.S. GNP, estimates for several of 
J46 177 the countries we study are likely to be better than the American 
J46 178 data examined by Romer (1989) and Balke and Gordon (1989).<p/>
J46 179 <p_>Problems with prewar U.S. data have been well-documented by 
J46 180 Kuznets (1961) and Romer (1986, 1989). Kuznets and his coworkers 
J46 181 constructed national income accounts for the United States from 
J46 182 1869. The cornerstone of this work, and most later work as well, is 
J46 183 William Shaw's (1947) commodity output series: estimates of value 
J46 184 added in manufacturing, mining, and farming. Shaw's estimates, and 
J46 185 therefore those of national income, were severely constrained in 
J46 186 the prewar period by the absence of comprehensive annual data 
J46 187 sources. The most informative sources (see Shaw, 1947 part II) were 
J46 188 periodic federal censuses, including especially the Census of 
J46 189 Manufactures, available every ten years from 1869 to 1899 and every 
J46 190 five years from 1899 to 1919. One source of annual data is reports 
J46 191 on industry published by eight states. These states accounted for 
J46 192 between 10 and 39 percent of total manufacturing in census years, 
J46 193 and the reports typically covered only part of each state's 
J46 194 manufacturing output (see Shaw, 1947 table II:4). The state reports 
J46 195 were supplemented with occasional government reports and industry 
J46 196 publications. Kuznets (1961) interpolated further between the 
J46 197 census benchmarks of 1869, 1879, and 1889 by using a variety of 
J46 198 industry-output indicators (see the notes to tables II:1-5 in 
J46 199 Kuznets [1961]), since neither he nor Shaw was able to measure 
J46 200 commodity output directly for the 1869-1889 period. Finally, both 
J46 201 Shaw and Kuznets estimated nominal value added, which was converted 
J46 202 to real terms at a disaggregated level using producer price 
J46 203 indexes.<p/>
J46 204 <p_>Romer (1989), however, bases her criticism of prewar U.S. data 
J46 205 not on the fragmentary source material used to produce estimates of 
J46 206 commodity output, but on the method Kuznets (1961) used to 
J46 207 extrapolate from commodity output to GNP. Kuznets's problem was to 
J46 208 estimate GNP from information on commodity output alone, since 
J46 209 direct measures of other components were not consistently available 
J46 210 even for census years.
J46 211 
J47   1 <#FROWN:J47\><h_><p_>AFRICAN-AMERICAN SOCIETY AND EDUCATION<p/>
J47   2 <p_>Letha A. (Lee) See<p/><h/>
J47   3 <p_>The study of social inequality in the United States has 
J47   4 properly focussed on the fate of African-Americans. Although other 
J47   5 minorities have endured privations based on their language or 
J47   6 religion, their identity is in their own hands to some extent: 
J47   7 there are no physical barriers to a change of an individual's 
J47   8 tongue or faith. This is not so with race. Gender would similarly 
J47   9 define identity by nature, but even though women are still treated 
J47  10 unequally across almost all racial and ethnic groups, civilized 
J47  11 societies increasingly denounce sexual discrimination.<p/>
J47  12 <p_>The African-Americans, at twenty-eight million, considerably 
J47  13 outnumber the Native Americans (about one million), the Asians, or 
J47  14 the mixed race Hispanic community (sixteen million). Their 
J47  15 situation still constitutes the 'American problem' that has been 
J47  16 identified for generations. It should be clear that the problem is 
J47  17 only partly theirs to solve, for the society as a whole must change 
J47  18 too, and would benefit immensely from its solution.<p/>
J47  19 <p_>On the other hand, there is evidence that a minority of 
J47  20 African-Americans have succeeded, despite the inferior 
J47  21 opportunities available to most of their members. Of course, 
J47  22 without their handicap of widespread victimization, these notables 
J47  23 would likely have won achievements which were more substantial, 
J47  24 earlier, easier, and achievements might have been recognized over a 
J47  25 broader range of ventures.<p/>
J47  26 <p_>This chapter deals briefly with four aspects of inequality in 
J47  27 society to set the context for a discussion of education: income, 
J47  28 housing, criminal justice, and health care. Other data on 
J47  29 inequality (such as social class) in the United States are drawn 
J47  30 upon where appropriate, but this chapter argues that 
J47  31 African-Americans exist as a statistically significant sub-group 
J47  32 within most of the other categories of disadvantage found in 
J47  33 American society - in fact a statistically larger share of 
J47  34 disadvantaged categories than would be expected. In short, race 
J47  35 does not explain everything, but if you are black and in the United 
J47  36 States, it has a pervasive inhibition on opportunities of every 
J47  37 kind. Educational programs of schooling and teacher education are 
J47  38 then addressed to see where intervention is most promising. 
J47  39 Self-help programs are identified, recognizing the difficulties of 
J47  40 securing broad public support.<p/>
J47  41 <h_><p_>Background to Inequality for African-Americans<p/><h/>
J47  42 <p_>African-Americans came to the United States as slaves in most 
J47  43 cases. Although they sometimes came via the British colonies of the 
J47  44 Caribbean, most came directly from Africa. Although other peoples 
J47  45 were sometimes enslaved and the Africans mixed with various other 
J47  46 races, slavery remained the dominant experience of their group 
J47  47 (more or less exclusively) until the Civil War. From the time that 
J47  48 slave trading was abolished during the 1830s (with legislation from 
J47  49 several states reinforced by the effective blockade of slaving by 
J47  50 the British navy) the numbers of African-Americans have grown by 
J47  51 natural causes rather than by continued migration. Only a few 
J47  52 thousand have left the U.S. for other nations such as Liberia or 
J47  53 Canada. In short, for over 150 years the United States has been the 
J47  54 only home of African-Americans, and for 125 years they have been 
J47  55 citizens. But not equal ones.<p/>
J47  56 <p_>Deprived of the vote initially, threatened by lynch mobs until 
J47  57 the present generation, denied equal access to many public services 
J47  58 in both government and private institutions, the African-American 
J47  59 is still not able to enjoy equal status. This inequality remains 
J47  60 institutionalized although no longer formalized in law. Most of the 
J47  61 social functions of American life create separate categories for 
J47  62 white and non-white, and black is both the largest and probably the 
J47  63 most disadvantaged group among the latter. At the personal level, 
J47  64 racism may not be evident, but almost any set of statistics can be 
J47  65 broken into categories that reflect the racial exploitation. Of 
J47  66 course, current data do not describe a society that is inevitable 
J47  67 or desirable. Since the systems they describe are capable of being 
J47  68 changed if there is sufficient social and political will, education 
J47  69 has an important role in improving the deplorable conditions 
J47  70 revealed in studies of other aspects of society: income, housing, 
J47  71 health, and crime.<p/>
J47  72 <h|>Income
J47  73 <p_>Economic developments for African-Americans in the United 
J47  74 States reflect the continuum of possibilities. Blackwell (1985) 
J47  75 asserts that <quote_>"many segments of the black community 
J47  76 experienced major economic progress"<quote/> between the Civil 
J47  77 Rights Act of 1964 and the election of Ronald Reagan in 1980. 
J47  78 <tf_>U.S. News and World Report<tf/> (1986) claimed that the 
J47  79 majority of African-Americans are prospering and that they had 
J47  80 doubled their proportion in the middle class. But these two 
J47  81 articles still portray these gains as insignificant in the context 
J47  82 of economic inequality. The Reagan period brought appalling 
J47  83 reverses in economic equality for the majority of 
J47  84 African-Americans. An Urban League report entitled <tf_>The State 
J47  85 of Black America<tf/> (Swinton 1989) shows per capita income for 
J47  86 African-Americans remained steadily at 51 percent of that for 
J47  87 whites. The aggregate incomes of both groups continued to grow, but 
J47  88 the income gap widened by about $2000. Black family income was only 
J47  89 42 percent that of whites and spelled disaster for large families 
J47  90 in the urban setting.<p/>
J47  91 <p_><tf_>U.S. News and World Report<tf/> (1986) reported that 1.1 
J47  92 million black males were unemployed in 1985, compared to .5 million 
J47  93 in 1970. Half of all black teenagers who had started a job are now 
J47  94 unemployed. The explanation offered by the Department of Commerce 
J47  95 (1986) is that there are no longer well-paid jobs in manufacturing 
J47  96 where unskilled blacks would be employed. In the last fifteen 
J47  97 years, of twenty-three million jobs created in the private sector, 
J47  98 more than 90 percent were in the service sector.<p/>
J47  99 <p_>High unemployment rates among African-Americans are related to 
J47 100 the entry of new immigrant groups into the employment force, and to 
J47 101 the structural shift from low-skill jobs to jobs requiring 
J47 102 technical skills (See 1986). The internationalization of the 
J47 103 world's labor force (partly because American businesses are opening 
J47 104 factories offshore) points to an increasing need for American youth 
J47 105 to have job training and general education. Indirect evidence 
J47 106 indicates that investment in public schooling can be partly offset 
J47 107 against added costs of long-term unemployment, or can provide a 
J47 108 partial solution to the high rate of unemployment among blacks, 
J47 109 thereby providing a respectable cost/benefit argument for offering 
J47 110 training services.<p/>
J47 111 <p_>Black unemployment and poverty are both high, and high relative 
J47 112 to the figures for white Americans. The 1986 Census Bureau reports 
J47 113 that 33.7 million people (14.4 percent of the U.S. total) are poor. 
J47 114 Among African-Americans, the rate is 33.8 percent, for black 
J47 115 children 51.1 percent, and for the black elderly 31.7 percent. 
J47 116 Blacks are three times as likely as whites to find themselves in 
J47 117 poverty. Black families headed by women are twice as likely to be 
J47 118 poor. Swinton (1989) contends that not only did African-Americans 
J47 119 not share in the recent economic revolution, but the black-white 
J47 120 gap is growing. The black poverty rate doubled from 1969 to 1988 
J47 121 (12 percent instead of 6 percent) and unemployed tripled (1.7 
J47 122 million instead of 570,000).<p/>
J47 123 <p_>This economic inequality in America reflects upon the marginal 
J47 124 participation by African-Americans in the economic community. Not 
J47 125 only are there smaller numbers but the nature of the jobs makes 
J47 126 workers vulnerable to displacement from automation, technological 
J47 127 changes, and shifts to off-shore operations. Unskilled and 
J47 128 semi-skilled jobs are disappearing at the rate of 35,000 per week, 
J47 129 nearly two million per year. This pressure on the African-American 
J47 130 community is curiously functional, for Gans (1974) noted that any 
J47 131 social system can ensure that its 'dirty work' is done at low wages 
J47 132 if there are no alternatives for part of the work force.<p/>
J47 133 <p_>African-Americans are losing ground, giving rise to a nation of 
J47 134 the truly disadvantaged. Evidently America is growing into two 
J47 135 nations, one black, one white; separate and unequal.<p/>
J47 136 <h|>Housing
J47 137 <p_>Blackwell (1985) argued that African-American housing should be 
J47 138 judged by the standards created and used by the empowered Americans 
J47 139 - the whites. By these standards, African-American housing is 
J47 140 grossly overcrowded, substandard, and expensive. It contributes to 
J47 141 homelessness even as it provides a limited form of housing.<p/>
J47 142 <p_>This situation evolved as a succession of Republican 
J47 143 administrations shifted the focus from construction of public 
J47 144 housing to permitting private landlords to build or convert rental 
J47 145 units for eligible families. These changes were followed by a 
J47 146 series of rental subsidies (Bell 1970). To reach provisional 
J47 147 agreements with landlords, landlords were allowed to subdivide 
J47 148 existing apartments into exceedingly small units, resulting in 
J47 149 overcrowding becoming commonplace (Forman 1978).<p/>
J47 150 <p_>The population density in public housing was three times as 
J47 151 high for African-Americans as for whites. In 1980, black families 
J47 152 were larger than those of whites, but their apartments were 
J47 153 smaller. The 1986 Census also indicated that a substantially larger 
J47 154 number of ancillary <}_><-|>indviduals<+|>individuals<}/> resided 
J47 155 with black families.<p/>
J47 156 <p_>There are not enough housing units for the African-American 
J47 157 population, and the existing units cost too much. Today's problems 
J47 158 arose from the urban renewal programs of the late 1950s and the 
J47 159 1960s, when the goal was to demolish blighted areas and construct 
J47 160 new dwellings, office buildings, and highways. African-Americans 
J47 161 were forced from their homes and traditional neighborhoods and the 
J47 162 reduced number of available housing units became available for the 
J47 163 poor in new ghettos (Gilderbloom 1989). The Reagan administration 
J47 164 added to existing problems by massive cuts in domestic spending, 
J47 165 including a large reduction in housing aid. Spending for low income 
J47 166 housing fell from $32 billion in 1980 to $7 billion in 1988. This 
J47 167 national agenda halted construction of low income housing despite 
J47 168 residential density being at its highest levels ever, housing 
J47 169 problems at their maximum.<p/>
J47 170 <p_>Another consequence of these government housing policies is 
J47 171 that some African-Americans have no housing at all. It is estimated 
J47 172 that less than 2 percent of new housing guaranteed by Federal 
J47 173 Housing Authority (FHA) mortgages is available to 
J47 174 African-Americans. For non-government housing, the percentage open 
J47 175 to black people is even smaller. One-third of the 23 million 
J47 176 African-Americans now live below the poverty line (U.S. Bureau of 
J47 177 Census 1988). It is highly probable that they live in desolation 
J47 178 and squalor, devoting an increasing portion of their income to 
J47 179 rent. Waiting lists for public housing swell dramatically, forcing 
J47 180 many cities to close off new applicants.<p/>
J47 181 <p_>Inequality is evident in the housing shortage, in racial 
J47 182 exclusion, and in homelessness. The exclusion of persons from 
J47 183 residential areas because of their race, color, creed, or ethnic 
J47 184 attachment, despite their needs and ability to pay denies 
J47 185 African-Americans a fundamental right. While complete freedom of 
J47 186 selection is never achieved, compulsory or manipulated segregation 
J47 187 is inherently wrong, damaging both for the immediate victims and 
J47 188 for the general public. Housing segregation leads directly to 
J47 189 segregation in other areas of life: schools, churches, hospitals, 
J47 190 public accommodation, recreation, welfare and civic activities, and 
J47 191 the workplace. Although segregation of schools is a violation of 
J47 192 the orders of the Supreme Court, many schools of the north and west 
J47 193 are segregated not by law but by racial patterns of residence.<p/>
J47 194 <h|>Health
J47 195 <p_>Universal health care is hotly debated in the United States. 
J47 196 Conservative ideology suggests that those in need must fail in 
J47 197 seeking help from their families and from the marketplace before 
J47 198 they can depend on the government for medical assistance (Enthoven 
J47 199 1980, Hornbrook 1983). For poor people, seeking medical care from 
J47 200 the marketplace drains them of hope and resources (Trevino and Moss 
J47 201 1983). The numbers are substantial: in 1983 the number of people 
J47 202 living in poverty in the United States exceeded the entire 
J47 203 population of Argentina, Australia, Canada, Sweden or Taiwan - in 
J47 204 fact of all but twenty-three nations in the world. 
J47 205 African-Americans represent a large number of those in poverty.<p/>
J47 206 <p_>In 1969, 19.9 percent of African-Americans sixty-five years of 
J47 207 age or more could not work because of ill health. (Only five 
J47 208 percent of whites were in the same situation.) Low incomes for 
J47 209 African-Americans explain many of these discrepancies, as they have 
J47 210 done throughout the century. At the beginning of this century, 
J47 211 white men outlived black men by 15.7 years; white women outlived 
J47 212 black women by 16.0 years. These gaps have continued to narrow 
J47 213 throughout the century, to become respectively 6.8 and 5.3 years. 
J47 214 Significant differences are evident in the proportion of each race 
J47 215 that lives beyond the age of 65: 74.8 percent of white and 58.1 
J47 216 percent of African males; 85.7 percent of white and 74.9 percent of 
J47 217 African-American females (Statistics of the United States 1986).<p/>
J47 218 
J47 219 
J48   1 <#FROWN:J48\><h_><p_>Academic Achievement in Mathematics and 
J48   2 Science of Students Between Ages 13 and 23: Are There Differences 
J48   3 Among Students in the Top One Percent of Mathematical Ability?<p/>
J48   4 <p_>Camilla Persson Benbow<p/>
J48   5 <p_>Iowa State University<p/>
J48   6 <p_>The predictive validity of the Scholastic Aptitude 
J48   7 Test-Mathematics subtest (SAT-M) was investigated for 1,996 
J48   8 mathematically gifted (top 1%) 7th and 8th graders. Various 
J48   9 academic achievement criteria were assessed over a 10-year span. 
J48  10 Individual differences in SAT-M scores obtained in junior high 
J48  11 school predicted accomplishments in high school and college. Among 
J48  12 students in the top 1% of ability, those with SAT-M scores in the 
J48  13 top quarter, in comparison with those in the bottom quarter, 
J48  14 achieved at much higher levels through high school, college, and 
J48  15 graduate school. Of the 37 variables studied, 34 showed significant 
J48  16 differences favoring the high SAT-M group, which were substantial. 
J48  17 Some gender differences emerged; these tended to be smaller than 
J48  18 the ability group differences; they were not observed in the 
J48  19 relationship between mathematical ability and academic achievement. 
J48  20 The predictive validity of the SAT-M for high<?_>-<?/>ability 7th 
J48  21 and 8th graders was supported.<p/><h/>
J48  22 <p_><quote_>"Standardized testing is much in the news. New testing 
J48  23 programs, test results, and criticisms of standardized testing all 
J48  24 are regular fare in the popular media today"<quote/> (Haney, 1981, 
J48  25 p. 1021). Moreover, <quote_>"with the possible exception of 
J48  26 evolution, no area in the sciences has been as filled with 
J48  27 emotional and confusing mixtures of science, politics, and 
J48  28 philosophy as the field of mental testing"<quote/> (Carroll & Horn, 
J48  29 1981, p. 1012). These remarks portray quite well the status of 
J48  30 mental testing at the beginning of the 1980s, yet they seem to be 
J48  31 equally appropriate for describing mental testing at the beginning 
J48  32 of the 1990s. Some might perceive this as a rather recent 
J48  33 development. However, concern over standardized testing has been 
J48  34 voiced ever since the introduction of the Stanford-Binet 
J48  35 Intelligence Scale and the Army Alpha test (Cronbach, 1975; Haney, 
J48  36 1981).<p/>
J48  37 <p_>The concerns over mental testing primarily have been threefold: 
J48  38 test bias against certain groups (primarily women and minorities at 
J48  39 present, but children from families of low socioeconomic status in 
J48  40 earlier decades), the role testing might play in perpetuating 
J48  41 social and economic injustice, and the utility of test information 
J48  42 (Cleary, Humphreys, Kendrick, & Wesman, 1975; Cole, 1981; 
J48  43 Gottfredson & Crouse, 1986; Haney, 1981; Jensen, 1980; Scarr, 
J48  44 1981). The questionable value of test information has been a 
J48  45 particularly frequent criticism levied against college admissions 
J48  46 tests, such as the College Board Scholastic Aptitude Test (SAT; see 
J48  47 Linn, 1982b, for a review). This study was conceptualized to 
J48  48 address the latter concern, namely, the predictive validity of the 
J48  49 SAT for a special population. I assess the value of the SAT, not 
J48  50 for high school seniors and the college admissions process, but 
J48  51 rather for identifying highly mathematically gifted seventh and 
J48  52 eighth graders and making predictions about their achievement over 
J48  53 a 10-year period following their SAT-Mathematics assessment. 
J48  54 Specifically, I asked whether the SAT-M can detect individual 
J48  55 differences in the top 1% of the ability continuum that bear on 
J48  56 subsequent academic achievement in mathematics and science.<p/>
J48  57 <p_>The use of the SAT to identify intellectually precocious 
J48  58 students in Grades 7 and 8 dates to 1972 when Julian Stanley 
J48  59 launched the first talent search (Keating & Stanley, 1972). Stanley 
J48  60 was interested in students who ranked in the top 1 % in 
J48  61 mathematical ability. Because considerable variance in academic 
J48  62 ability is found among students in the 99th per<?_>-<?/>centile and 
J48  63 because Stanley was interested in differentiating among such 
J48  64 students, out-of-level testing (i.e., using tests designed for 
J48  65 older age groups) was required. For that reason among others (see 
J48  66 Stanley & Benbow, 1986), Stanley chose the SAT as the instrument 
J48  67 with which to screen highly gifted students. Since 1972 more than 
J48  68 1,000,000 seventh and eighth graders have been tested with the SAT, 
J48  69 and more than 100,000 such students now take the SAT annually 
J48  70 through various talent search programs across the United States. 
J48  71 The distribution of scores of such students on the SAT is about the 
J48  72 same as found for a random sample of high school students (Benbow, 
J48  73 1988). The scores tend to maintain their ordinal ranking over time, 
J48  74 increasing 40 to 50 points per year (Benbow & Stanley, 1982; Brody 
J48  75 & Benbow, 1990; Olszewski-Kubilius, 1990). Thus, from a 
J48  76 psychometric viewpoint, the use of the SAT with seventh and eighth 
J48  77 graders seems justified.<p/>
J48  78 <p_>It has not been demonstrated, however, whether use of the SAT 
J48  79 with young but academically competent students has utility. Is the 
J48  80 SAT a valid tool for assessing individual differences in current 
J48  81 development, and can this instrument be used to refine predictions 
J48  82 of exceptional academic achievements? As Cronbach (1971) pointed 
J48  83 out, <quote_>"validation is the process of examining the accuracy 
J48  84 of a specific prediction or inference made form a test 
J48  85 score"<quote/> (p. 471). In assessing the validity of the SAT for 
J48  86 highly gifted 7th and 8th graders, I evaluated whether academic 
J48  87 achievement, especially in mathematics/science, during the 10-year 
J48  88 period after these students were identified is much higher for 
J48  89 those students with exceptionally high SAT Mathematics subtest 
J48  90 (SAT-M) scores (top quarter of the top 1%) than for those with 
J48  91 comparatively 'low' SAT scores who were nonetheless in the top 1% 
J48  92 in ability (i.e., the bottom quarter of the top 1%). I hypothesized 
J48  93 that meaningful differences would be detected. Several studies have 
J48  94 revealed that individuals with the most potential for high academic 
J48  95 achievement in mathematics and science are generally considered to 
J48  96 be those students with high ability, particularly, high 
J48  97 mathematical ability (Davis, 1965; Green, 1989; Walberg, 
J48  98 Strykowski, Rovai, & Hung, 1984; Werts, 1967). Moreover, Kuhn 
J48  99 (1962) noted that an overwhelming majority of <quote_>"scientific 
J48 100 revolutions"<quote/> can be ascribed to the works of mathematically 
J48 101 brilliant persons.<p/>
J48 102 <p_>Nevertheless, many researchers and educators, most notably 
J48 103 Renzulli (1986), have argued that there is a threshold effect for 
J48 104 ability. According to this argument, after a certain point, there 
J48 105 is a decline in the power of ability to influence academic 
J48 106 achievement and other variables, such as motivation and creativity, 
J48 107 become increasingly important. The precise location of this 
J48 108 threshold for ability has not been determined. However, it is 
J48 109 thought to be at some point well below the top percentile for 
J48 110 ability. If Renzulli and others of this viewpoint are correct, then 
J48 111 there should be no statistically significant differences in 
J48 112 mathematics/science achievement between the two high-ability 
J48 113 groups. All students in the top 1% should achieve highly, and 
J48 114 placement within the top 1% should not affect the results.<p/>
J48 115 <p_>The reasoning in the above paragraph assumes that there is only 
J48 116 one threshold for ability. Yet there could be a threshold effect 
J48 117 for ability within a certain range (e.g., between the 90th and 98th 
J48 118 percentiles) but not within the top 1%. That is, differences in 
J48 119 ability within the 90th and 98th percentiles may not relate much to 
J48 120 subsequent academic achievement in mathematics/science. This view 
J48 121 is reasonable given that the possible differences in ability within 
J48 122 a range, for example, within the 90th-98th or 80th-89th percentile 
J48 123 ranges, are small and not reliable in comparison with the ability 
J48 124 differences found within the top 1% when out-of-level testing is 
J48 125 used. I do not test this possibility in this study. If, however, 
J48 126 one is interested in scientific eminence or productivity, and a 
J48 127 threshold effect of ability for this level of achievement, it is 
J48 128 within the top percentile of ability that one must focus.<p/>
J48 129 <p_>Although my prediction is contrary to Renzulli's position, it 
J48 130 should be noted that there are data that support the validity of 
J48 131 Renzulli's position. For example, students who were in the top 1% 
J48 132 in mathematical ability in the 7th and 8th grades were studied at 
J48 133 23 years of age to identify those factors that affect the ways in 
J48 134 which childhood potential or ability is translated into adult 
J48 135 achievement (Benbow & Arjmand, 1990). As a group these students had 
J48 136 achieved academically at a very high level but not uniformly so. 
J48 137 When those students who were classified as high academic achievers 
J48 138 in mathematics/science areas (i.e., those who were attending 
J48 139 graduate school in mathematics/science or medical school; 
J48 140 <tf|>n=261) were compared with those students in the sample who 
J48 141 were classified as low academic achievers in those areas (those who 
J48 142 were not attending college or had withdrawn, those who graduated 
J48 143 with mathematics/science major but with low grades;  <tf|>n=95), a 
J48 144 difference in previous ability between the two groups was found 
J48 145 (the ability difference approximated two thirds of a standard 
J48 146 deviation on the SAT-M). The canonical correlation (from the 
J48 147 discriminant analysis) between (a) 7th-grade/8th<?_>-<?/>grade 
J48 148 SAT-M and (b) high school SAT-M, SAT Verbal subtest (SAT-V), and 
J48 149 achievement group membership was .30 for male students and .29 for 
J48 150 female students. (Too few cases had 7th-grade/8th-grade SAT-V 
J48 151 scores to allow inclusion in the analysis.) Nonetheless, ability 
J48 152 exhibited the weakest relationship with academic achievement in 
J48 153 mathematics/science as compared with variables in the areas of 
J48 154 educational opportunity, family characteristics, and attitudes. 
J48 155 Similarly, Sanders, Benbow, and Albright (1991) found that among 
J48 156 mathematically talented female students, previous ability on SAT-M 
J48 157 was not a primary factor relating to choice of mathematics/science 
J48 158 career or to educational aspirations.<p/>
J48 159 <p_>Thus, the aforementioned studies indicate that among those 
J48 160 students in the top 1%, SAT-M performance was a factor but not the 
J48 161 major factor predicting the students' academic success. That is, a 
J48 162 bright mind will not make its own way. The educational 
J48 163 opportunities provided to gifted children make a difference in the 
J48 164 children's development. In the present study, I ask the central 
J48 165 question: Do individual differences within the top 1% in ability 
J48 166 make a difference in the eventual display of achievement?<p/>
J48 167 <p_>In sum, I examine whether use of the SAT in out-of-level 
J48 168 testing of highly gifted students yields useful information for the 
J48 169 prediction of academic achievement up to 10 years after assessment. 
J48 170 That is, is it useful to diagnose level of talent within the top 
J48 171 1%, as is currently being done with well over 100,000 seventh- and 
J48 172 eighth-grade students on an annual basis? More succinctly, is there 
J48 173 a benefit to knowing where in the top 1% a student's ability lies? 
J48 174 It has been popularly assumed that such information is not helpful. 
J48 175 In essence, I assess the predictive validity of the SAT for use 
J48 176 with gifted 7th and 8th graders.<p/>
J48 177 <h_><p_>Method<p/>
J48 178 <p_>Subjects<p/><h/>
J48 179 <p_>Intellectually talented students were identified by the Study 
J48 180 of Mathematically Precocious Youth (SMPY), in which the SAT was 
J48 181 administered to intellectually able 12- and 13-year-olds in the 
J48 182 1970s and early 1980s (Keating & Stanley, 1972). During that 
J48 183 12-year period, more than 10,000 preadolescents (mostly 7th 
J48 184 graders) participated in SMPY 'talent searches.' (Since that time 
J48 185 more than 1 million students have taken the SAT through other 
J48 186 talent search programs.) About 3,500 of the students in the talent 
J48 187 searches were included in the SMPY 50-year longitudinal study. As 
J48 188 part of this study, researchers in the SMPY are currently tracking 
J48 189 four cohorts of students and studying their development 
J48 190 longitudinally.<p/>
J48 191 <p_>Students in Cohort 1 comprised the sample in this 
J48 192 investigation; they were drawn from the first three talent searches 
J48 193 of the SMPY (i.e., those conducted in 1972, 1973, and 1974). In 
J48 194 those talent searches, 7th and 8th graders in Maryland were 
J48 195 eligible to participate if they had scored in the upper 5% (1972) 
J48 196 or the upper 2% (1973, 1974) nationally on any standardized 
J48 197 mathematics achievement test. Qualified students took the SAT-M 
J48 198 and, in 1973, the SAT-V also. These tests are designed to measure 
J48 199 developed mathematical and verbal reasoning ability, respectively, 
J48 200 of high school students. However, the SAT is believed to be a more 
J48 201 potent measure of reasoning for 7th and 8th graders than for 11th 
J48 202 and 12th graders (Minor & Benbow, 1986; Stanley & Benbow, 1986).<p/>
J48 203 <p_>A score of at least 390 on the SAT-M or 370 on the SAT-V in the 
J48 204 7th or 8th grade was required for inclusion in Cohort 1 of the 
J48 205 longitudinal study. These SAT criteria resulted in the selection of 
J48 206 2,118 of 2,582 students who, as 7th or 8th graders, scored as well 
J48 207 as the average high school female; the criteria also provided a 
J48 208 wide range of talent to study. SAT scores had been grade adjusted 
J48 209 (7th-grade scores had been adjusted upward to be comparable to 
J48 210 8th-grade scores, with the procedure outlined in Angoff, 1971). 
J48 211 Mean SAT scores at age 13 were as follows for male students, 556 
J48 212 (<tf|>SD = 73) on SAT-M and 436 (<tf|>SD = 85) on SAT-V, and for 
J48 213 female students, 519 (<tf|>SD = 59) on SAT-M and 462 (<tf|>SD = 88) 
J48 214 for SAT-V.
J48 215 
J49   1 <#FROWN:J49\><h_><p_>CULTURE CLASH: A MODEL IN ACTION AMONG 
J49   2 HAWAIIAN-AMERICAN CHILDREN<p/><h/>
J49   3 <p_>Children of color may begin the schooling process having been 
J49   4 socialized in a way which may be in conflict with the expectations 
J49   5 of the school; when this occurs, children and teachers may fail due 
J49   6 to the <tf_>cultural incompatibility<tf/> between the culture of 
J49   7 the school and the culture of the child. In this section, efforts 
J49   8 to remedy the clash between the culture of the home and the culture 
J49   9 of the school among one particular American minority group - 
J49  10 Hawaiian-Americans - will be reviewed.<p/>
J49  11 <p_>The cultural incompatibility approach has been the basis of 
J49  12 considerable work at the Center for Development of Early Education 
J49  13 (formerly the Kamehameha Elementary Education Program, KEEP), a 
J49  14 privately funded, multidisciplinary, educational research and 
J49  15 development program directed at remedying academic underachievement 
J49  16 of native Hawaiians. As with many other ethnic minorities in 
J49  17 American schools, poor school performance among Hawaiians was at 
J49  18 first attributed to a variety of cultural and home deficiencies. 
J49  19 This cultural deficit model, implying a superior-inferior 
J49  20 dichotomy, is unfounded, unhelpful, and often rightfully labeled 
J49  21 racist. All neurologically normal children have already learned a 
J49  22 substantial amount of relatively complex material that is specific 
J49  23 to their culture by the time they are of school age. Employing a 
J49  24 cultural incompatibility model as opposed to a cultural deficit 
J49  25 model implies that all children can learn prerequisite skills for 
J49  26 any future need, including school readiness, if given the 
J49  27 opportunity.<p/>
J49  28 <p_>Researchers at Kamehameha schools proposed that a school 
J49  29 environment that was compatible with the child's home culture could 
J49  30 be developed. This culturally compatible classroom might elicit 
J49  31 from children those skills, attitudes, and behaviors that would 
J49  32 contribute to the desired learning and help children achieve early 
J49  33 school success.<p/>
J49  34 <p_>While research findings are numerous and complex, some summary 
J49  35 can be attempted here. To begin with, the Hawaiian socialization 
J49  36 system teaches children to be contributing members of a family. For 
J49  37 instance, even when adolescents work outside the home, rather than 
J49  38 spend their hard-earned money strictly on themselves, they often 
J49  39 contribute to the overall family resources. the family is not seen 
J49  40 as a training ground for independence as is typical in many 
J49  41 dominant culture families. Personal independence is not a goal; 
J49  42 rather, interdependence is stressed. A collective orientation 
J49  43 develops, as opposed to the individual orientation prevalent in 
J49  44 middle-class caucasian society. This has implications for 
J49  45 motivation and instructional strategies, as well as the reward 
J49  46 structure in the classroom. For instance, the Hawaiian child may 
J49  47 not be motivated by individual rewards (gold stars, grades) as much 
J49  48 as a caucasian counterpart. Nor would a Hawaiian child desire to 
J49  49 achieve independence from the group.<p/>
J49  50 <p_>The sibling care system, whereby children from a very young age 
J49  51 are placed in the care of older siblings, also promotes a high 
J49  52 degree of interdependence by giving children early experience 
J49  53 caring for younger children and carrying out many meaningful family 
J49  54 chores. Adults tend to structure their relationships so they can 
J49  55 relate to the sibling group as a whole, not to individuals on a 
J49  56 one-to-one basis. As a result, children do not have as much 
J49  57 one-to-one verbal interaction with adults. In addition, because 
J49  58 Hawaiian children learn from peers from an early age, they are 
J49  59 comfortable in the role of teacher as well as in the role of 
J49  60 learner.<p/>
J49  61 <p_>As a result, conditions in typical classrooms may not be 
J49  62 sufficient to elicit and sustain appropriate learning strategies. 
J49  63 Sibling care and interdependence may diminish the degree of 
J49  64 authority alloted to any one adult. Peer orientation and 
J49  65 affiliation, while frowned upon in the typical classroom, has been 
J49  66 found to contribute to school success of Hawaiian children. 
J49  67 Learning stations which consider this orientation facilitate 
J49  68 learning. Reading instruction modeled after the culturally familiar 
J49  69 'talk-story' activity improves reading skill and comprehension. 
J49  70 Modification of instructional practice, classroom organization, and 
J49  71 motivation management that takes into consideration the culture of 
J49  72 the child has been found to make a significant difference in the 
J49  73 achievement of Hawaiian children in school.<p/>
J49  74 <p_>Figure 5.1 illustrates some aspects of mainstream culture which 
J49  75 are congruent with the culture of the school but which may be in 
J49  76 significant conflict with the cultural knowledge and attitudes of 
J49  77 Hawaiian-American students.<p/>
J49  78 <p_>Analysis of the classroom experiences of other minority 
J49  79 children confirms the usefulness of the cultural incompatibility 
J49  80 hypothesis. The KEEP model, for example, has been applied among the 
J49  81 Navajo at Rough Rock. While not directly transferable, there is 
J49  82 every indication that culture-specific modification of the program 
J49  83 is possible. Efforts such as KEEP should be applauded. Even if not 
J49  84 directly transferable to other contexts, the implications and 
J49  85 motivations behind such work can be applied, especially where there 
J49  86 is a large population of a single minority group in the schools.<p/>
J49  87 <h_><p_>SOCIAL CLASS<p/><h/>
J49  88 <p_>We have said that differences in school achievement may be 
J49  89 attributed to the cultural influences of race, ethnicity, and 
J49  90 gender on learning style. Other aspects of human diversity may also 
J49  91 be critical in determining school success. Such factors include 
J49  92 motivation, aptitude and achievement, self-concept, peer pressure, 
J49  93 family, health, teacher expectations, and socioeconomic status. It 
J49  94 is to issues of socioeconomic status and its influence on school 
J49  95 achievement that we now turn.<p/>
J49  96 <p_>Most Americans believe they live in a classless, rather 
J49  97 egalitarian society. At the least, American ideology promotes the 
J49  98 idea that, through proper attention and diligence (and some luck, 
J49  99 which Americans also believe in), an individual may 'rise above' 
J49 100 his or her social class. Part of what has been called an 'American 
J49 101 religion,' this faith in the reality of upward mobility may account 
J49 102 for the relative lack of attention to the concept of social class 
J49 103 in the educational and psychological literature in the United 
J49 104 States. Certainly it accounts for the difficulty sociology 
J49 105 professors encounter in helping young people understand the bases 
J49 106 of class differences in this society. Nevertheless, as we all know, 
J49 107 there are significant variations in standard of living, status of 
J49 108 occupation, and extent of expectations of upward mobility among 
J49 109 American citizens.<p/>
J49 110 <p_><tf_>Social class<tf/> has been defined in a number of ways. 
J49 111 all of which refer to a hierarchical stratification, or 'layering,' 
J49 112 of people in social groups, communities, and societies. Assignment 
J49 113 to social class categories is one of a number of stratification 
J49 114 systems that can be used to distinguish one individual or group 
J49 115 from another in such a way as to assign 'worth.' The urge to 
J49 116 organize people in layers almost appears to be a culture-general 
J49 117 characteristic; indeed, it has been said that whenever more than 
J49 118 three people are in a group there will be stratification. While 
J49 119 many Americans would identify class membership in terms of income, 
J49 120 it is important to understand that money alone does not determine 
J49 121 one's social class. Rather, one's social class standing depends on 
J49 122 a combination of prestige, power, influence, and income.<p/>
J49 123 <p_><O_>figure&caption<O/><p/>
J49 124 <p_>Traditional class markers in the United States thus include 
J49 125 family income, prestige of one's father's occupation, prestige of 
J49 126 one's neighborhood, the power one has to achieve one's ends in 
J49 127 times of conflict, and the level of schooling achieved by the 
J49 128 family head. In other cultures, markers of social class may include 
J49 129 bloodline and status of the family name, the caste into which one 
J49 130 was born, the degree to which one engages in physical labor, and 
J49 131 the amount of time which one might devote to scholarly or leisurely 
J49 132 activities of one's choosing.<p/>
J49 133 <p_>For purposes of analysis, it is often helpful to divide 
J49 134 American society into five social classes. At the top there is a 
J49 135 very small upper class, or social elite, consisting chiefly of 
J49 136 those who have inherited social privilege from others. Second is a 
J49 137 larger upper middle class, whose members often are professionals, 
J49 138 corporate managers, leading scientists, and the like. This group 
J49 139 usually has benefited from extensive higher education, and while 
J49 140 family history is not so important, manners, tastes, and patterns 
J49 141 of behavior are.<p/>
J49 142 <p_>The third (or middle) social class has been called the lower 
J49 143 middle class. Members of this group are largely people employed in 
J49 144 white-collar occupations earning middle incomes - small business 
J49 145 owners, teachers, social workers, nurses, sales and clerical 
J49 146 workers, bank tellers, and so forth. This is the largest of the 
J49 147 social classes in the United States and encompasses a wide range of 
J49 148 occupations and income. Central to the values of the lower middle 
J49 149 class are a <quote_>"desire to belong and be respectable .... 
J49 150 [f]riendliness and openness are values and attention is paid to 
J49 151 keeping up appearances."<quote/><p/>
J49 152 <p_>Fourth in the hierarchy of social class is the working class, 
J49 153 whose members are largely blue-collar workers (industrial wage 
J49 154 earners), or employees in low-paid service occupations. 
J49 155 Working-class families often have to struggle with poor job 
J49 156 security, limited fringe benefits, longer hours of work, and more 
J49 157 dangerous or 'dirtier' work than those in the classes above them. 
J49 158 It is not surprising, then, that members of the working class often 
J49 159 feel more alienated from the social mainstream.<p/>
J49 160 <p_>Finally, fifth in the hierarchy is the lower class - the 
J49 161 so-called working poor and those who belong to what has been termed 
J49 162 the <tf|>underclass - a designation that refers to people who have 
J49 163 been in poverty for so long that they seem to be unable to take any 
J49 164 advantage at all of mobility options and thus lie 'below' the class 
J49 165 system. Clearly, poverty is both the chief characteristic and the 
J49 166 chief problem of this group. Webb and Sherman point out that this 
J49 167 simple fact needs to be underscored:<p/>
J49 168 <p_><quote_>Being poor means, above all else, lacking money. This 
J49 169 statement would be too obvious to mention were it not for the fact 
J49 170 that most Americans see poverty in other terms. Middle-class 
J49 171 conversations about the poor often depict them as lazy, 
J49 172 promiscuous, and criminal. Misconceptions about the poor are so 
J49 173 widespread that it is difficult to appreciate fully what life is 
J49 174 like at the lowest stratum of society.<quote/><p/>
J49 175 <p_>Complicating the issues of social class is the fact that in the 
J49 176 United States there is a large overlap between lower-middle-class, 
J49 177 working-class, and lower-class membership and membership in 
J49 178 minority groups. African-Americans, Hispanics, Native Americans 
J49 179 (including the Inuit and native Hawaiians) are the most 
J49 180 economically depressed of all groups in the United States. These 
J49 181 groups also have the highest school dropout rates. To the extent 
J49 182 that social class status depends on income and occupation (and 
J49 183 therefore, usually, prestige and power), women and children of all 
J49 184 racial, ethnic, and religious groups constitute a large proportion 
J49 185 of the lower classes. This is, in part, a consequence of the 
J49 186 descent into poverty that characterizes the lives of women who are 
J49 187 divorced and their children. At the present time, nearly 25 percent 
J49 188 of all American children under 6 years old are members of 
J49 189 households trying to exist below the poverty line.<p/>
J49 190 <p_>The working poor - those people who do work but in jobs that 
J49 191 are minimum wage or slightly above, with no benefits, and hardly 
J49 192 any job security - must also struggle to make it in today's 
J49 193 society. To reach a middle-class lifestyle, a family of four in 
J49 194 1987 needed an annual income of about $31,000, and inflation will 
J49 195 continue to raise this figure. In many cases, to reach this level 
J49 196 both husband and wife must work. Only 25 percent of men and women 
J49 197 reach this level if only one partner in the marriage earns an 
J49 198 income. Thurow states that<p/>
J49 199 <p_><quote_>although the dominant pattern today is a full-time male 
J49 200 worker and a part-time female worker, the pattern is rapidly 
J49 201 shifting toward a way of life in which both husband and wife work 
J49 202 full time .... As an increasing number of families have two 
J49 203 full-time workers, the households that do not will fall farther and 
J49 204 farther behind economically.<quote/><p/>
J49 205 <p_>Brislin comments on the effect this reality has on women and 
J49 206 children:<p/>
J49 207 <p_><quote_>The people left behind in the movement through social 
J49 208 class levels include households headed by women, and these reached 
J49 209 a staggering 31% of households in 1985. Dependence on one income, 
J49 210 combined with the well-known fact of lower salaries earned by 
J49 211 women, can result in poverty. Women and children constitute 77% of 
J49 212 people living in poverty, and 50% of these poor people live in 
J49 213 female-headed households with no husband present.<quote/><p/>
J49 214 <p_>Those of similar socioeconomic status, at whatever level, also 
J49 215 share similar cultural knowledge, attitudes, and values.
J49 216 
J50   1 <#FROWN:J50\><h_><p_>TEACHING SOMEONE TO THINK<p/><h/>
J50   2 <p_>The most important concept in educational theory is the concept 
J50   3 of thinking. The concept has been clearly understood for many 
J50   4 years, thanks to the insights of philosopher-educators like John 
J50   5 Dewey and Alfred North Whitehead, but it has yet to be grasped in 
J50   6 the teaching/learning processes of American schools.<p/>
J50   7 <p_>Thinking, says Dewey, is what gives meaning to experience. 
J50   8 Through thinking we apprehend a connection in experience that 
J50   9 enables us to act intentionally. Thinking is the basis of 
J50  10 responsible action, as contrasted with capricious behavior (which 
J50  11 accepts things as they happen to fall out) or with routinized 
J50  12 behavior (which accepts things as they have always been). Education 
J50  13 aims at enhancing the powers of thinking in the broad sense of the 
J50  14 acceptance of responsibility for action.<p/>
J50  15 <p_>Dewey believes that all thinking is problem-solving. All 
J50  16 thinking is instrumental. The starting point of any process of 
J50  17 thinking is something going on, something that just as it stands is 
J50  18 incomplete, unsatisfactory, or unfulfilled. Its point, its meaning, 
J50  19 lies literally in what it is going to be, in how things are going 
J50  20 to turn out. To fill one's head with facts about what is going on, 
J50  21 says Dewey, is not to think but to function as a registering 
J50  22 apparatus. Thinking means considering the bearing of what is going 
J50  23 on upon what may be, but is not yet. It is applying what is known 
J50  24 about the structure of experience to the task of projecting a plan 
J50  25 of action for an unknown that lies beyond experience.<p/>
J50  26 <p_>The function of a good teacher, as Stanford Erickson says, is 
J50  27 to give voice to knowledge linking the present to the past and the 
J50  28 future. Dynamic teaching is not a matter of developing innovative 
J50  29 techniques for telling things to students. Dynamic teaching is 
J50  30 teaching that engages the student's thinking in the imaginative 
J50  31 consideration of learning. The moment of instructional truth, as 
J50  32 Erickson says, occurs <quote_>"when the student grasps the meaning 
J50  33 of an important idea."<quote/> Everything else in schooling is 
J50  34 nothing more than preparation for learning.<p/>
J50  35 <p_>The fundamental aim of all education is the enhancement of 
J50  36 thinking. The cultivation of skill obtained apart from thinking has 
J50  37 nothing to do with education; and information detached from 
J50  38 thoughtful action is dead (even though it may resemble knowledge) 
J50  39 and is a mind-crushing load. Education is the attempt to mobilize 
J50  40 the imagination of individuals in the activity of thinking. 
J50  41 <quote_>"The sole direct path to enduring improvement in the 
J50  42 methods of instruction and learning consists,"<quote/> as Dewey 
J50  43 declares, <quote_>"in centering upon the conditions which exact, 
J50  44 promote, and test thinking."<quote/><p/>
J50  45 <p_>For Dewey, the requirements of a dynamic educational method are 
J50  46 (1) that the student has a genuine situation of experience that 
J50  47 proposes a problem in which he is interested for its own sake; (2) 
J50  48 that this problem should develop within the learning situation as a 
J50  49 stimulus to his thought; (3) that he should have access to 
J50  50 information bearing on the problem, its causes and its solution; 
J50  51 (4) that he should be responsible for coming up with alternative 
J50  52 solutions to the problem and for exploring them in an orderly way; 
J50  53 and (5) that he should have opportunity and occasion to test his 
J50  54 ideas by application, to make their meaning clear, and to discern 
J50  55 for himself their validity.<p/>
J50  56 <p_>Human learning, as Dewey always insists, begins with 
J50  57 recognition of a situation that calls for some sort of doing. The 
J50  58 starting point of learning is a problem. Beginning with a problem 
J50  59 posed by experience, the student must then be helped to gain 
J50  60 command of data that will help him to deal with the difficulty or 
J50  61 the challenge that has been presented. To think effectively one 
J50  62 must be able to command information that bears on the problem at 
J50  63 hand.<p/>
J50  64 <p_>The assimilation of data in relation to an experienced problem 
J50  65 or concern generates suppositions, tentative explanations, and 
J50  66 interpretations - what Dewey calls ideas. Data are facts; the ideas 
J50  67 that spring from them forecast possible results. Thinking is an act 
J50  68 of inference that always involves an invasion of the unknown, a 
J50  69 leap out beyond what is known. Thinking is an incursion into the 
J50  70 novel and demands some measure of inventiveness.<p/>
J50  71 <p_>Ideas, as Dewey uses the term in this context, are always 
J50  72 generated out of the originality of the thinker. All ordinary 
J50  73 thinking is creative. Ideas in Dewey's sense are anticipations of 
J50  74 possible solutions to problems, of possible connections between 
J50  75 action and desired consequences. Ideas are not the final end of 
J50  76 learning; they are intermediate goals, significant only insofar as 
J50  77 they guide and organize future experience and action. The testing 
J50  78 of an idea, of course, involves not only assessing the adequacy of 
J50  79 the data that support it, but also acting upon it and seeing what 
J50  80 results.<p/>
J50  81 <p_>Dewey's understanding of the relationship between education and 
J50  82 thinking is closely akin to Whitehead's celebrated definition of 
J50  83 education as <quote_>"the acquisition of the art of the utilization 
J50  84 of knowledge."<quote/> Whitehead advances a passionate protest 
J50  85 against the notion of education as the accumulation of inert ideas, 
J50  86 as the transmission of scraps of information accumulated by the 
J50  87 learned professions. Education at every stage, he says, must permit 
J50  88 each individual student to experience the joy of discovery - must 
J50  89 permit each student, that is, to discover that ideas can provide an 
J50  90 understanding of the stream of events that is Life and can 
J50  91 establish a basis for practical decision. A merely well-informed 
J50  92 person is the most useless bore on God's earth. But an education 
J50  93 that is merely pedantry is not only useless; it is positively 
J50  94 harmful, for a mind loaded with the dead weight of routinized 
J50  95 learning is unable to think.<p/>
J50  96 <p_>Imagination is the capacity to think about the relevance of 
J50  97 learning for life. The <quote_>"problem of problems"<quote/> in 
J50  98 education, as Whitehead sees it, is the provision of a corps of 
J50  99 teachers whose learning is lighted up with imagination. A school 
J50 100 must be a place in which the adventure of thought meets the 
J50 101 adventure of action. Education is learning for life. And what is 
J50 102 needed for life, as Whitehead says, are ideas that provide the 
J50 103 basis for determining through foresight what actions are 
J50 104 appropriate. Education is <quote_>"a preparation by which to 
J50 105 qualify each immediate moment with relevant ideas and appropriate 
J50 106 ideas."<quote/><p/>
J50 107 <p_>The basic virtue of the university, in Whitehead's view, is the 
J50 108 power of imagination. The primary reason for the existence of a 
J50 109 university is not to be found in the knowledge that it succeeds in 
J50 110 imparting to its students or in the scientific advances achieved 
J50 111 through its research. The justification for a university is that it 
J50 112 preserves <quote_>"the connection between knowledge and the zest 
J50 113 for life,"<quote/> by uniting the young and the old in <quote_>"the 
J50 114 imaginative consideration of learning."<quote/><p/>
J50 115 <p_>The imaginative consideration of learning, as Whitehead argues, 
J50 116 requires a dialectical combination of freedom and discipline. The 
J50 117 rhythm of education involves a series of stages in the growth of 
J50 118 educated imagination: (1) the awakening of interest and the general 
J50 119 apprehension of a subject in its vaguest details; (2) the 
J50 120 acquisition of specific knowledge and mastery of the relevant 
J50 121 details through the pursuit of an objective method; (3) the 
J50 122 comprehensive ordering of the subject as a whole in the light of 
J50 123 all relevant knowledge; (4) the understanding of the general 
J50 124 principle for purposes of creative application in novel situations. 
J50 125 The aimless acquisition through education of precise knowledge, 
J50 126 inert and unutilized, only paralyzes thought. The wisdom that 
J50 127 education seeks is the habit of the active utilization of well 
J50 128 understood principles.<p/>
J50 129 <p_>No area of education has more to gain from attention to the 
J50 130 rhythmic law of human development, as Whitehead says, than moral 
J50 131 and religious education. The principle of progress in moral and 
J50 132 religious growth is from within. The teacher of moral and religious 
J50 133 values has an important but limited function. He can elicit an 
J50 134 awakening of concern in moral issues by resonance from his own 
J50 135 personality and character, and he can create an environment that is 
J50 136 conducive to the nurture of a higher wisdom and a firmer purpose. 
J50 137 But the ultimate motive power for learning (whether in science, in 
J50 138 morality, or in religion) comes from the learner. It is the sense 
J50 139 of value, wonder, and reverence, the eagerness to merge one's 
J50 140 personality in something beyond itself. Without this sense of 
J50 141 value, as Whitehead says, education is a great emptiness and life 
J50 142 sinks back into the passivity of its lower types.<p/>
J50 143 <h_><p_>EDUCATION AND VALUATION<p/><h/>
J50 144 <p_>In the course of all complex human learning, questions of value 
J50 145 will inevitably arise. Yet the method by which intelligence 
J50 146 addresses problems of values is not fundamentally different from 
J50 147 the method by which it addresses questions of fact. Questions of 
J50 148 values arise in all thinking, since thinking deals with problems 
J50 149 arising out of human concerns and seeks a course of purposive 
J50 150 action that will bring about a desired circumstance. Unless it 
J50 151 addresses the values-related questions, education, like science 
J50 152 itself, is simply irrelevant.<p/>
J50 153 <p_>Valuation is a phase of the process of thinking that concerns 
J50 154 the formation of strategies for solving problems. Informed thinking 
J50 155 about alternative courses of action leads to appraisals of which 
J50 156 action is better or worse, more or less serviceable/feasible. Such 
J50 157 appraisals require an experimental justification of the same sort 
J50 158 as is involved in all scientific generalization. Valuations, in 
J50 159 other words, are concerned with what Dewey calls <quote_>"rules for 
J50 160 the use, in and by human activity, of scientific generalizations as 
J50 161 means for accomplishing certain desired and intended ends."<quote/> 
J50 162 Moral education depends on a theory of valuation that advances a 
J50 163 method of reaching well<?_>-<?/>founded judgments of value to guide 
J50 164 the intelligent conduct of human activities, both personal and 
J50 165 social, in the solution of human problems.<p/>
J50 166 <p_>An instrumentalist understanding of thinking opens new avenues 
J50 167 for the systematic application of disciplinary scholarship in the 
J50 168 moral domain. Of course, as Dewey himself granted, it does not 
J50 169 immediately resolve all the questions that philosophers and other 
J50 170 scholars might wish to raise. Instrumentalism remains debatable as 
J50 171 an epistemological or meta-ethical theory. Yet in the context of 
J50 172 our struggle for better answers to the problems of life, Dewey's 
J50 173 analysis of the way we think identifies an approach to 
J50 174 values-related questions that is by no means foreign to the 
J50 175 academy. It is, indeed, the method by which all human understanding 
J50 176 progresses 'from sounds to things,' from appearances to reality, 
J50 177 from illusion to truth.<p/>
J50 178 <p_>Thinking is an ongoing process. It is never finished, and its 
J50 179 conclusions are never final. Thinking is the search for greater 
J50 180 coherence in our expanding experience, but it is always limited by 
J50 181 the particular context in which it functions at any given moment. 
J50 182 Thinking is always contextual; so, too, is all thinking about 
J50 183 ethical issues. Every ethical problem arises in a particular 
J50 184 context of experience; and all thinking about ethical issues 
J50 185 proceeds by stages as the mind seeks new data and perspectives for 
J50 186 forming more coherent and comprehensive understandings. Moral 
J50 187 thinking does not deal with ultimate or intrinsic values any more 
J50 188 than scientific thinking deals with absolute truth. The only truth 
J50 189 to be found in either domain is the increasing coherence of our 
J50 190 expanding experience.<p/>
J50 191 <p_>A pragmatic program of moral education might well be guided by 
J50 192 the assumption of ethical contextualism, which views moral 
J50 193 reasoning as always taking place within a specific context of moral 
J50 194 decision. All ethical argumentation depends on a set of premises in 
J50 195 which at least one ethical premise is included. Contextualism is 
J50 196 the claim that in every context of ethical discussion we have 
J50 197 available some moral principles that set the problem. If these 
J50 198 principles are themselves challenged, we simply move to another 
J50 199 context of investigation, where we shall need to identify another 
J50 200 principle or set of principles with which to carry on the new moral 
J50 201 inquiry.<p/>
J50 202 <p_>Ethical contextualism is based on the understanding that there 
J50 203 is no working ethical premise that cannot be inferred by a process 
J50 204 of logical inference from other ethical premises in combination 
J50 205 with factual information. Such a view is analogous to the 
J50 206 philosophy of causality, which assumes that there is no cause of a 
J50 207 phenomenon that is not itself the effect of some other cause. For 
J50 208 ethical contextualism the logic of evaluation is coordinate with 
J50 209 the logic of science.
J50 210 
J51   1 <#FROWN:J51\><h_><p_>INTRODUCTION<p/>
J51   2 <p_>The Grammar of Argumentation<p/><h/>
J51   3 <p_>It is generally regarded as mandatory for a textbook in logic 
J51   4 to begin with a definition of logic. With some misgivings I shall 
J51   5 attempt to comply with that convention. However I think that more 
J51   6 than a simple definition is required. The concept of logic has 
J51   7 undergone numerous changes since the Greeks first took up the study 
J51   8 in the fourth or fifth century B.C. Since then the term has taken 
J51   9 on new meanings which it was not originally intended to carry, 
J51  10 without, however, entirely loosing its original sense. The result 
J51  11 is that nowadays the word "logic" does not identify a single 
J51  12 enterprise so much as a confusing conglomeration of enterprises 
J51  13 related primarily by historical accident. By way of introduction, I 
J51  14 shall attempt to clarify the concept of logic, and introduce at 
J51  15 least some of the basic vocabulary of syllogistic logic:<p/>
J51  16 <h_><p_>History of the Concept of Logic<p/><h/>
J51  17 <p_>The people who conceived and developed syllogistic logic had 
J51  18 quite different views on what they were doing than the people who 
J51  19 call themselves logicians today. In taking up the study of 
J51  20 syllogistic logic - a form of logic with deep historical roots - it 
J51  21 may therefore be advisable to begin by acquiring some sense of how 
J51  22 the word 'logic' has changed its meaning over the centuries.<p/>
J51  23 <p_>The Greek word '<translitG_>logos<translitG/>' from which the 
J51  24 word logic is derived, means (among other things) an 'account', in 
J51  25 the sense in which a naughty child might be asked to give an 
J51  26 account of his actions. Thus when Plato defines knowledge in the 
J51  27 <tf|>Meno as 'true belief with a <translitG_>logos<translitG/>', he 
J51  28 means that a belief can properly be called knowledge only if (a) it 
J51  29 is true, and (b) the person holding the belief can give an adequate 
J51  30 reason, or an adequate account of why he holds that belief.<p/>
J51  31 <p_>Of course any account which is adequate to justify one person's 
J51  32 beliefs should also be adequate to convince someone else to adopt 
J51  33 the same beliefs. To act rationally or logically means to act in a 
J51  34 way that can be understood and justified. Hence, since logic was 
J51  35 concerned with the nature of an adequate account, the Greeks 
J51  36 understood logic to be concerned with the nature of persuasion, 
J51  37 refutation, and inquiry.<p/>
J51  38 <p_>But what does it mean to say that an account is 'adequate?' 
J51  39 Plato thought that one should distinguish between legitimate 
J51  40 persuasion and refutation, such as a genuine philosopher employs 
J51  41 when conducting an inquiry into the truth, and illegitimate 
J51  42 persuasion and refutation, such as a sophist employs in trying to 
J51  43 sway public opinion. Granted that people justify their beliefs and 
J51  44 actions by telling a story or giving an account, what sort of 
J51  45 account qualifies as a legitimate and proper justification and what 
J51  46 sort does not? It was this question which, I believe, logicians 
J51  47 originally set out to answer. Hence the original conception of 
J51  48 logic seems to have been that logic was supposed to give a 
J51  49 legitimate account of the way in which we legitimately account for 
J51  50 our beliefs and actions.<p/>
J51  51 <p_>Plato, however, offers no criteria for drawing the distinction 
J51  52 between legitimate and illegitimate accounts, other than to point 
J51  53 out that a legitimate account is easier to remember, since the same 
J51  54 line of thought, if it is genuinely rational, can always be 
J51  55 reconstructed. The only method which Plato offers for telling the 
J51  56 difference between legitimate and illegitimate accounts is 
J51  57 self-honest evaluation based upon a commitment to the truth. A 
J51  58 person who is being honest with himself, and is genuinely concerned 
J51  59 to discover the truth, will simply be able to <tf|>tell the 
J51  60 difference.<p/>
J51  61 <p_>The problem with this account (as Plato was well aware) is that 
J51  62 it gives us no recourse against someone who stubbornly persists in 
J51  63 being irrational. In the <tf|>Gorgias Socrates falls into a 
J51  64 discussion with such a person, and the dialogue degenerates into a 
J51  65 shouting match. Socrates accuses Callicles of dishonesty - of being 
J51  66 in disagreement even with himself - but without being able to give 
J51  67 a better account of logic, he has no way to make the accusation 
J51  68 stick. Logic may <tf|>begin with self-honesty and a commitment to 
J51  69 the truth, but it cannot <tf|>end there.<p/>
J51  70 <p_>The earliest surviving essays which attempt a systematic study 
J51  71 of logic are a group of lectures by Aristotle. Aristotle did not 
J51  72 necessarily intend these lectures to be treated as a single work, 
J51  73 nor did he even necessarily regard them all as essays on logic. In 
J51  74 fact, they cover a wide range of topics and were written at widely 
J51  75 different periods of his life. The Alexandrian editor, Andronicus 
J51  76 of Rhodes, nevertheless grouped these lectures together under the 
J51  77 title <tf|>Organon, which means 'organ' or 'tool', and placed them 
J51  78 at the beginning of Aristotle's works. The implication is that 
J51  79 these essays were not themselves lectures on philosophy, but were 
J51  80 rather an explanation of the tools with which philosophers work. As 
J51  81 such they should be regarded as <tf|>preliminary to the study of 
J51  82 philosophy. The subjects treated in Aristotle's lectures can be 
J51  83 summarized as follows:<p/>
J51  84 <p_>(1) In the <tf_>Categorie<tf/>s, a discussion of the various 
J51  85 types of terms, the classifications into which terms can be 
J51  86 divided, and the distinctive features which terms in each category 
J51  87 display.<p/>
J51  88 <p_>(2) In the <foreign|>Hermeneia, a discussion of propositions, 
J51  89 how they are put together and how they are related to each 
J51  90 other.<p/>
J51  91 <p_>(3) In the <tf_>Prior Analytics<tf/>, a discussion of the 
J51  92 formal patterns which arguments may take. It is this work in which 
J51  93 syllogistic logic first appears.<p/>
J51  94 <p_>(4) In the <tf_>Posterior Analytics<tf/> and the <tf|>Topics, a 
J51  95 discussion of the practical application of argumentation and proof 
J51  96 to the acquisition of knowledge.<p/>
J51  97 <p_>(5) In the <tf_>Sophistical Refutations<tf/>, a discussion of 
J51  98 common errors (or fallacies) made in argumentation.<p/>
J51  99 <p_>Medieval logicians learned their dicipline chiefly by studying 
J51 100 Aristotle's <tf|>Organon, so it is not surprising that they 
J51 101 considered logic to include the same subjects covered by 
J51 102 Aristotle's <tf|>Organon. The medieval logicians made some 
J51 103 significant changes in the syllogistic logic, gave names to each of 
J51 104 the valid argument forms, and put the system into more or less its 
J51 105 modern form. They also wrote commentaries on the other books in 
J51 106 Aristotle's <tf|>Organon, especially the <tf|>Categories.<p/>
J51 107 <p_>But it was not entirely clear why logicians, concerned with the 
J51 108 question of legitimacy in methods of persuasion and refutation, 
J51 109 should take time to examine types of terms. Some conception of 
J51 110 logic was needed to give a sense of unity to these diverse matters. 
J51 111 The medieval response to this problem was to point out that all the 
J51 112 topics in Aristotle's <tf|>Organon are concerned with 'second 
J51 113 intentions'. The word 'intention' may be taken as roughly 
J51 114 synonymous with the word 'meaning'. Let us call anything which has 
J51 115 an intention or meaning a 'sign'. Words, for example, are signs, 
J51 116 since there is some object which any word 'intends', though this 
J51 117 object need not actually exist. (The word 'unicorn', for example, 
J51 118 has a meaning or intention, since it refers to a type of being, 
J51 119 even though the being to which it refers does not actually exist.) 
J51 120 However, words are not the only signs. Thoughts are also signs, 
J51 121 since thoughts, like words, 'intend' some object, i.e. they have a 
J51 122 meaning. (To prove this to yourself, try to imagine what it would 
J51 123 be like to have a meaningless thought. Wouldn't that be the same as 
J51 124 not having a thought at all?)<p/>
J51 125 <p_>According to the medieval logicians, signs could be divided 
J51 126 into two groups:<p/>
J51 127 <p_>(1) those whose object is a thing or relationship that (if it 
J51 128 exists at all) exists in nature. Examples would include 'green', 
J51 129 'tree', 'unicorn', etc. These were called signs of first 
J51 130 intention.<p/>
J51 131 <p_>(2) those whose object is another sign. Examples would include 
J51 132 'noun', 'verb', 'subject', 'predicate', etc. These were called 
J51 133 signs of second intention.<p/>
J51 134 <p_>Logic, they thought, was the science which studied signs of the 
J51 135 second kind rather than signs of the first kind. Hence logic could 
J51 136 be defined as the 'science of second intentions'. By this 
J51 137 definition, of course, logic incorporates all of the linguistic 
J51 138 sciences, including what we would now call grammar and 
J51 139 semantics.<p/>
J51 140 <p_>This definition gave a sort of unity to the list of subjects 
J51 141 which were thought to fall within the scope of logic, but it also 
J51 142 caused some of the subjects to be pushed into the forefront, while 
J51 143 others took on a merely peripheral importance. For example, the 
J51 144 discussion of types of terms became particularly important, since 
J51 145 the purpose of the discussion was not to classify types of things, 
J51 146 but rather to classify what we could sensibly say <tf|>about 
J51 147 things. It was, in other words, an attempt to give some order to 
J51 148 signs themselves; it was not an attempt to give order to the 
J51 149 objects which the signs intended. Hence the categorization of terms 
J51 150 fit neatly within the medieval definition of logic. The discussion 
J51 151 of sophistical reasoning, which would have been regarded as central 
J51 152 to logic according to the Greek conception, still had its place in 
J51 153 medieval logic but it no longer occupied a position of overweaning 
J51 154 importance.<p/>
J51 155 <p_>Thus while the Greeks thought that logic should be primarily 
J51 156 concerned with persuasion, refutation, inquiry, and the 
J51 157 justification of beliefs, the medieval logicians extended the 
J51 158 notion, so that logic was thought to be concerned with the nature 
J51 159 of signs in general.<p/>
J51 160 <p_>It is important to understand that the notions of 'sign' and 
J51 161 'intention' are very broad. They include, not only words and 
J51 162 language, but also thought itself. Because of this, it was easy to 
J51 163 make the transition from thinking of logic as primarily concerned 
J51 164 with language (especially language used to persuade), to thinking 
J51 165 of logic as primarily concerned with thought. The philosophers of 
J51 166 the early modern period came to regard logic as concerned with 'the 
J51 167 laws of thought', and this frequently meant that they regarded 
J51 168 logic as a sort of psychology. Logic was thought to study the 
J51 169 operations of the mind, specifically, of course, the operations 
J51 170 associated with rationality. Certain operations of the mind were 
J51 171 thought to be more fundamental than others; so fundamental, in 
J51 172 fact, that it would be contrary to human nature, or outside the 
J51 173 scope of human capacity, to reason in any other way. This view of 
J51 174 logic was held by philosophers as diverse as Leibniz, Locke, and 
J51 175 Kant. Even Hegel, when writing on logic, seems to have in mind a 
J51 176 thorough-going analysis of the structures of the conscious mind, 
J51 177 though he is careful to make clear that he means <tf_>any 
J51 178 conceivable<tf/> conscious mind, not simply the human mind. Hence, 
J51 179 Hegel does not regard logic as a type of psychology but rather as 
J51 180 related to (though not identical with) phenomenology.<p/>
J51 181 <p_>During the 19th century a revolution occurred in the methods 
J51 182 employed by logicians. George Boole was able to demonstrate that 
J51 183 simple mathematical operations, such as multiplication and 
J51 184 subtraction, could be made to parallel the familiar laws of logic. 
J51 185 This meant that logicians were able to use quasi-mathematical 
J51 186 formulas to represent or model patterns of argumentation. This new 
J51 187 technique was incredibly powerful, and gave logicians the tools 
J51 188 with which they could analyze more and more complex arguments. 
J51 189 However, most logicians still considered logic to be, at root, the 
J51 190 study of the laws of thought. They simply assumed that these laws 
J51 191 could be expressed mathematically. Hence mathematics changed the 
J51 192 methodology of logic, but not (at first) its essential subject 
J51 193 matter.<p/>
J51 194 <p_>However, the notion that there are such things as laws of 
J51 195 thought, and that it is the business of logic to study them, began 
J51 196 to break down with the advent of non-Euclidean geometry, and with 
J51 197 the many other sudden advances in mathematical theory also made 
J51 198 during the 19th century. It would be false to claim that the 
J51 199 non-Euclidean geometries destroyed the concept of 'laws of thought' 
J51 200 by proving that humans could conceptualize on a much grander scale 
J51 201 than had previously been supposed. In fact they proved no such 
J51 202 thing. Rather, the non-Euclidean geometries proved that even 
J51 203 apparently absurd presuppositions could be developed into 
J51 204 consistent (and perhaps even useful) systems. Hence discussion 
J51 205 among mathematicians concerning what was absurd or inconceivable 
J51 206 was supplanted by discussion concerning what could and could not be 
J51 207 consistently systematized. Mathematicians could no longer regard 
J51 208 mathematics as founded upon <tf_>a priori<tf/> truths, or as an 
J51 209 attempt to elaborate some particular system of well understood 
J51 210 formal relations.
J51 211 
J52   1 <#FROWN:J52\>Speaking of the poetic writers of this period, Harold 
J52   2 Bloom has argued that they characteristically exhibit a compulsion 
J52   3 toward priority in intellectual and artistic creation and a fear of 
J52   4 being regarded as derivative. Bloom terms this state of mind 
J52   5 <quote_>"the anxiety of influence."<quote/> In his study with this 
J52   6 same title, Bloom observes that <quote_>"all quest-romances of the 
J52   7 post-Enlightenment, meaning all Romanticisms whatsoever, are quests 
J52   8 to re-beget one's own self, to become one's own Great 
J52   9 Original."<quote/> Surprisingly, in this study Bloom repeatedly 
J52  10 draws on Kierkegaard's statements about artistic and intellectual 
J52  11 creativity to illustrate his own points about the poet's efforts at 
J52  12 self<?_>-<?/>creation, the poet's demand for priority and for 
J52  13 freedom from the influence of his precursors.<p/>
J52  14 <p_>Although Bloom is entirely unaware of Kierkegaard's 
J52  15 relationship to Kant, it is not accidental that he draws on 
J52  16 Kierkegaard's preoccupation with originality of authorship in 
J52  17 describing this <quote_>"anxiety of influence."<quote/> As 
J52  18 Kierkegaard reminds us from virtually the first to the last words 
J52  19 of his published work, he was always a poet, and a poet writing and 
J52  20 thinking in an era when originality - the secure possession of 
J52  21 one's own <tf|>daimon, one's genius - was the mark of greatness. 
J52  22 Even a cursory reading of Kierkegaard's <tf|>Papers tell us how 
J52  23 much he was concerned with the singularity of his 
J52  24 religious-literary effort. From <tf|>Either/Or and <tf_>Fear and 
J52  25 Trembling<tf/> onward the poetic Kierkegaard always remained 
J52  26 concerned with his place in literary and intellectual history. 
J52  27 Furthermore, as Christoph Schrempf reminds us in his exhaustive 
J52  28 biography, Kierkegaard's strong sense of sacrificial destiny - his 
J52  29 wish to offer up his life as the vehicle for a unique and 
J52  30 redemptive idea - exhibits a turn of mind characteristic of many 
J52  31 other 'poetic' writers of this period.<p/>
J52  32 <p_>In view of this, we might suppose that Kierkegaard also 
J52  33 suffered from <quote_>"the anxiety of influence,"<quote/> that he, 
J52  34 too, sought to cut the ties to his predecessors and, above all, to 
J52  35 that predecessor on whose originality and genius his own novel 
J52  36 creation so depended. In the course of his discussion, Bloom 
J52  37 repeatedly quotes a remark by Kierkegaard that Bloom presents as a 
J52  38 virtual synopsis of the poet's effort to creatively appropriate the 
J52  39 work of his predecessor: <quote_>"He who is willing to work gives 
J52  40 birth to his own father."<quote/> If the pattern of borrowing we've 
J52  41 seen is indicative, Kant is, in a sense, Kierkegaard's intellectual 
J52  42 'father.' Understood in terms of Bloom's analysis, therefore, 
J52  43 Kierkegaard's authorship becomes an impassioned effort to 
J52  44 're-create' Kant's philosophy in a way that makes it fully the 
J52  45 product of Kierkegaard's own creative genius. The absence of any 
J52  46 tradition of scholarship relating Kierkegaard to Kant and the 
J52  47 difficulty many Kierkegaard biographers have had in tracing the 
J52  48 lines of his descent show how well Kierkegaard was able to obscure 
J52  49 his own intellectual paternity.<p/>
J52  50 <p_>This first explanation of Kierkegaard's deliberate effort to 
J52  51 erase the lines leading back to Kant assumes a measure of 
J52  52 concealment and intellectual ambition. A second explanation moves 
J52  53 in a different direction and relates Kierkegaard's handling of Kant 
J52  54 to the central intellectual concerns of his authorship and to his 
J52  55 ongoing employment of irony as a philosophical tool. Simply stated, 
J52  56 it sees Kierkegaard's covert use of Kant as a subtle, necessary, 
J52  57 and deserved trick played by Kierkegaard on his arrogant Hegelian 
J52  58 foes.<p/>
J52  59 <p_>To understand this second effort at explanation, it helps to 
J52  60 keep in mind Louis Mackey's point that Kierkegaard faced a daunting 
J52  61 task in taking on Hegelianism from an orthodox Christian-religious 
J52  62 point of view. The challenge before Kierkegaard, Mackey observes, 
J52  63 was to call into question a philosophy that regarded itself as the 
J52  64 dialectical fulfillment of human thought and as thus able to 
J52  65 comprehend all possible philosophical and religious positions. To 
J52  66 accomplish this seemingly impossible task, Kierkegaard chose to 
J52  67 avoid philosophical argumentation and to employ the method of 
J52  68 Socratic irony, arraying its <quote_>"infinite negativity"<quote/> 
J52  69 against Hegelian pretensions.<p/>
J52  70 <p_>I would deepen Mackey's observations by adding that part of 
J52  71 this ironic strategy for Kierkegaard may have involved a decision 
J52  72 to employ Kantian philosophy in his struggle against the Hegelians: 
J52  73 to use a thinker who had been 'transcended' (<foreign|>aufgehoben) 
J52  74 and fully assimilated into the dialectic against the discipline's 
J52  75 now reigning giant. Philosophy could thus be turned against its own 
J52  76 methodological and substantive pretensions. To prevent this from 
J52  77 becoming just another page in this history of philosophical 
J52  78 debates, however, and to avoid the Hegelians' premature dismissal 
J52  79 of his position, Kierkegaard would have had to conceal Kant's 
J52  80 presence in his own reformulated statements of Christianity. In 
J52  81 this way Kierkegaard could appropriate and use Kant's brilliant 
J52  82 destruction of the tradition of rationalism while ironically 
J52  83 exposing the hollowness of the Hegelians' claims to have mastered 
J52  84 all preceding thought.<p/>
J52  85 <p_>There are hints in Kierkegaard's writings that he was aware of 
J52  86 the joke he was playing on the smug but philosophically 
J52  87 less-than-well-trained Danish Hegelians. Kierkegaard knew that 
J52  88 Martensen and his acolytes, for the very reason that they did not 
J52  89 take the past seriously, were often ill-versed in the writings of 
J52  90 philosophers whose work they purported to have transcended. In a 
J52  91 remark to his brother in 1841 he caustically dismisses possible 
J52  92 criticisms of his doctoral dissertation by what he calls 
J52  93 <quote_>"one or another half-educated Hegelian robber."<quote/> 
J52  94 Having endured Martensen's and others' lectures on Kant, and 
J52  95 knowing how little the Hegelians really understood Kant's profound 
J52  96 ethics and philosophical theology, Kierkegaard may well have 
J52  97 enjoyed the one-upmanship involved in surreptitiously turning Kant 
J52  98 against his teachers.<p/>
J52  99 <p_>I have already mentioned one possible instance of this kind of 
J52 100 playfulness on Kierkegaard's part: his handling in the 
J52 101 <tf|>Postscript of the matter of the philosophical pedigree of the 
J52 102 idea of the 'leap.' Although Johannes Climacus, the 
J52 103 <tf|>Postscript's pseudonymous author, repeatedly confesses his 
J52 104 debt to Lessing for this idea, even giving the title 'Attributable 
J52 105 to Lessing' to the section where he discusses the leap, the section 
J52 106 itself ends with mention to the fact that Johannes <foreign_>de 
J52 107 silentio<foreign/>, author of <tf_>Fear and Trembling<tf/>, had 
J52 108 previously discussed a similar idea. Climacus adds that he had read 
J52 109 Johannes <foreign_>de silentio<foreign/>'s book before encountering 
J52 110 Lessing's essay, and he closes his discussion with the remark 
J52 111 <quote_>"Whether Johannes <foreign_>de silentio<foreign/> has had 
J52 112 his attention called to the leap by reading Lessing, I shall not 
J52 113 attempt to say."<quote/> This comment invites the discerning reader 
J52 114 to ask, who, if not Lessing, might be Climacus's/Kierkegaard's 
J52 115 primary philosophical source for this idea? Since <tf_>Fear and 
J52 116 Trembling<tf/> centrally addresses Kant's repudiation of the leap 
J52 117 of faith as this was symbolized for both Kant and Kierkegaard by 
J52 118 the episode of Genesis 22, there can be little doubt that this 
J52 119 remark about influence points toward Kant. Almost as though he were 
J52 120 unwilling to totally obscure his debt to Kant, in other words, 
J52 121 Kierkegaard gives the informed reader a glimpse into the game he is 
J52 122 playing with the Hegelians.<p/>
J52 123 <p_>The <tf|>Fragments offers another sign of this playfulness. On 
J52 124 at least six occasions, the author, Johannes Climacus, raises 
J52 125 questions of scholarly attribution and openly acknowledges the 
J52 126 unoriginality of his ideas and his susceptibility to the charge of 
J52 127 plagiarism. In almost all these instances, Climacus is able 
J52 128 ironically to defend himself against such accusations because the 
J52 129 intellectual property he is appropriating derives from the very 
J52 130 public domain of biblical teaching. At the same time, many other 
J52 131 elements in this volume are borrowed from Kant, possibly including 
J52 132 at least one idea attributed by Climacus to the Bible. The project 
J52 133 itself is stimulated, in part, by Kant's position on historical 
J52 134 revelation in <tf_>The Conflict of the Faculties<tf/>, a work we 
J52 135 might suppose relatively few Hegelians had read. Hence, concealed 
J52 136 within Climacus's openly confessed plagiarism lies a deeper level 
J52 137 of unacknowledged borrowing. Kierkegaard's irony and sense of humor 
J52 138 seem to me to be at work here. Openly signalling the derivative 
J52 139 quality of this work, he leaves it to the Hegelians to detect his 
J52 140 employment of Kant against them, while remaining confident that, 
J52 141 despite their vaunted philosophical erudition, the Danish Hegelians 
J52 142 will surely fail to see or understand the presence of the 
J52 143 philosopher they had 'gone beyond.'<p/>
J52 144 <p_>Was it, then, authorial ambition or a<&|>sic! only half-veiled 
J52 145 playfulness and irony that led Kierkegaard to obscure his debt to 
J52 146 Kant? In the complex world of human motives, which Kierkegaard 
J52 147 himself so masterfully explored, these two explanations may be less 
J52 148 opposed than they appear. Perhaps both motives were at work, a 
J52 149 youthful author's passionate quest for originality tempered by 
J52 150 conscientious self-disclosure and a willingness to reveal his 
J52 151 philosophical legerdemain to those able to appreciate it.<p/>
J52 152 <p_>Whatever Kierkegaard's motives, there can be no doubt that Kant 
J52 153 played a major role in Kierkegaard's intellectual formation. From 
J52 154 the pattern of borrowing we've seen, I am led to conclude that as 
J52 155 early as his student years Kierkegaard was deeply intrigued by what 
J52 156 he had read in Kant's mature works on religion. This interest 
J52 157 shaped the course of his writing and thinking in the period 
J52 158 immediately following. We saw that as early as 1835 Kierkegaard 
J52 159 expressed the wish that he might find <quote_>"the idea"<quote/> to 
J52 160 which he could give his life. Over the course of the next five 
J52 161 years, reading Kant in preparation for his degree examination, 
J52 162 Kierkegaard found this idea. Although his best teachers treated 
J52 163 Kantianism as merely a way station en route to Hegel, Kierkegaard 
J52 164 perceived that Kant's contributions to religious thought had not 
J52 165 even begun to be assimilated. If Kant's ethics were taken seriously 
J52 166 - and despite many criticisms, including Hegel's, Kant's ethical 
J52 167 writings everywhere commanded respect - then his contentions in the 
J52 168 <tf|>Religion also had to be taken seriously. They had to be viewed 
J52 169 neither as the work of a great philosopher in his dotage (the 
J52 170 opinion of some philosophers) nor as a wooden and perhaps dangerous 
J52 171 effort to translate biblical truth into philosophical terms (the 
J52 172 orthodox view). Instead, they had to be seen as a rigorous 
J52 173 exposition of ideas that pointed inevitably to their limits and to 
J52 174 the requirement that they be transcended by faith. Over the next 
J52 175 five years, during the intensely creative period of the major 
J52 176 pseudonymous writings, Kierkegaard sought to develop a new form for 
J52 177 the communication of these ideas, and he tried to carry Kant's 
J52 178 beginning to the thoroughly religious or <quote|>"faithful" 
J52 179 conclusions Kant resisted.<p/>
J52 180 <p_>A journal entry for 1836-1837 written at the time Kierkegaard 
J52 181 was beginning his formal study of Kant provides an early hint of 
J52 182 the importance Kierkegaard attached to Kant's philosophy. 
J52 183 Kierkegaard here presents Kant, along with Goethe and Holberg, as 
J52 184 belonging to the <quote_>"royal procession"<quote/> of thinkers 
J52 185 whose work represents a fundamental breakthrough in thought and 
J52 186 who, because of this, are resisted by their contemporaries. These 
J52 187 thinkers, Kierkegaard suggests, play a decisive a<&|>sic! role in 
J52 188 conveying the <quote_>"password which God whispered in Adam's ear, 
J52 189 which one generation is supposed to deliver to the next and which 
J52 190 shall be demanded of them on judgment day."<quote/> Since 
J52 191 Kierkegaard's own sense of personal mission was very much in 
J52 192 formation at this time, it is reasonable to conclude that he 
J52 193 regarded himself as a recipient, in his generation, of the 
J52 194 <quote|>"password" uttered by Kant. Remarkably, in an omission 
J52 195 characteristic of the whole tradition of Kierkegaard scholarship on 
J52 196 this matter, the Hongs fail to include Kierkegaard's mention of 
J52 197 Kant in their otherwise meticulous translation of this entry.<p/>
J52 198 <p_><tf|>Either/Or offers a further hint that carrying on and 
J52 199 fulfilling Kant's initiative is an accurate depiction of 
J52 200 Kierkegaard's project in the pseudonymous works. In Chapter 3 we 
J52 201 saw that the ethical stage of life sketched there by Judge William 
J52 202 is broadly Kantian in nature. Kierkegaard himself shows his 
J52 203 sympathy for this position when he states that in every way the 
J52 204 ethics which Judge William champions <quote_>"is quite the opposite 
J52 205 of the Hegelian."<quote/> Yet <tf|>Either/Or also seeks to point to 
J52 206 the possibility of a religious stage of existence where the ethical 
J52 207 is dialectally transcended and fulfilled. This stage is suggested 
J52 208 in the position presented by the unnamed country pastor whose view 
J52 209 is developed in the <quote|>"Ultimatum" of the book, a view that 
J52 210 moves toward faith via a recognition of the unavoidability of sin. 
J52 211 The ethical must be transcended (but not eliminated), the pastor 
J52 212 tells us, because if ethics alone were to shape our destiny, we 
J52 213 would all succumb to moral despair.<p/>
J52 214 
J53   1 <#FROWN:J53\><h_><p_>Wittgenstein on Understanding<p/>
J53   2 <p_>WARREN GOLDFARB<p/><h/>
J53   3 <p_>Wittgenstein's treatments in the <tf_>Philosophical 
J53   4 Investigations<tf/> of the cognitive or intentional mental notions 
J53   5 are evidently meant to persuade us that, in some sense, 
J53   6 understanding, believing, remembering, thinking, and the like are 
J53   7 not particular or definite states or processes; or (if this is to 
J53   8 say anything different) that there are no particular states or 
J53   9 processes that constitute the understanding, remembering, etc. Such 
J53  10 a dark point desperately needs clarification, if it is not to deny 
J53  11 the undeniable. For surely we may (and Wittgenstein does) speak of 
J53  12 a <tf|>state of understanding, or of thought-<tf|>processes; surely 
J53  13 when one understands - understands a word, a sentence, or the 
J53  14 principle of a series - one is in a particular state, namely, the 
J53  15 state of understanding the word, sentence, or principle. Now 
J53  16 Wittgenstein sometimes puts the point more specifically, speaking 
J53  17 of <quote_>"a state of a mental apparatus"<quote/> (<*_>section<*/> 
J53  18 149), or, with respect to understanding, of <quote_>"a state which 
J53  19 is the <tf|>source of the correct use"<quote/> (<*_>section<*/> 
J53  20 146), as that which he wishes to deny. But clearly these denials, 
J53  21 though they sound somewhat less paradoxical, are equally in need of 
J53  22 elaboration.<p/>
J53  23 <p_>However Wittgenstein's point is clarified, though, there is an 
J53  24 objection that will inevitably be made, an objection claimed to 
J53  25 arise from a scientific viewpoint. The objection asks: isn't 
J53  26 Wittgenstein here usurping the place of empirical inquiry? Is it 
J53  27 not possible that empirical science - neurophysiology, in 
J53  28 particular - will find specific states and processes that will fill 
J53  29 the bill, as far as understanding, believing, remembering, etc. are 
J53  30 concerned? And so, whether or not there are definite states or 
J53  31 processes of understanding is something that we will discover. That 
J53  32 there are such can certainly be entertained as a scientific, 
J53  33 empirical hypothesis, and its consequences discussed. To preclude 
J53  34 such an outcome <tf|>now is just to claim that we shall never 
J53  35 obtain certain sorts of results in future neurophysiology. But then 
J53  36 Wittgenstein is simply making a bet on the future course of science 
J53  37 or else he is engaged in a priori anti-science, denying a priori 
J53  38 that certain projects could bring results, and hence they ought not 
J53  39 even be investigated empirically.<p/>
J53  40 <p_>For brevity I shall call this objection, that Wittgenstein is 
J53  41 simply ruling out something that science could discover, the 
J53  42 'scientific objection.' I mean it to be narrowly based on envisaged 
J53  43 possibilities of results in neuroscience and thus <tf|>not to be 
J53  44 the charge that Wittgenstein fails to leave room for the 
J53  45 discoveries of psychology, or cognitive science, or 
J53  46 psycholinguistics, or some as yet unknown science of the mind. The 
J53  47 latter charge has been made frequently since the publication of the 
J53  48 <tf|>Investigations, but it is not so much an objection to a 
J53  49 specific point of Wittgenstein's as a denial of all of 
J53  50 Wittgenstein's philosophy of mind. Much in the <tf|>Investigations 
J53  51 is devoted to exposing the conceptual confusions that would be 
J53  52 involved in a <quote_>"science of the mind"<quote/>; in any case, 
J53  53 any such science would <tf|>presuppose just the picture of mental 
J53  54 states or processes and the whole notion of a mental apparatus that 
J53  55 Wittgenstein is concerned to undercut. In contrast, the scientific 
J53  56 objection as I am imagining it exploits the unarguable status as 
J53  57 empirical science of neurophysiology and the independence from 
J53  58 psychology of the conceptions of state and process that it employs. 
J53  59 Consequently, the objection requires detailed attention to what 
J53  60 Wittgenstein is saying or denying about intentional notions, and so 
J53  61 can function to elicit clarification of Wittgenstein's dark point 
J53  62 about states or processes.<p/>
J53  63 <p_>The scientific objection is, it seems to me, a most natural 
J53  64 one, and for that reason powerful. And it puts Wittgenstein in a 
J53  65 poor (and stereotypical) light: as a philosopher, making ungrounded 
J53  66 empirical claims or, worse yet, a philosopher trying a priori to 
J53  67 deny the progress of science, like a late Scholastic refusing to 
J53  68 grant the coherence of the Copernican conception or an Idealist 
J53  69 'proving' the impossibility of Einsteinian physics. Indeed, the 
J53  70 charge that Wittgenstein is ruling out certain empirical 
J53  71 possibilities a priori is doubly damaging against a philosopher 
J53  72 whose major concern is to fight against a priorism, to demolish 
J53  73 pictures of how things must be, to expose <quote_>"preconceived 
J53  74 ideas to which reality <tf|>must correspond"<quote/> 
J53  75 (<*_>section<*/> 131).<p/>
J53  76 <p_>A common view of Wittgenstein takes his response to such an 
J53  77 objection to proceed by noting that a physiological state would be 
J53  78 'hidden'; it would not reflect central conceptual features of our 
J53  79 notion of understanding (or believing, thinking, etc.). No such 
J53  80 state would have conceptual links to correct responses and the 
J53  81 other criteria of understanding; but the transparency of those 
J53  82 links is essential to our concept of understanding. In short, the 
J53  83 point is that no physiological state has the 'grammar' of 
J53  84 understanding. Hence, Wittgenstein is taken to urge, understanding 
J53  85 cannot be conceptually constituted by any such state.<p/>
J53  86 <p_>Although there are passages in the <tf|>Investigations that 
J53  87 suggest this response, to my mind it fails to capture 
J53  88 Wittgenstein's thought. The response requires a general and sharp 
J53  89 distinction between conceptual and empirical, between criterion and 
J53  90 result of investigation. Wittgenstein does not have the resources 
J53  91 to make this distinction; in fact, the distinction is of a piece 
J53  92 with the a priorism that he wishes to attack (see <*_>section<*/> 
J53  93 79, last paragraph). That is, the response requires a form of 
J53  94 essentialism which I do not believe Wittgenstein accepts.<p/>
J53  95 <p_>Moreover, the response leaves it open that understanding, 
J53  96 although not 'conceptually' constituted by a neural state, might be 
J53  97 'empirically' constituted by one. This underreads Wittgenstein's 
J53  98 conclusion. Thus the suggested response does too little. Yet it is 
J53  99 not totally off the mark, for Wittgenstein does think that the 
J53 100 identification of any state of understanding would have to bear 
J53 101 some conceptual burden. His conclusion will be that, in some sense, 
J53 102 <quote_>"nothing is hidden."<quote/> But this is meant to result 
J53 103 from detailed considerations of the notion of understanding, not to 
J53 104 be assumed more or less as a premise, as an unargued feature of his 
J53 105 methodology.<p/>
J53 106 <p_>The notion that Wittgenstein dismisses or ignores questions of 
J53 107 'empirical' identity also reinforces the view of him as simply 
J53 108 anti-scientific. Now we do know that Wittgenstein was distrustful 
J53 109 of the claims of science and its role in contemporary culture. He 
J53 110 makes this quite explicit when he expresses his opposition to 
J53 111 <quote_>"the spirit of the age"<quote/> in the Foreword to the 
J53 112 <tf_>Philosophical Remarks<tf/>, and the theme is repeated 
J53 113 elsewhere in his work, both early and late. Some have gone on to 
J53 114 ascribe to him a hostility to or belittling of projects aimed at 
J53 115 scientific explanation, of such proportions as to depict him as 
J53 116 simply dogmatic and blinkered. Bernard Williams, for example, 
J53 117 complains that Wittgenstein's general practice and teaching serve 
J53 118 to <quote_>"stun, rather than assist, further and more systematic 
J53 119 explanation,"<quote/> and offers as illustration a story about 
J53 120 Wittgenstein used by Georg Kreisel in 1960 as evidence for 
J53 121 Wittgenstein's hostility to legitimate scientific explanation. The 
J53 122 story bears repeating. Imagine a child, learning that the earth is 
J53 123 round, asking why then people in Australia don't fall off. I 
J53 124 suppose one natural response would be to start to explain about 
J53 125 gravity. Wittgenstein, instead, would draw a circle with a stick 
J53 126 figure atop it, turn it upside down, and say <quote_>"Now <tf|>we 
J53 127 fall into space."<quote/><p/>
J53 128 <p_>Now I myself do not find the story emblematic of an attitude 
J53 129 against science, or of a desire to 'stun' further explanation. In 
J53 130 fact, I think it shows Wittgenstein being highly insightful. For he 
J53 131 is examining the source of the child's question, in the concepts 
J53 132 with which the child is operating. Given those concepts, an appeal 
J53 133 to gravity can do nothing but mislead: the child will take it that 
J53 134 the antipodal people are upside down, but they have gravity shoes, 
J53 135 or glue, or something similar, that keeps them attached to the 
J53 136 surface of the earth; as for us, we are right side up, so the 
J53 137 problem does not arise. What Wittgenstein's trick does is precisely 
J53 138 to expose the conceptual confusion in the way the child is thinking 
J53 139 of up and down (cf. <*_>section<*/> 351). Once the child sees the 
J53 140 relativity in the notions of up and down, she may then go on to 
J53 141 ask, <quote_>"Well, why don't all these objects - us, the 
J53 142 Australians, and the earth - go careening around 
J53 143 independently?"<quote/> or perhaps, <quote_>"Then why do objects 
J53 144 fall down rather than up?"<quote/> At that point, explaining 
J53 145 gravity might well be in order; the child is now prepared to 
J53 146 appreciate it correctly.<p/>
J53 147 <p_>The lesson, of course, is general. It is central to 
J53 148 Wittgenstein's teaching that the conceptual underpinnings to a felt 
J53 149 need for explanation must be scrutinized, for what it is, exactly, 
J53 150 that wants explanation may only become clear through such an 
J53 151 investigation. This does not make him anti-scientific. It does make 
J53 152 him anti-scientistic, against the smug and unexamined assurance 
J53 153 that what wants explanation is obvious, and that scientific tools 
J53 154 are immediately applicable.<p/>
J53 155 <p_>For Wittgenstein, it is characteristic of the notions that 
J53 156 figure in philosophical problems - prominently, mental concepts and 
J53 157 linguistic concepts like meaning - that a structure is imposed on 
J53 158 them, without grounding in the ordinary use of these notions and 
J53 159 without being noticed, when they are taken to be amenable to 
J53 160 certain explanatory projects. (Much work in the 
J53 161 <tf|>Investigations, on my view, is precisely devoted to getting us 
J53 162 to notice, to see that there is a place at the start of 
J53 163 philosophizing, where this imposition happens.) Hence, only through 
J53 164 clarification of what the legitimate questions are can proper sense 
J53 165 be made of the applicability of science. A scientistic viewpoint 
J53 166 ignores this need for clarification. As a result, for Wittgenstein 
J53 167 scientism is just as misguidedly metaphysical as traditional, more 
J53 168 transparently a prioristic, approaches.<p/>
J53 169 <p_>I am depicting Wittgenstein as thinking that conceptual work 
J53 170 must be done before the question of the applicability of science 
J53 171 should be raised. Now it is also true that whatever empirical, 
J53 172 scientific results may legitimately be foreseen or hypothesized 
J53 173 after that work is done are of little interest to Wittgenstein. He 
J53 174 seems to believe that what is really at issue in a philosophical 
J53 175 question will be answered, or dissolved, by the conceptual work, 
J53 176 and not touched by science. That is, science is simply not of use 
J53 177 in dealing with the sorts of problems with which he is concerned. 
J53 178 But this broad characterization can be misleading. Wittgenstein is 
J53 179 not being dismissive; he is not urging a distinction between 
J53 180 questions of the mind vs. questions of the heart. Nor is he saying 
J53 181 that in doing science we are talking about different things; he 
J53 182 would have had little patience with Eddington's 'two tables' and 
J53 183 with Goodman's different worlds (although the latter claim may be 
J53 184 thought controversial). Moreover, as I mentioned above, I do not 
J53 185 believe that he wishes to rely on a sharp distinction between 
J53 186 conceptual and empirical, that is, a Fregean divide between logic 
J53 187 and analysis on the one hand and 'mere' psychology and physics on 
J53 188 the other. Rather, Wittgenstein operates case-by-case. For each 
J53 189 philosophical question we treat, we are to tease out what we are 
J53 190 aiming for, or what we think we are aiming for, and then to come to 
J53 191 see how our objectives will not be served by a scientific 
J53 192 investigation; and we are to recognize how the inclination to look 
J53 193 for science for answers elides or ignores so much as to suggest 
J53 194 that a philosophical picture is at work.<p/>
J53 195 <p_>This point is made in <*_>section<*/> 158, the one explicit 
J53 196 appearance in the <tf|>Investigations of something like the 
J53 197 scientific objection. Here he suggests that, although the objection 
J53 198 says that the scientific investigation may come out either way, 
J53 199 that it is only a scientific hypothesis or conjecture that 
J53 200 such-and-such a process or state will be found, at bottom the 
J53 201 objector is being moved by an a priori demand that things <tf|>must 
J53 202 turn out a certain way. The claim of a modest empiricism is mere 
J53 203 lip service.<p/>
J53 204 <p_>With respect to understanding, the point might be phrased thus. 
J53 205 Wittgenstein asks us to look in detail at the range of our 
J53 206 practices relevant to an ascription of understanding. We find an 
J53 207 enormous variety of considerations that can enter, a dependence on 
J53 208 context that is impossible to describe accurately by any general 
J53 209 rules, a lack of uniformity in mental accompaniments.
J53 210 
J54   1 <#FROWN:J54\><p_>While it is not likely that Greek agriculture 
J54   2 often produced more than limited dividends, those who were masters 
J54   3 of the rural landscape gained an even greater advantage - they also 
J54   4 controlled almost all the population of a <tf|>polis either 
J54   5 directly or indirectly. Accordingly, aristocrats tended to hold on 
J54   6 to their land. It has often been argued that an ancestral plot 
J54   7 (<foreign|>kleros) could not be alienated outside the family before 
J54   8 the fifth century, but a variety of evidence proves otherwise. 
J54   9 Hesiod's father migrated from Asia Minor to Boeotia, where he 
J54  10 acquired a farm; the poet himself advised his auditors to honor the 
J54  11 gods <quote_>so you may buy another's holding (<foreign|>kleros) 
J54  12 and not another yours<quote/>. Aristotle's assertion that 
J54  13 <quote_>"to part with family estate was one of the things that were 
J54  14 'not done,'"<quote/>, does not prove the inference that it could 
J54  15 not be done. Normally, nonetheless, formal sale or transfer of land 
J54  16 rights was unlikely in so rurally based a world; political 
J54  17 citizenship and economic security rested on an independent 
J54  18 connection to land.<p/>
J54  19 <p_>Various areas saw their smaller farmers of earlier times 
J54  20 reduced to the level of bondsmen or serfs, though true agricultural 
J54  21 slavery was uncommon in the Greek world. Usually rural domains were 
J54  22 not large in view of the fragmented geographical nature of Greek 
J54  23 landscapes; the largest known at Athens, as noted earlier, ran only 
J54  24 about 50 hectares, though <quote_>"in fifth- and fourth-century 
J54  25 Athens there were landowners possessing from three to six estates 
J54  26 in different <}_><-|>part<+|>parts<}/> of Attica."<quote/> Those 
J54  27 who could be expected to serve as hoplites probably were masters of 
J54  28 at least 12 hectares; free farmers after the Solonian reforms would 
J54  29 scarcely have been able to cope with more than 4 hectares unless 
J54  30 they drew in outside labor at critical points in the agricultural 
J54  31 cycle.<p/>
J54  32 <p_>How were the larger holdings managed? In modern times nobles 
J54  33 relied on stewards, factors, and the like to bear day-to-day 
J54  34 responsibilities; this was probably the case also in ancient 
J54  35 Greece, though our evidence is very limited. Cimon's liberality to 
J54  36 his fellow demesmen was famous, but he was absent from Athens so 
J54  37 often on military operations that he must have had a resident aide. 
J54  38 For Pericles we do have the comment in Plutarch's life that he 
J54  39 arranged his paternal estate so <quote_>"that it might neither 
J54  40 through negligence be wasted or lessened, nor yet, being so full of 
J54  41 [public] business as he was, cost him any great trouble or time 
J54  42 with taking care of it."<quote/> Thus he sold <quote_>"all his 
J54  43 yearly products and profits"<quote/> in a lump and bought in the 
J54  44 market for his household needs - obol<?_>-<?/>pinching and keeping 
J54  45 precise records to the discontent of his family. <quote_>"His 
J54  46 manager in all this was a single servant, Evangelos by 
J54  47 name."<quote/> To secure fuller information on the careful 
J54  48 management of agricultural resources for economic gain we must come 
J54  49 down to Hellenistic Egypt where the financial director for Ptolemy 
J54  50 II had an extremely astute manager, Zenon, many of whose detailed 
J54  51 records have survived on papyri.<p/>
J54  52 <p_>The picture usually drawn of upper-class concentration on 
J54  53 landed possessions may as a whole stand, but before we accept it as 
J54  54 representing the exclusive interest of the well-to-do further 
J54  55 reflection is necessary on the nonagricultural aspects of the 
J54  56 economy. For example, Demosthenes, on reaching his majority, 
J54  57 brought suit against his guardians for the recovery of his 
J54  58 inheritance. The estate he itemized to the jury under two headings 
J54  59 is rather surprising: <quote_>"(1) the active (<foreign|>energa), 
J54  60 which included 32 or 33 slave swordmakers, bringing in 3000 
J54  61 drachmas a year; another 20 slaves engaged in the manufacture of 
J54  62 furniture, 1200 drachmas annually; and 8000 drachmas on loan at 
J54  63 12%; (2) the inactive: raw materials on hand at his father's death 
J54  64 nine years before, worth 15,000 drachmas, the house worth 3000, the 
J54  65 furniture and his mother's jewelry, 8000 in cash in a strong-box at 
J54  66 home, a maritime loan of 7000 drachmas, and 4700 on deposit in two 
J54  67 banks and with a relation."<quote/> Land proper does not appear at 
J54  68 all; Demosthenes was rather, in Bolkestein's summary, 
J54  69 <quote_>"accustomed to make [his fortune] bear interest in many 
J54  70 ways"<quote/> as a capital-investor, living on the interest of his 
J54  71 money.<p/>
J54  72 <p_>Demosthenes' family was not, indeed, of aristocratic stock, so 
J54  73 it may have been willing to extend the employment of its capital 
J54  74 more widely in the thriving Athenian industry and trade of the 
J54  75 fifth and fourth centuries. How far did the aristocrats do the 
J54  76 same, or alternatively shun this area?<p/>
J54  77 <p_>Industry may be dismissed briefly. Men of standing were not 
J54  78 likely to sully their fingers or break their backs in the physical 
J54  79 toil of stonemasons, smiths, potters, and other trades. Even so 
J54  80 they did have an important, twofold role: they were the consumers 
J54  81 who bought the wares of craftsmen, and they provided to a large 
J54  82 degree the capital necessary for the purchase of the slaves who 
J54  83 furnished a valuable share of the labor. The swordmakers and 
J54  84 furniture fabricators of Demosthenes have already been noted; even 
J54  85 more remarkable was the fact that Nicias, of aristocratic stock, 
J54  86 owned a thousand slaves, whom he leased out to the entrepreneurs 
J54  87 running the state silver mines of Laurium.<p/>
J54  88 <p_>Commerce was another matter. Retail trade, such as that in 
J54  89 ribbons, could be left to vendors, many of them women, but 
J54  90 large-scale activity especially by sea required wider attention. 
J54  91 One principal mark of the Aegean world in and after the eighth 
J54  92 century was overseas voyaging, an this was without doubt initially 
J54  93 in the hands of aristocrats.<p/>
J54  94 <p_>Sappho's brother Charaxus, for example, carried wine to Egypt 
J54  95 and there fell in love with a courtesan, to Sappho's disgust; Solo 
J54  96 also engaged in foreign commerce in order to recoup his father's 
J54  97 prodigality. Coleus of Samos, blown off course to Egypt as far as 
J54  98 Tartessus whence he gained so much that he had to replace his stone 
J54  99 anchors by silver ingots, and the later Sostratus of Aegina, who 
J54 100 dedicated a statue in the Greek shrine of Etruscan Pyrgi, very 
J54 101 probably were both men of the leading classes inasmuch as they 
J54 102 entered Herodotus' pages.<p/>
J54 103 <p_>It was, after all, aristocrats who had surplus resources that 
J54 104 could be ventured abroad and also were leaders, able to face 
J54 105 possible hostile resistances on foreign shores. Contrary to the 
J54 106 views of many modern scholars, moreover, both they and the potters 
J54 107 described in Hesiod's <tf_>Works and Days<tf/> sought earnestly 
J54 108 after wealth. Already in the epics Odysseus was taunted as not 
J54 109 looking like an athlete, that is, a man of leisure, but 
J54 110 <quote_>"one, who faring to and fro with his benched ship, is a 
J54 111 captain of sailors who are merchantmen, one who is mindful of his 
J54 112 freight, and has charge of a home-borne cargo, and the gains of his 
J54 113 greed."<quote/> Solon categorized the diverse ways of gaining 
J54 114 wealth and concluded that those who are richest <quote_>"have twice 
J54 115 the eagerness that others have"<quote/>; his contemporary Alcaeus 
J54 116 quoted Aristodemus - a Spartan no less - as saying that 
J54 117 <quote_>"wealth makes the man."<quote/> At first aristocratic 
J54 118 seafaring might not have been much distinguished from piracy and 
J54 119 coastal raids, but eventually it settled into more ordered 
J54 120 communications.<p/>
J54 121 <p_>Aristocrats were also the men most interested in the wares that 
J54 122 could be acquired in the advance workshops of the Near East - 
J54 123 ivory, glass, faience, perfumes, ointments, and spices (many of 
J54 124 which had names of Semitic root) - for such luxuries were the 
J54 125 backbone of the earliest overseas trade. Greek lands, even 
J54 126 including Athens down to the time of Solon, fed themselves, though 
J54 127 they did have need for foreign slaves, metals, wool, stone, and 
J54 128 other bulk items. Hesiod drank wine of Biblis while relaxing in the 
J54 129 heat of summer, and to a remarkable degree men and also women of 
J54 130 the upper classes desired wools dyed in Tyrian purple and fine 
J54 131 linen. Since textiles do not survive well in archeological contexts 
J54 132 this item is often overlooked, but even in modern times the textile 
J54 133 trade has been very significant; in the English colonies of North 
J54 134 America in the eighteenth century the main import consisted of 
J54 135 English, Irish, and German cloth and textiles.<p/>
J54 136 <p_>By the later sixth century aristocrats had become more 
J54 137 conscious of the duties and limitations of their position and 
J54 138 largely yielded long-distance trade to professional shippers, but 
J54 139 as they withdrew into the background their interest in this realm 
J54 140 did not disappear. The men who scurried about the Aegean and 
J54 141 farther afield had to have capital to outfit their ships and 
J54 142 finance cargoes. To an extent what we cannot measure they may have 
J54 143 done so out of their own resources, but at least occasionally they 
J54 144 had to secure a bottomry loan at rates up to 33.33% - Demosthenes' 
J54 145 estate, it may be remembered, included such a loan, and in one of 
J54 146 his orations a money-lender/banker asserted that without the 
J54 147 support of men of his type <quote_>"no ship, shipper, or sailor can 
J54 148 put to sea."<quote/> And who provided the money of the banker? 
J54 149 Undoubtedly the well-to-do of Athens; in imperial Rome as in early 
J54 150 modern times the rich supplied funds by the back door to 
J54 151 large-scale traders. Nor did aristocrats totally surrender the 
J54 152 field; Andocides, who traced his ancestry back to Hermes via 
J54 153 Odysseus and Telemachus, actually engaged in maritime commerce 
J54 154 throughout the winter in the late fifth century and after his 
J54 155 return from exile <quote_>"continued to think and act like the 
J54 156 businessman he had turned himself into"<quote/>. It is unsafe to 
J54 157 assume that the word <foreign|>kerdos (profit) totally disappeared 
J54 158 from aristocratic lips even after the developed ethos of the class 
J54 159 frowned on undue interest in economic activities. Aristotle in his 
J54 160 <tf_>Nicomachean Ethics<tf/> judiciously stresses the need for a 
J54 161 competence but not a search for gain per se.<p/>
J54 162 <p_>Through control of the land and the revenues from investments 
J54 163 the well-to-do economically commanded the Greek communities, 
J54 164 sometimes almost completely, though at Athens only in major degree, 
J54 165 and used every available opportunity to enjoy an elegant, luxurious 
J54 166 life. Modern hostility toward elites swiftly rises into view at 
J54 167 this point in the common assertion that aristocrats in all ages 
J54 168 spend money rather than improving the economic machinery of their 
J54 169 world in a bourgeois fashion. Thus early modern aristocracies were 
J54 170 reproved as being engaged in <quote_>"the unjust, unhealthy, 
J54 171 brilliant and anti-economic utilisation of any surplus produced in 
J54 172 a given society:"<quote/> An interesting study of men who 
J54 173 participated especially in the Thirty Years' War of the seventeenth 
J54 174 century after Christ suggests that their wealth was committed to 
J54 175 building mansions and to acquiring adornments such as gold 
J54 176 necklaces. Only one noted scholar, to my knowledge, finds merit in 
J54 177 this type of expenditure. Writing about early modern English 
J54 178 aristocrats, G.M. Trevelyan raises the question as to how else the 
J54 179 English nobles could have expended their money save by building 
J54 180 magnificent houses in a period when stocks, bonds and general loans 
J54 181 were unknown and land was not easily bought - but then Trevelyan is 
J54 182 nowadays generally dismissed as an elitist.<p/>
J54 183 <p_>If a phenomenon recurs frequently in different historical 
J54 184 societies, then there must be significant reasons for its presence; 
J54 185 and an understanding of those reasons will be more useful than the 
J54 186 common expression of indignation or reproof. Braudel, just quoted, 
J54 187 also observes that luxury <quote_>"scarcely changes at all"<quote/> 
J54 188 as a concept accepted both by privileged and unprivileged classes 
J54 189 and, as he notes, both Mauss and Sombart emphasized the role of 
J54 190 luxury in promoting demands on artists and others in early modern 
J54 191 Europe. So too the aristocrats of ancient Greece stimulated the 
J54 192 amazing outburst of Hellenic civilization by their patronage of the 
J54 193 arts and crafts, as we shall see in the next chapter.<p/>
J54 194 <p_>Some modern aristocracies unfortunately have been largely 
J54 195 parasitical and have been overthrown in violent revolutions. In 
J54 196 Greece the political, social, an economic position of the upper 
J54 197 classes was too deeply anchored ever to be seriously threatened; 
J54 198 even the Athenian democracy commonly entrusted its leadership to 
J54 199 men sprung from aristocratic families of high standing. The upper 
J54 200 classes of Athens, however, paid a heavy price both personally and 
J54 201 economically. If they were wealthy enough to afford hoplite armor 
J54 202 or horses, they had to be prepared to face the dangers inherent in 
J54 203 the almost unceasing wars of the fifth and fourth centuries; an 
J54 204 inscription of 460 or 459 lists no less than 177 men of one 
J54 205 Athenian tribe who died in one year in Cyprus, Egypt, and 
J54 206 elsewhere, including two generals (an Athenian tribe might have had 
J54 207 in the order of 4000 adult male citizens, but the number who in 
J54 208 practice might be drafted is much reduced if one takes into account 
J54 209 the men of age and those mentally and physically incompetent).
J54 210 
J55   1 <#FROWN:J55\><p_>More recent events reinforced French insistence 
J55   2 that 'the Boche will pay.' Rehabilitating France's ten northeastern 
J55   3 <tf|>d<*_>e-acute<*/>partments, which had served as one of the main 
J55   4 theaters of the war, required an expensive infusion of capital. 
J55   5 France had incurred substantial war debts to her Allies, whereas 
J55   6 Britain's debt to the United States was offset in part by France's 
J55   7 debt to Britain. American refusal to provide concessional 
J55   8 reconstruction loans or to forgive these debts did much to harden 
J55   9 the French position, rendering it inevitable that German 
J55  10 reparations and Allied war debts would be bound up together.<p/>
J55  11 <p_>A reparations bill as large as $200 billion was contemplated at 
J55  12 Versailles. Ultimately, the assembled delegates were only able to 
J55  13 establish a deadline for the conclusion of discussions: May 1921. 
J55  14 Negotiations seemed to stretch on interminably. The Reparation 
J55  15 Commission charged with settling the matter could agree only on a 
J55  16 principle: that while France and her allies were authorized to 
J55  17 press their claims for full damages, actual transfers would be 
J55  18 linked to Germany's capacity to pay as gauged by the rate of growth 
J55  19 of her exports and her success in obtaining foreign loans.<p/>
J55  20 <p_>By linking reparations payments to the condition of the German 
J55  21 economy, the Allies diminished the incentive for German 
J55  22 policymakers to put their domestic house in order. Hyperinflation 
J55  23 was only the most dramatic illustration. Politicians were not 
J55  24 encouraged to implement painful programs designed to promote growth 
J55  25 by the knowledge that the fruits of their labor would be transfered 
J55  26 abroad. The form of the reparations bill hardened German 
J55  27 resistance. Including pensions, as insisted on by Britain and the 
J55  28 Commonwealth to inflate their share of the total, cast doubt on the 
J55  29 French justification for reparations based on the cost of 
J55  30 reconstructing devastated regions and reinforced the German belief 
J55  31 that the dominant Allied motives were avarice and spite.<p/>
J55  32 <p_>An unstable German economy had far-reaching economic and 
J55  33 political ramifications. Anything that depressed trade in Germany 
J55  34 depressed trade throughout Central Europe. Economic instability in 
J55  35 Central Europe intensified fears of a Bolshevik threat from the 
J55  36 east, reviving familiar Anglo-French conflicts over spheres of 
J55  37 influence in Eastern Europe and undermining the spirit of 
J55  38 cooperation developed during the war. Prospects for compromise 
J55  39 among the Allies grew increasingly remote.<p/>
J55  40 <p_>In the interim, Germany was instructed to begin transfers in 
J55  41 kind, mainly coal but also stocks of Reichsbank gold, war 
J55  42 mat<*_>e-acute<*/>riel, public property in ceded territories and 
J55  43 colonies, railway rolling stock, and ships. The coal was essential 
J55  44 to a French steel industry handicapped by the destruction of French 
J55  45 mines by retreating German armies. These 'interim payments,' 
J55  46 justified as a way of defraying occupation costs, were formally 
J55  47 distinct from other transfers, although they eventually came to be 
J55  48 regarded as the first installment of reparations. Transfers 
J55  49 completed prior to May 1921 amounted to 8 billion gold marks (marks 
J55  50 of prewar value). This amounted to some 20 percent of German 
J55  51 national income in 1921, although it represented only 40 percent of 
J55  52 the interim payment specified at Versailles.<p/>
J55  53 <p_>It seemed noteworthy that these sizeable interim transfers did 
J55  54 not destabilize the German price level or the government budget. 
J55  55 They were effected despite continued uncertainty about the size of 
J55  56 the reparations bill and despite capital flight from territories 
J55  57 scheduled for cession. Since a large part of the interim transfer 
J55  58 took the form of public property such as railway rolling stock 
J55  59 rather than private-sector production that the government had to 
J55  60 pay for by borrowing or taxing, it was relatively easy to mobilize. 
J55  61 But insofar as it would be necessary eventually to replace that 
J55  62 public property, Germany was mortgaging her future, a fact that 
J55  63 could not have reassured outside observers. The presence of Allied 
J55  64 troops along the Rhine and the Baltic and the return of domestic 
J55  65 political stability following the Kapp Putsch of 1920 have also 
J55  66 been invoked to explain the ease of transfer. But troops were no 
J55  67 guarantee of compliance, as the Allies would learn in 1923. Only 
J55  68 with benefit of hindsight could the failure of the Kapp Putsch be 
J55  69 seen as strengthening moderate tendencies within the military. At 
J55  70 the time, each of these developments, rather than reassuring 
J55  71 domestic and foreign observers, heightened concern over both 
J55  72 economic stability and Germany's fragile political equilibrium.<p/>
J55  73 <p_>More than the presence of occupation forces or the political 
J55  74 climate, the key factor in the interim transfer was Germany's hope 
J55  75 that a demonstration of good will would elicit Allied concessions 
J55  76 and permit the early extinction of reparations. The Allies had not 
J55  77 yet irrevocably committed to their excessive demands. By evincing a 
J55  78 willingness to pay on the scale of France's reparations after 1871, 
J55  79 Germany might encourage the victors to adopt a more conciliatory 
J55  80 stance.<p/>
J55  81 <p_>The fiscal implications of the transfer were accommodated by 
J55  82 tax reforms guided through the Reichstag by the finance minister, 
J55  83 Matthias Erzberger, over the strident opposition of a right wing 
J55  84 led by Helfferich. Erzberger's tax package featured an emergency 
J55  85 levy and transferred the income tax from the states to the Reich in 
J55  86 return for a commitment by the central government to redistribute 
J55  87 some of the revenues back to local authorities. The tax increase 
J55  88 was essential for maintaining fiscal balance in the face of the 
J55  89 interim transfer. German politicians and their constituencies 
J55  90 tolerated higher taxes because they anticipated that the revenue 
J55  91 would be transferred abroad for only a limited period of time. 
J55  92 Rather than provoking capital flight and other forms of evasion, 
J55  93 the tax increase was followed by short-term capital inflows in 
J55  94 anticipation of possible stabilization of the mark. Since the 
J55  95 interim transfer provoked neither capital flight nor currency 
J55  96 depreciation, the revenue base of the new income tax was not eroded 
J55  97 by inflation.<p/>
J55  98 <p_>Following a series of preparatory conferences, the Allies 
J55  99 assembled in London in 1921 to set Germany's payment schedule. The 
J55 100 U.S. Congress had already indicated its unwillingness to ratify the 
J55 101 Versailles Treaty. The American representative to the Reparation 
J55 102 Commission was reduced to observer status, limiting his ability to 
J55 103 support the British delegation in its opposition to the more 
J55 104 extreme demands of France and Italy. Congress's refusal to ratify 
J55 105 signalled the resurgence of isolationist tendencies within the 
J55 106 United States, which bode ill for those who hoped for war debt 
J55 107 cancellation. Given American inflexibility regarding war debts, the 
J55 108 prospects for French, Italian, and British compromise on 
J55 109 reparations appeared increasingly bleak.<p/>
J55 110 <p_>The negotiators at London delivered a reparations bill of 123 
J55 111 billion gold marks, or 31 billion U.S. dollars. This staggering sum 
J55 112 was a concession relative to the Reparation Commission's initial 
J55 113 recommendation of 225 billion gold marks. Denominating the debt in 
J55 114 gold insured that inflation and exchange rate depreciation could 
J55 115 not be used to erode its value. Germany was to begin service 
J55 116 immediately on 50 billion of the 132 billion total, on which 5 
J55 117 percent interest and 1 percent amortization amounted to 3 billion 
J55 118 gold marks (roughly 7 1/2 percent of national income). In addition, 
J55 119 she was charged 1 billion marks annually for occupation costs and 
J55 120 in settlement of prewar debts (bringing the total to perhaps 10 
J55 121 percent of national income). Payment of the second tranche of 82 
J55 122 billion gold marks was deferred pending an adequate increase in 
J55 123 Germany's capacity to pay. These contingencies heightened the 
J55 124 uncertainty surrounding the date at which the reparations burden 
J55 125 would finally be extinguished. All that was certain was that 
J55 126 Germany would be obligated to make substantial transfers over a 
J55 127 period of decades.<p/>
J55 128 <p_>No issue in twentieth-century economic and political history 
J55 129 has been more hotly contested than the realism of this bill. 
J55 130 Contemporaries gauged the burden by comparing it to the reparations 
J55 131 paid Germany by France following the Franco-Prussian war. France 
J55 132 had paid a total of 5 billion francs, roughly one-quarter of French 
J55 133 national income in 1872. In comparison, Germany's immediate burden 
J55 134 of 50 billion gold marks represented 125 percent of national income 
J55 135 in 1921. Including the deferred payments (known as C Bonds) raised 
J55 136 the ratio to the 330 percent. At 10 percent of national income, the 
J55 137 first year's payments under the London Schedule were very large by 
J55 138 prewar standards.<p/>
J55 139 <p_>Defenders of the London Schedule observed that Britain had 
J55 140 transferred abroad fully 8 percent of national income through 
J55 141 foreign lending in 1911-13. This proved, they argued, that the 
J55 142 balance-of-payments adjustment mechanism was capable of absorbing a 
J55 143 transfer on the requisite scale. But at least some British 
J55 144 investment abroad had returned to London as foreign deposits and 
J55 145 some in the form of export demands. Together these mechanisms 
J55 146 minimized the impact on British industry and on the balance of 
J55 147 payments. It was unlikely that either mechanism would operate as 
J55 148 powerfully to recycle German reparations.<p/>
J55 149 <p_>The politics of the two transfers were even less comparable. 
J55 150 Britain had not sacrificed domestic wealth in the amount of the 
J55 151 transfer. The British had invested abroad voluntarily with the 
J55 152 option of devoting those resources to future consumption. No 
J55 153 necessary impact on British living standards resulted. The problem 
J55 154 for Germany was how to mobilize for transfer 10 percent of national 
J55 155 income and to reduce both present and future consumption without 
J55 156 provoking domestic political unrest.<p/>
J55 157 <p_>Transforming 10 percent of national income into foreign 
J55 158 currency required an external surplus equivalent to 80 percent of 
J55 159 1921-22 exports. One can imagine that strict controls modelled on 
J55 160 wartime practice might have succeeded in reducing German imports by 
J55 161 80 percent. But radically curtailing imports was inconsistent with 
J55 162 the maintenance of exports given the economy's reliance on inputs 
J55 163 from abroad such as copper, cotton, and wool, a dependence that had 
J55 164 been heightened by war<?_>-<?/>time losses of territory and 
J55 165 stockpiles. Expanding exports by 80 percent required a further 
J55 166 increase in imported inputs, multiplying the gross increase in 
J55 167 exports necessary to effect the transfer. And even these 
J55 168 calculations left aside the implications of massive import 
J55 169 compression for domestic living standards.<p/>
J55 170 <p_>Even had Germany somehow been able to provide this astonishing 
J55 171 increase in exports, the Allies would have been unwilling to accept 
J55 172 it. The problem was not that the incremental exports were so large 
J55 173 relative to the British, French, and U.S. economies. The projected 
J55 174 transfer amounted, on an annual basis, to perhaps 1 
J55 175 per<?_>-<?/>cent of their combined national incomes. But German 
J55 176 exports would be heavily concentrated in the products of industries 
J55 177 already characterized by intense international competition, notably 
J55 178 iron, steel, textiles, and coal. The same difficulties would be 
J55 179 posed for Allied industries if Germany instead flooded markets with 
J55 180 exports. Representatives of these industries were unlikely to 
J55 181 accede graciously to a sudden expansion of German exports. Even 
J55 182 while complaining that Germany's effort to meet its reparations 
J55 183 obligation was inadequate, the Allies raised their import barriers. 
J55 184 Keynes, in <tf_>The Economic Consequences of the Peace<tf/>, 
J55 185 insisted that proponents of reparations specify <quote_>"in what 
J55 186 specific commodities they intend this payment to be made, and in 
J55 187 what markets the goods are to be sold."<quote/> Thomas Lamont of 
J55 188 the U.S. delegation to Versailles brought this same point to the 
J55 189 attention of the negotiators. The American economist Frank Taussig 
J55 190 echoed the warning.<p/>
J55 191 <p_>That 1920-21 was a period of recession aggravated both 
J55 192 problems: those of Germany's ability to export and the Allies' 
J55 193 willingness to import. The Allies would have been happy to accept 
J55 194 additional in-kind transfers had they taken the form of raw 
J55 195 materials (British reservations about coal notwithstanding). But 
J55 196 the German economy could provide these only to a limited extent. 
J55 197 Transfers of raw materials disrupted Germany's capacity to export 
J55 198 manufactures. Proposals to import German labor for the work of 
J55 199 reconstruction were rejected as immoral and politically unpalatable 
J55 200 in light of unemployment among demobilized Frenchmen, Belgians, and 
J55 201 Italians.<p/>
J55 202 <p_>Hence the theoretical question of what change in prices would 
J55 203 be needed to clear international markets in the presence of 
J55 204 reparations (known as the 'transfer problem') was ultimately beside 
J55 205 the point. Keynes's conclusion was that to generate a trade surplus 
J55 206 on the order of 80 percent of initial exports, a very considerable 
J55 207 decline in the relative price of German goods would be needed to 
J55 208 switch foreign demands toward German exports and German demands 
J55 209 away from imports. He raised the possibility that, if demands were 
J55 210 sufficiently inelastic, a decline in German export prices might 
J55 211 reduce the value of German exports at the same time it raised their 
J55 212 volume, rendering the transfer impossible at any price.
J55 213 
J56   1 <#FROWN:J56\><p_>Such an assessment accurately condensed the 
J56   2 realities of Eire's military situation - as well as its political 
J56   3 position at the start of the war. Others, however, noted that 
J56   4 buoyant morale in the Irish services outweighed mere physical 
J56   5 constraints, that it was guerrilla tactics that carried the day in 
J56   6 the War of Independence.<p/>
J56   7 <p_>After hostilities broke out, the total strength of Ireland's 
J56   8 army would reach only a little over half of the authorized levels. 
J56   9 Nineteen thousand men - or two divisions - would be in uniform 
J56  10 within days of the Emergency's beginning; this compared to the 136 
J56  11 divisions the Germans fielded in the Battle of France. Nearly every 
J56  12 Irish unit was understrength. Of the eight authorized rifle 
J56  13 battalions, none was yet organized. The cyclist squadrons - known 
J56  14 as the 'Piddling Panzers' - would have posed precious little threat 
J56  15 to real panzers. The army had at its disposal two 'serviceable' 
J56  16 tanks and 21 armored vehicles, most of the latter of which were 
J56  17 already in 1939 antiques - 1920, and earlier, Rolls-Royces. The air 
J56  18 force, a branch of the army, was equally toothless, with only 24 
J56  19 craft, of which 10 might be called modern. There was no navy other 
J56  20 than a small coast guard unit. Prior to May 1940, no strike force 
J56  21 capable of resisting any invader existed. Few commands had 
J56  22 reserves. Armaments, ammunition, and vehicles were extremely 
J56  23 scarce.<p/>
J56  24 <p_>But so quickly did the land war turn into Phony War that the 
J56  25 army's General Headquarters announced on September 21 that 
J56  26 <quote_>"the present Emergency does not constitute a war situation 
J56  27 and it would not be justified in maintaining its Establishment and 
J56  28 that the strength should be reduced."<quote/> By Christmas, most of 
J56  29 the army personnel who could manage the journey had gone home for 
J56  30 the holiday. Only an IRA raid on the central army munitions 
J56  31 magazine in Dublin's Phoenix Park, in which the raiders escaped 
J56  32 with large quantities of arms and ammunition, caused headquarters 
J56  33 to order troops back to their duty stations.<p/>
J56  34 <p_>During these early months of the war, Irish soldiers weren't 
J56  35 even sure of receiving a uniform. That was perhaps as well. With 
J56  36 some irony, and undisguised distaste on the other side of the Irish 
J56  37 Sea, the soldier of the Twenty-six Counties looked uncannily like 
J56  38 his counterpart in the Wehrmacht - most notably so in the same 
J56  39 'iron scuttle' steel helmet both forces wore. It was likely this 
J56  40 unfortunate symbolism rather than the uniform's scratchy 
J56  41 uncomfortableness that caused the Army Department to scrap it in 
J56  42 1940. In its place came a new uniform little distinguishable from 
J56  43 the British pattern, soup-plate helmet and all (the latter being 
J56  44 the same style helmet worn by American GIs until replaced in 1942 
J56  45 with the familiar rounded, nearly brimless model).<p/>
J56  46 <p_>Not only were the soldiers dressed poorly; they were housed 
J56  47 poorly as well. Most of the barracks remained as leftovers from the 
J56  48 British regime, with little new military shelter built since. Many 
J56  49 derelict country houses had been fixed up to provide minimal 
J56  50 standards, and farmboys turned soldiers suddenly found themselves 
J56  51 living in once grand but now sadly dilapidated mansions.<p/>
J56  52 <p_>Privates earned 14 shillings a week - about one dollar in 
J56  53 contemporary terms, but then with strikingly greater purchasing 
J56  54 power, of course. The income wasn't entirely discretionary, though. 
J56  55 A forced haircut deduction of two pence was taken out of each pay 
J56  56 packet, as was six pence for laundry and another tuppence for 
J56  57 'social welfare.' In theory the Irish soldier was fed better than 
J56  58 his civilian compatriots - supposedly a daily three-quarters of a 
J56  59 pound of 'best home-fed beef,' a quarter pound of fresh vegetables, 
J56  60 a 'liberal' quantity of butter, cheese, jam, eggs, sausages, bacon, 
J56  61 etc. In fact, his diet consisted of the usual monotonous regime of 
J56  62 many armies: oatmeal, brown stew, jam rolls, bread and butter, and 
J56  63 tea.<p/>
J56  64 <p_>To meet the costs of their new defense requirements, the 
J56  65 government forced the Irish taxpayer to pay taxes higher than any 
J56  66 ever known. The first increase predated the outbreak of war: in the 
J56  67 spring of 1939, the new pounds5.5 million defense appropriation 
J56  68 meant jumping the income-tax rate by a half shilling to a shilling 
J56  69 on the pound - 5 percent. Along with this income-tax increase came 
J56  70 new surtaxes, as well as additional taxes on the richest 
J56  71 ratepayers. Two months after Germany attacked Poland, the income 
J56  72 tax went up another shilling on the pound, together with higher 
J56  73 increments in estate duties and new levies on beer and whiskey. 
J56  74 Through the next two years, tax increases on income could rise 
J56  75 until the Irish citizen was paying on average 37.5 percent of his 
J56  76 income to the government. Though the Twenty-six Counties remained 
J56  77 at peace, their government was assessing tax levies as onerous as 
J56  78 those of most of the countries at war.<p/>
J56  79 <p_><*_>three-bullets<*/><p/>
J56  80 <p_>If the island was not yet threatened by a Wehrmacht held in its 
J56  81 traces, it <tf|>was threatened by the ruthless and bomb-prone 
J56  82 activities of the IRA. The Irish Republican Army's raison 
J56  83 d'<*_>e-circ<*/>tre was to end British control of Ulster by 
J56  84 whatever means necessary, however appalling or murderous. The 
J56  85 terrorist organization's position was, simply stated, that 
J56  86 <quote_>"England's difficulty is Ireland's opportunity."<quote/> To 
J56  87 achieve its goal, the organization maintained a complete, albeit 
J56  88 underground, government, a constitution, and some 7,500 mostly 
J56  89 youthful members - plus perhaps 15,000 more or less dedicated 
J56  90 supporters (the figures are from <tf|>Time magazine).<p/>
J56  91 <p_>What <tf|>popular support the IRA received in the south during 
J56  92 the Emergency was given almost entirely in token of the perceived 
J56  93 injustice of the island's partitioned status. As to the 
J56  94 organization's relationship with the Dublin government, its policy 
J56  95 provided that no terrorist activities would be carried out against 
J56  96 Eire, as long as the IRA was free to carry out from southern bases 
J56  97 operations against Ulster and that province's British targets. De 
J56  98 Valera refused such a concession, understanding full well the 
J56  99 danger of British retaliation against Eire.<p/>
J56 100 <p_>Some months before the outbreak of war, the IRA had undertaken 
J56 101 to traumatize the British people into demanding that their 
J56 102 government leave Ulster. The shock was carried to Britain itself in 
J56 103 the form of a series of terror bombings. In January 1939, young 
J56 104 Irishmen recruited in Britain set off explosions in what were, with 
J56 105 war approaching, the kingdom's most vulnerable sites: factories, 
J56 106 power stations, and telephone exchanges. At the time, even a few 
J56 107 well-placed blows against British defense facilities were 
J56 108 enormously crippling to the catch-up effort to match Germany's 
J56 109 industry. The campaign reached its moral nadir back home with a 
J56 110 bombing of the Irish country hotel where Prime Minister Neville 
J56 111 Chamberlain's son Francis was spending a hunting holiday, the 
J56 112 fortunately ineffectual assault an apparent attempt to sour the 
J56 113 personally cordial relationship between Chamberlain and de Valera. 
J56 114 Britain endured over a hundred more explosions in July alone, with 
J56 115 blast sites including Piccadilly Circus and Madame Tussaud's 
J56 116 waxworks. Harried police waded through crowds arresting anyone with 
J56 117 a brogue. The IRA's outrages culminated in an act that finally 
J56 118 crystallized public opinion and marshaled concrete action against 
J56 119 the outlaw organization.<p/>
J56 120 <p_>On August 25, a package-laden bicyclist made his way through 
J56 121 the crowded streets of Coventry, an ancient and, by 1939, heavily 
J56 122 industrialized Midlands city. The rider left his parcel - a 
J56 123 pre-fused bomb - at a caf<*_>e-acute<*/> in crowded Broadgate, in 
J56 124 the center of the city. To hide the device's origins, its makers 
J56 125 had assembled it in one place and brought it carefully to another, 
J56 126 where the last man in the deadly chain put it in his cycle's 
J56 127 carrier basket. Delayed by traffic and worried that the bomb would 
J56 128 blow him up along with the innocent bystanders who were its 
J56 129 intended victims, the anxious IRA terrorist hurriedly threw his 
J56 130 bicycle against the wall on the caf<*_>e-acute<*/> and left. The 
J56 131 explosion a few moments later blew off the front of the building, 
J56 132 along with the windows of the neighboring shops. Ankle<?_>-<?/>deep 
J56 133 debris settled over a wide area. Five people lay dead, including an 
J56 134 eighty-one-year-old man and a small boy. Seventy more were 
J56 135 injured.<p/>
J56 136 <p_>Recognizing the threat this and the earlier outrages 
J56 137 represented to an Anglo-Irish accord, the authorities reacted by 
J56 138 searching every Irish home in Coventry, jailing hundreds of 
J56 139 activists, and ending with the apprehension of three members of the 
J56 140 city's IRA unit. Two others were later arrested for complicity in 
J56 141 the terror attack. The dragnet resulted in an immediate and sharp 
J56 142 decline in IRA terror activities in Britain for the rest of the 
J56 143 war. But among Eire's citizenry who deplored the IRA's methods, so 
J56 144 deep was the vein of antipathy for Britain that when two of the 
J56 145 accused were hanged in Birmingham in February 1940, almost the 
J56 146 entire country mourned them, with flags dropping to half staff, 
J56 147 theaters closed, and masses offered for the repose of the executed 
J56 148 men's souls.<p/>
J56 149 <p_>Hitler understandably regarded people who could commit such 
J56 150 acts against Britain as his natural allies. In fact, Germany had 
J56 151 been trying to cement a relationship with the terrorist 
J56 152 organization since at least 1937. The military intelligence agency, 
J56 153 the Abwehr, directed by Admiral Wilhelm Canaris, initiated planning 
J56 154 in November and December of 1939 to send its agents into Ireland by 
J56 155 submarine to establish contacts with the IRA, with German agents 
J56 156 instructed to tell prospective recruits among the Irish that 
J56 157 Germany strongly desired a united Ireland and that the best course 
J56 158 for the IRA would be to join efforts with the Reich in destroying 
J56 159 'England,' the sooner both their goals being fulfilled.<p/>
J56 160 <p_>But Hempel warned his superiors in November 1939 that Germany 
J56 161 had best not rely too heavily on playing the IRA card. On the 
J56 162 fourteenth, he wrote to Berlin that <quote_>"the I.R.A. is hardly 
J56 163 strong enough for action with promise of success or involving 
J56 164 appreciable damage to England and is also probably lacking in a 
J56 165 leader of any stature."<quote/> He pointedly cautioned the Foreign 
J56 166 Ministry that open cooperation with the IRA would very likely lead 
J56 167 the more moderate sections of the Irish republic into blaming the 
J56 168 organization for making the country's national interests dependent 
J56 169 on Germany, which <quote_>"in view of the widespread aversion to 
J56 170 present-day Germany, especially for religious reasons, could rob 
J56 171 the I.R.A. of all chances of future success."<quote/> Hempel also 
J56 172 noted, again, that such a course would give Britain an excuse to 
J56 173 intervene militarily in solving its own outstanding problems with 
J56 174 Eire.<p/>
J56 175 <p_>Because of the IRA's potential to damage Eire's neutrality 
J56 176 policy more than any other group in Irish politics, the 
J56 177 organization's British atrocities had in June 1939 given de Valera 
J56 178 a good excuse to outlaw it. The move enabled him to marshal the 
J56 179 resources of the state in chasing down its members and generally 
J56 180 branding it a menace to Eire's survival in the Emergency. But by 
J56 181 the end of the year, the IRA openly declared its sympathies lay in 
J56 182 a <}_><-|>Germany<+|>German<}/> victory in the war, evidently on 
J56 183 the amazing deduction that such an outcome would, by Britain's 
J56 184 defeat, mean the end of partition. The perhaps more likely 
J56 185 possibility that Hitler would occupy Ireland - the <tf|>whole of 
J56 186 the island - apparently didn't occur to the IRA leaders. Though 
J56 187 Nazi Germany's most scorching depravities and betrayals lay in the 
J56 188 future, its many double crosses up to this point should certainly 
J56 189 have put the IRA off any hope that it or the nation for which it 
J56 190 purported to fight would be treated with respect by Adolf 
J56 191 Hitler.<p/>
J56 192 <p_>On December 23, 1939, the organization carried off one of its 
J56 193 grandest coups - though one of its last - against the Dublin 
J56 194 government. When the IRA stole more than a million rounds of 
J56 195 ammunition and cases of guns from the Phoenix Park arsenal, it 
J56 196 looked as though the phantom army might turn itself into a real 
J56 197 army and attempt a coup d'<*_>e-acute<*/>tat, or even try to start 
J56 198 another civil war. D<*_>a-acute<*/>il member James M. Dillon warned 
J56 199 of the raid: <quote_>"I believe the ultimate end of the activities 
J56 200 of these gentlemen [the IRA] must be assassination. God knows how 
J56 201 many of us may be victims!"<quote/><p/>
J56 202 <p_>The reaction of the government was to arrest every member of 
J56 203 the IRA who could be rounded up, sending 5,000 Special Police armed 
J56 204 with rifles to seal the frontier with Northern Ireland and hunt 
J56 205 down the clandestine terrorists. To further the search-and-destroy 
J56 206 operation's success, the government rushed through Parliament a 
J56 207 bill suspending the constitutional guarantee against holding 
J56 208 suspects for more than forty-eight hours without evidence.
J56 209 
J57   1 <#FROWN:J57\>Moreover, in recent years, most of those in pursuit of 
J57   2 a truly 'British' past have been in thrall to a series of 
J57   3 remarkable articles written by J.G.A. Pocock. In the <tf_>Journal 
J57   4 of Modern History<tf/> in 1975, and in the <tf_>American Historical 
J57   5 Review<tf/> for 1982, Pocock argued that British history could only 
J57   6 be understood as <quote_>"the <tf|>interaction of several peoples 
J57   7 and several histories."<quote/> By this, it is important to note, 
J57   8 he meant not only the relations that existed over time among 
J57   9 England, Wales, Scotland, and Ireland but also the broader 
J57  10 connections between these four countries and North America and the 
J57  11 rest of Britain's 'white' empire, including Pocock's own native New 
J57  12 Zealand. Predictably, though, it has been his insistence on the 
J57  13 need for study of the four component parts of the United Kingdom - 
J57  14 and not his geographically more wide-ranging manifesto - that has 
J57  15 generated the greatest interest among British historians.<p/>
J57  16 <p_>Some of the results of this new scholarly fashion have been 
J57  17 entirely benevolent. Our collective consciousness has been raised, 
J57  18 and we are now much less likely than we were even ten years ago to 
J57  19 describe exclusively <tf|>English events and trends as though they 
J57  20 were necessarily synonymous with <tf|>British developments. We have 
J57  21 come to understand with more precision than before that Great 
J57  22 Britain is a composite structure forged, as France and Spain were 
J57  23 forged, out of different cultures and kingdoms. And by examining 
J57  24 how these entities effected each other in the past, we have been 
J57  25 able to approach familiar historical events in a different and 
J57  26 revealing light. Sir John Seeley remarked as long ago as 1895 that 
J57  27 the interaction between Scotland, Ireland, and England was so 
J57  28 extensive in the 1640s that he wondered whether the civil war 
J57  29 <quote_>"had really its origins in the necessity of revising their 
J57  30 mutual relations."<quote/> But it is only in the past few years 
J57  31 that this insight has been pursued to the full.<p/>
J57  32 <p_>These are substantial gains. But while acknowledging them as 
J57  33 such, we also need to be aware of the problems and limitations 
J57  34 inherent in this approach to the British past. To begin with, some 
J57  35 of its practitioners are undoubtedly swayed by current political 
J57  36 preoccupations, and this can lead to a certain amount of special 
J57  37 pleading. Especially since the 1960s, both the Welsh and the 
J57  38 Scottish nationalist movements have increased in size and 
J57  39 self-consciousness (as simultaneously has support for an 
J57  40 independent Basque country and Catalonia in Spain and for separate 
J57  41 Breton and Occitanian nations in France). In addition, one of the 
J57  42 consequences of Margaret Thatcher's long premiership, which saw a 
J57  43 savage reduction in Tory electoral support in Scotland, and a less 
J57  44 dramatic but still significant fall in Tory support in Wales, has 
J57  45 been the reemergence of a right-wing Little Englandism. (The Labour 
J57  46 party, for reasons that will become clearer later in this essay, 
J57  47 remains emphatically British in its electoral base and ideology.) 
J57  48 Put crudely, the current political situation has encouraged some 
J57  49 English scholars to view the Welsh and the Scots as the Other in a 
J57  50 more deliberate fashion than before, and vice versa. If we add to 
J57  51 this the fact that Protestant Britons have traditionally viewed the 
J57  52 predominantly Catholic Irish as the Other, and have been so viewed 
J57  53 in return, it is easy to see why the appeal of a Four Nations view 
J57  54 of the United Kingdom can seem so overwhelming <tf_>quite 
J57  55 independent of its scholarly value<tf/>. Such an approach can 
J57  56 reduce Britishness to the interaction of four organic and 
J57  57 invariably distinct nations (or three if Ireland is left out of the 
J57  58 story). As such, it can sit comfortably not only with Welsh, 
J57  59 Scottish, and Irish nationalism but also with a newly assertive 
J57  60 English nationalism.<p/>
J57  61 <p_>The breakup of Britain, or at the very least the emergence of a 
J57  62 federal Britain existing as part of a federal Europe, may well be 
J57  63 desirable goals for the 1990s. I am not concerned here with 
J57  64 vindicating unionism or to argue for its continuation in the 
J57  65 future. But I would argue that the Four Nations approach, if pushed 
J57  66 too hard or too exclusively, is an incomplete and anachronistic way 
J57  67 to view the British past and, also, a potentially parochial one.<p/>
J57  68 <p_>It conceals, if we are not careful, the fact that the four 
J57  69 parts of the United Kingdom have been connected in markedly 
J57  70 different ways and with sharply varying degrees of success. Most 
J57  71 conspicuously, Ireland, as a whole, was only part of the Union 
J57  72 between 1800 and 1920. It has always been divided from the British 
J57  73 mainland by the sea and since the sixteenth century has been 
J57  74 severed from it even more brutally by its strictly limited response 
J57  75 to the Protestant Reformation. There is considerable evidence that 
J57  76 at grass-roots level the Welsh, the Scottish, and the English saw 
J57  77 (and often still see) the Irish as alien in a way that they did not 
J57  78 regard each other as alien. None of this means that we should 
J57  79 ignore Ireland's many and important political, cultural, and 
J57  80 economic links with Britain. But we should recognize that, mainly 
J57  81 for religious reasons, the bulk of its population was never swept 
J57  82 into a British identity to the degree that proved possible among 
J57  83 the Welsh, the Scots, and the English. We also need to recognize 
J57  84 that, until the late nineteenth century, at least, the majority of 
J57  85 people in all of these countries were never simply and invariably 
J57  86 possessed by an overwhelming sense of their own distinctive 
J57  87 identity as Englishmen, as Scotsmen, as Welshmen, or even as 
J57  88 Irishmen. As in the rest of Europe, intense local and regional 
J57  89 loyalties were always there to complicate and compromise.<p/>
J57  90 <p_>Even in the early 1800s, for example, and despite the enormous 
J57  91 impact of Sir Walter Scott's heroic evocation of the lochs and 
J57  92 glens of the North, some Lowland Scots still automatically referred 
J57  93 to their Highland neighbors as savages or as aborigines. They 
J57  94 regarded them, as they had traditionally done, as impoverished and 
J57  95 violent, as members of a different and inferior race, rather than 
J57  96 as fellow Scots. Conversely, whereas the word 'sassenach' is now 
J57  97 one of the kinder epithets used by all Scots to refer to the 
J57  98 English, before 1800 the Gaelic <foreign|>sasunnach (meaning a 
J57  99 Saxon) was commonly employed by Highland Scots to refer to 
J57 100 Lowlanders in general as well as to the English. Quite logically in 
J57 101 ethnic terms, Highlanders could view both Lowland Scots and the 
J57 102 English as foreigners. By the same token, the inhabitants of 
J57 103 northern England had (and still have) far more in common with their 
J57 104 Lowland Scottish neighbors than with the inhabitants of southern 
J57 105 England. They read the same books, ate the same kind of food cooked 
J57 106 in similar ways, frequently intermarried, and shared similar 
J57 107 literacy levels. Much the same could be said of men and women 
J57 108 living in Herefordshire and Shropshire with regard to their Welsh 
J57 109 neighbors. Here, again, people living close to the border, whether 
J57 110 on the Welsh or on the English side, could have more in common with 
J57 111 each other than with the rest of their respective countrymen. As 
J57 112 Hugh Kearney has demonstrated, with a scrupulous honesty that 
J57 113 threatens at times to undermine his own arguments, imposing a 
J57 114 strict three- or four-nation model onto these intricate and myriad 
J57 115 regional alignments is difficult and distorting. In practice, men 
J57 116 and women often had double, triple, or even quadruple loyalties, 
J57 117 mentally locating themselves, according to the circumstances, in a 
J57 118 village, in a particular landscape, in a region, and in one or even 
J57 119 two countries. It was quite possible for an individual to see 
J57 120 himself as being, at one and the same time, a citizen of Edinburgh, 
J57 121 a Lowlander, a Scot, and a Briton.<p/>
J57 122 <p_>The invention of a British national identity after 1700 did not 
J57 123 obliterate these other, older loyalties. True, both before and 
J57 124 after that date, London was always ready to employ military force, 
J57 125 parliamentary legislation and various kinds of indoctrination to 
J57 126 limit the autonomy of a few, particularly dangerous regions - the 
J57 127 'pacification' of the Scottish Highlands after 1746 would be an 
J57 128 obvious example. But Britishness was never just imposed from the 
J57 129 center, nor can it be understood solely or even mainly as the 
J57 130 result of an English cultural or economic colonization of the 
J57 131 so-called Celtic fringe. The extent of such anglicization has, to 
J57 132 begin with, often been exaggerated. Scotland always preserved its 
J57 133 own religious, educational, and legal structures and its own 
J57 134 sophisticated network of printing presses and cultural centers, 
J57 135 while even in the 1880s, some 350 years after the Act of Union 
J57 136 between Wales and England, three-quarters of all Welshmen still 
J57 137 spoke their own language out of choice. More broadly, though, we 
J57 138 need to stop thinking in terms of Britishness as the result of an 
J57 139 integration and homogenization of disparate cultures. Of course, a 
J57 140 degree of integration did occur, mainly by way of the advance of 
J57 141 communications, the proliferation of print, the operation of free 
J57 142 trade throughout the island, and a high level of geographical 
J57 143 mobility. But what most enabled Great Britain to emerge as an 
J57 144 artificial nation, and to be superimposed onto older alignments and 
J57 145 loyalties, was a series of massive wars between 1689 and 1815 that 
J57 146 allowed its diverse inhabitants to focus on what they had in 
J57 147 common, rather than on what divided them, and that forged an 
J57 148 overseas empire from which all parts of Britain could secure real 
J57 149 as well as psychic profits.<p/>
J57 150 <p_>It is this vital and external dimension of British development 
J57 151 that is most likely to be obscured by too narrow a concentration on 
J57 152 the Four Nations model. The interaction of Wales, Scotland, 
J57 153 Ireland, and England is an important and fascinating theme and is a 
J57 154 particularly pertinent one at the end of the twentieth century. But 
J57 155 in the eighteenth and nineteenth centuries, Britishness was forged 
J57 156 in a much wider context. Britons defined themselves in terms of 
J57 157 their common Protestantism as contrasted with the Catholicism of 
J57 158 Continental Europe. They defined themselves against France 
J57 159 throughout a succession of major wars with that power. And they 
J57 160 defined themselves against the global empire won by way of these 
J57 161 wars. They defined themselves, in short, not just through an 
J57 162 internal and domestic dialogue but in conscious opposition to the 
J57 163 Other beyond their shores.<p/>
J57 164 <h|>II
J57 165 <p_>The absolute centrality of Protestantism to the British 
J57 166 experience in the 1700s and long after is so obvious that it has 
J57 167 often been passed over. Historians, always reluctant to be seen to 
J57 168 be addressing the obvious, have preferred to concentrate on the 
J57 169 more subtle divisions that existed within the Protestant community 
J57 170 itself, on the tensions between Anglicans and nonconformists in 
J57 171 England and Wales, between Presbyterians and Episcopalians in 
J57 172 Scotland, and between the older forms of Dissent and newer versions 
J57 173 such as Methodism. These internal rivalries were abundant and 
J57 174 serious. But they should not obscure what remained the towering 
J57 175 feature in the religious landscape, the gulf between Protestant and 
J57 176 Catholic.<p/>
J57 177 <p_>Even after the beginning of large-scale Irish immigration, the 
J57 178 Catholic community on the British mainland was a small one, and its 
J57 179 members were usually able to socialize with their Protestant 
J57 180 neighbors, own land, earn a living, and even attend mass openly. 
J57 181 Yet in terms of prejudice, none of this mattered very much. 
J57 182 Irrespective of their real strength and of how they were treated as 
J57 183 individuals, Catholics as a category remained in popular mythology 
J57 184 an omnipresent menace. Every November 5 until 1859, worshipers at 
J57 185 virtually all Protestant places of worship in England and Wales 
J57 186 would be reminded that it had been a Catholic who had tried to blow 
J57 187 up James I and Parliament back in 1605. In England, Wales, and 
J57 188 Scotland, almanacs, sermons, and popular histories made the point, 
J57 189 year after year, that it had been a French Catholic Queen, 
J57 190 Henrietta Maria, together with her interfering priests, who had led 
J57 191 Charles I astray and the whole island into war; that the would-be 
J57 192 tyrant James II had been Catholic, just as those responsible for 
J57 193 the Saint Bartholomew's massacre in 1572, or the Irish 'massacres' 
J57 194 of 1641, or the Great Fire of London in 1666 had been Catholic 
J57 195 also. <quote_>"While Britain continues to be a nation,"<quote/> 
J57 196 wrote a Scottish pamphleteer at the end of the eighteenth century, 
J57 197 <quote_>"she ought never to forget."<quote/><p/>
J57 198 
J58   1 <#FROWN:J58\>It could be argued from Hutton's own evidence that 
J58   2 many of the problems facing Charles II, especially in his early 
J58   3 years, were the result of the legacy of the civil war and of the 
J58   4 difficulty at the Restoration of finding a satisfactory settlement 
J58   5 that could accommodate the interests of former Royalists, 
J58   6 Parliamentarians and ex-Cromwellians, Anglicans and Dissenters 
J58   7 alike. Certainly the religious tensions generated by the issue of 
J58   8 Dissent and the unsatisfactory Church settlement perpetually 
J58   9 bedeviled the government in its dealings with all three realms 
J58  10 throughout the reign. However, Hutton sees the year 1673 as marking 
J58  11 a crucial turning point in Restoration politics, with the duke of 
J58  12 York's public profession of his Roman Catholicism after the passage 
J58  13 of the Test Act and his marriage to a Catholic princess ushering in 
J58  14 a new period of political instability, centering around the problem 
J58  15 of the Catholic succession. The succession issue was to lead to the 
J58  16 clash between Whigs and Tories after the revelations of the Popish 
J58  17 Plot in 1678, but whereas Hutton is prepared to accept the 
J58  18 existence of a <quote_>"Whig party"<quote/> (p. 422), he is adamant 
J58  19 that <quote_>"there was no 'Exclusion Crisis' at all"<quote/> (p. 
J58  20 357), because, he says, the situation never became critical for the 
J58  21 government. This argument is somewhat strained, since by Hutton's 
J58  22 own account the government faced a series of acute difficulties 
J58  23 during the Exclusion period that virtually crippled its ability to 
J58  24 govern properly: there were problems in forming and keeping 
J58  25 together an effective ministerial team; it was impossible to get 
J58  26 anything done through Parliament; Charles was unable to conduct any 
J58  27 meaningful foreign policy; and the government faced the opposition 
J58  28 of an important section of the nation.<p/>
J58  29 <p_>Although we learn a lot from this book about what Charles and 
J58  30 his various ministers actually did, we do not get a very clear 
J58  31 sense of the nature or essence of royal power at this time. The 
J58  32 position of the monarchy is said to have been fundamentally strong, 
J58  33 and even to have gained in strength in the last years of Charles's 
J58  34 life, but the basis of this strength is never properly analyzed. 
J58  35 Rather than placing sole emphasis on the inherent powers of the 
J58  36 Crown, I would suggest there was also a crucial ideological 
J58  37 dimension to the strength of the monarchy in the first half of the 
J58  38 1680s. After the Exclusion scare, Charles made every effort to 
J58  39 cultivate public opinion - through propaganda, public 
J58  40 pronouncements, and even royal entries and processions. He 
J58  41 portrayed himself as a king committed to the rule of law and the 
J58  42 defense of the Church of England against the subversive threat of 
J58  43 the Whigs and Nonconformists, thereby attempting to recapture the 
J58  44 soft Anglican middle ground that had become alienated from the 
J58  45 Crown during the 1670s. The monarchy was stronger in 1684 than in 
J58  46 1679 because more people supported what it was doing; that support 
J58  47 was achieved partly as a result of a successful public relations 
J58  48 exercise but also partly as a result of a shift in policy by the 
J58  49 king himself, with Charles at last fulfilling the role of a 
J58  50 Cavalier-Anglican monarch that so many of his subjects wanted him 
J58  51 to play. Hutton has all the material at his disposal to discuss 
J58  52 such questions; it is disappointing that he decided not to do so in 
J58  53 a direct matter. Instead he seems to have seen his task as getting 
J58  54 the facts straight for his readers so that they could be in a 
J58  55 position to draw their own conclusions from the evidence he has 
J58  56 chosen to present.<p/>
J58  57 <p_>Two of the other books under review look at individuals whose 
J58  58 lives and influence spanned the crucial period between the civil 
J58  59 war and the 1680s. Conal Condren focuses on George Lawson - long 
J58  60 thought to be significant for his criticism of Hobbes and influence 
J58  61 on Locke - and on his tract <tf|>Politica, which was published 
J58  62 first in 1660 and again in 1689. Condren's book operates on a 
J58  63 number of levels: in addition to being a work of political 
J58  64 philosophy and of the history of ideas, it is also a study in 
J58  65 political linguistics, and it has much to say on the use of 
J58  66 metaphor and rhetoric and on Lawson's manipulation and subversion 
J58  67 of existing political vocabularies. As a result the argument is 
J58  68 complex and not easy to summarize. Lawson, a clergyman who worked 
J58  69 most of his life in Shropshire, was a supporter of Parliament who 
J58  70 not only found it possible to accommodate himself to the changing 
J58  71 political and religious regimes of the 1640s and 1650s but could 
J58  72 accept the Restoration of monarchy in 1660 and work within the 
J58  73 reestablished national Church as well. Although the <tf|>Politica 
J58  74 was in gestation for some time before its publication, Condren 
J58  75 shows that its context belongs very much to early 1660; therefore 
J58  76 it should not (as has been suggested) be seen as a defense of the 
J58  77 Commonwealth or of Cromwell but, rather, as a settlement tract that 
J58  78 sought to diffuse the divisiveness of constitutional and religious 
J58  79 differences on the eve of the Restoration. Thus Lawson's ideal 
J58  80 governmental form allowed for any variation of rule by king, Lords, 
J58  81 or Commons, or even a republican elite. Likewise any church form 
J58  82 might do in a pinch, so long as it did not lock itself into the 
J58  83 rhetoric of divine origin. Condren sees Lawson's arguments as in 
J58  84 many ways reflecting Clubmen rhetoric, with loyalty to the 
J58  85 community and the country emerging as major themes in his work. As 
J58  86 many will know, Lawson made a distinction between real and personal 
J58  87 sovereignty, with the former being invested with the people as a 
J58  88 community, and the latter being the attribute of a particular 
J58  89 governmental form. His precise views on the limits of people's 
J58  90 subjection, however, are not easy to unravel (necessarily so, 
J58  91 perhaps, given that Lawson's stress was on settlement and 
J58  92 subjection), so Condren prefers to offer two competing readings of 
J58  93 Lawson's position on resistance (the 'cobweb' and the 'seesaw' 
J58  94 hypotheses), which he feels circumscribe the limits of 
J58  95 plausibility. Nevertheless, Condren maintains that Lawson 
J58  96 essentially had a theory of dissolution rather than resistance per 
J58  97 se.<p/>
J58  98 <p_>Different aspects of this book will appeal to different types 
J58  99 of scholars in varying ways. There is a fascinating section on 
J58 100 Lawson's interpretation of the civil war, which he saw as having 
J58 101 primarily religious causes - although Condren warns us that the 
J58 102 attempt to separate discrete factors (religious, constitutional, 
J58 103 economic) is really misguided, given the way contemporaries 
J58 104 conceptualized their world. He is skeptical of the impact that 
J58 105 Lawson is often thought to have had on Locke. Rather it is John 
J58 106 Humfrey, that reluctant Nonconformist, who emerges as the main 
J58 107 vehicle for the transmission of Lawsonian ideas between the 
J58 108 Restoration and the Glorious Revolution. There is also a good 
J58 109 discussion of the importance of the <tf|>Politica in the 
J58 110 <quote_>"Allegiance Controversy,"<quote/> which reminds us how 
J58 111 relevant the rhetoric of interregnum religious and political 
J58 112 discourse still was to the world of 1689.<p/>
J58 113 <p_>Toward the end of his study, Condren offers an intriguing, 
J58 114 though all too brief, criticism of the way other scholars have 
J58 115 deployed the label 'radical' and its siblings 'moderate' and 
J58 116 'conservative.' None of these, he argues, are particularly helpful 
J58 117 to our understanding of either Lawson or his text, since they are 
J58 118 anachronistic terms that apply to groups in nineteenth-century 
J58 119 politics in a way that would not be acceptable to the world of the 
J58 120 seventeenth. This important point has been made many times before, 
J58 121 though there is no harm in saying it again, so long as it does not 
J58 122 blind us to the fact that the late seventeenth century did have its 
J58 123 own concept of 'radical,' even if it was very different from that 
J58 124 which came into existence after the French Revolution. A theory of 
J58 125 government that placed ultimate sovereignty in the people was, so 
J58 126 far as the Tories of the Exclusion period were concerned, a 
J58 127 'radical' theory. As one author alleged, the Whigs did their best 
J58 128 to infuse into people's minds the belief <quote_>"that Power is 
J58 129 radically and revokably in them."<quote/> Thus, according to Whig 
J58 130 theory, <quote_>"they [the People] do not absolutely part with this 
J58 131 their so natural Right, but commit onely<&|>sic! the Administration 
J58 132 of such Power as is radically in them to others. But they retain to 
J58 133 themselves much of this Right, as upon the Male-administration of 
J58 134 the Power so delegated, they may revoke the Delegation, and take 
J58 135 all the Power into their own hands again."<quote/> Many of the more 
J58 136 extreme Whigs, Locke among them, would qualify as espousing a 
J58 137 'radical' theory in this sense of the term; whether Lawson would no 
J58 138 doubt partly depends on whether one has a cobweb or seesaw reading 
J58 139 of the <tf|>Politica.<p/>
J58 140 <p_>Not all are going to accept the conclusions of this book. 
J58 141 Julian Franklin, a leading scholar of Lawson and Locke who comes in 
J58 142 for serious criticism from Condren, has already replied in print by 
J58 143 identifying what he sees to be a number of errors of 
J58 144 interpretation. More worrying, I fear, is the fact that most people 
J58 145 will have terrible trouble just understanding what Condren is 
J58 146 trying to argue. There is a certain irony in the fact that a 
J58 147 student of linguistics should find it so difficult to articulate 
J58 148 his views in a clear and comprehensible manner, and on one occasion 
J58 149 even be forced to give up words altogether and start writing in 
J58 150 mathematical equations (p. 108). This is too bad, since I fear many 
J58 151 will be put off by the style and therefore miss the many 
J58 152 stimulating and provocative ideas that Condren's book undoubtedly 
J58 153 contains.<p/>
J58 154 <p_>Jonathan Scott, by contrast, has produced a lively and highly 
J58 155 readable account of that great seventeenth-century 'radical,' 
J58 156 Algernon Sidney. (The term 'radical' still seems appropriate in 
J58 157 this case, even after reading Condren.) Although at times Scott's 
J58 158 prose styles is rather rough and even colloquial (contractions and 
J58 159 split infinitives abound), he writes with pace, verve, and a degree 
J58 160 of wit that ensures his reader remains perpetually enthralled with 
J58 161 his argument. The present book, which is the first in a two-part 
J58 162 study, concentrates on the years of Sidney's life up until 1677 and 
J58 163 contains an analysis of his other major political treatise, the 
J58 164 <tf_>Court Maxims<tf/> written in 1665. The sequel (which was not 
J58 165 available at the time of writing this review) is to be entitled 
J58 166 <tf_>Algernon Sidney and the Restoration Crisis, 1677-1683<tf/>, 
J58 167 and will contain a detailed analysis of the more famous 
J58 168 <tf|>Discourses. Not that Scott adheres to the strict chronological 
J58 169 limits that the titles of his respective volumes suggest. The main 
J58 170 purpose of the first study is to examine what Sidney believed and 
J58 171 how he came to hold such beliefs, and this is achieved through a 
J58 172 combination of biographical narrative, analysis of his intellectual 
J58 173 influences, and exposition of his ideas, which takes us back and 
J58 174 forth across the whole of Sidney's lifetime and has much to say 
J58 175 about the <tf|>Discourses as well. This is an admirable book: rich, 
J58 176 clever and provocative in its revisionism, and to judge from the 
J58 177 glimpses we are offered here, the subsequent volume promises to 
J58 178 dust off the old cobwebs and set the seesaw rocking through a 
J58 179 powerfully argued reconceptualization of the Exclusion period.<p/>
J58 180 <p_>The main thrust of Scott's argument, which explains why a 
J58 181 separate volume on the period up to 1677 is necessary, is that 
J58 182 Sidney was not an Exclusionist Whig whose ideas were formed in 
J58 183 response to the so-called Exclusion Crisis; rather, his attitudes 
J58 184 were critically shaped by the age of the English Republic (1649-53 
J58 185 and 1659) and his struggles during the period 1635-77 more 
J58 186 generally. Scott shows that the traditional view of Sidney as the 
J58 187 great popular and patriot philosopher, who was a reformer and a 
J58 188 moderate rather than a radical, has got the man seriously wrong. 
J58 189 Not only was he <quote_>"one of the most passionate and bellicose 
J58 190 rebels of his age"<quote/> (p.3), but he was also far from being 
J58 191 <quote_>"the perfect Englishman,"<quote/> since he spent half of 
J58 192 his life outside England, was deeply influenced by Continental 
J58 193 ideas and his internationalist perspective, and was engaged among 
J58 194 foreign princes and republics in a variety of acts of treason 
J58 195 against his own country.
J58 196 
J59   1 <#FROWN:J59\><p_>Walter Benjamin would ultimately admonish the 
J59   2 modern intellectual's ambiguous politics, exemplified by this kind 
J59   3 of neutralization of race, gender, and class allegiances. Western 
J59   4 intellectuals, he observed, did not see themselves as 
J59   5 <quote_>"members of certain professions"<quote/> but as 
J59   6 representatives of a <quote_>"certain characterological 
J59   7 type,"<quote/> a type located somewhere between the classes. 
J59   8 Advocating a more activist role for the intellectual, Benjamin 
J59   9 called <quote_>"for the transformation of the forms and instruments 
J59  10 of production in the way desired by a progressive intelligentsia - 
J59  11 that is, one interested in freeing the means of production and 
J59  12 serving the class struggle."<quote/><p/>
J59  13 <p_>Piper's realignment of the artist/spectator relationship rests 
J59  14 on her desire to work beyond such a characterological suspension of 
J59  15 the artist's connection to the rest of humanity. This challenge to 
J59  16 the forms and instruments of art production resulted both in a 
J59  17 withdrawal from the precious art object and a travesty of modernist 
J59  18 conceits: the 'apolitical' intellectual, the 'classless' dandy, and 
J59  19 the 'objective' <tf|>fl<*_>a-circ<*/>neur who wanders the streets 
J59  20 of Paris observing the heroism of modern life are for Piper the 
J59  21 subject of parody and even derision. Take, for example, her 
J59  22 <tf_>Mythic Being<tf/>. Masquerading in dark glasses, Afro, and 
J59  23 pencil mustache, the <tf_>Mythic Being<tf/> was Piper's male alter 
J59  24 ego. Neither dandy nor <tf|>fl<*_>a-circ<*/>neur - yet strangely 
J59  25 reminiscent of both - the <tf_>Mythic Being<tf/> represented 
J59  26 himself as tough black street kid who engaged in charged and 
J59  27 sometimes hostile encounters with strangers. Piper sent him into 
J59  28 white middle- and upper-middle class social contexts - theaters, 
J59  29 gallery receptions, museum exhibitions - in order to observe racist 
J59  30 patterns of avoidance and aggression. After moving to Cambridge, 
J59  31 Massachusetts, in 1974 to begin graduate study in philosophy at 
J59  32 Harvard University, Piper involved her <tf_>Mythic Being<tf/> in 
J59  33 such actions as 'cruising' the streets to experience male 
J59  34 sexuality, wandering the Cambridge commons, and venting class 
J59  35 antagonisms by mugging a male accomplice in public view after a 
J59  36 provocative conversation.<p/>
J59  37 <p_>If Piper's 'whiteness' allowed her to escape from the cruelest 
J59  38 side of racism, the racial and class specificity of her male alter 
J59  39 ego left her particularly vulnerable. Gaining a sense of her 
J59  40 <quote_>"own marginality as a nonwhite (but not obviously black) 
J59  41 member of society,"<quote/> Piper realized that she was now even 
J59  42 more threatening to white society at large. As Homi Bhabha 
J59  43 observes, <quote_>"the black presence ruins the representative 
J59  44 narrative of Western personhood: its past tethered to treacherous 
J59  45 stereotypes of primitivism and degeneracy will not produce a 
J59  46 history of civil progress, a space for the <tf|>Socius; its 
J59  47 present, dismembered and dislocated, will not contain the image of 
J59  48 identity that is questioned in the dialectic of mind/body and 
J59  49 resolved in the epistemology of 'appearance and reality.' The white 
J59  50 man's eyes break up the black man's body and in that act of 
J59  51 epistemic violence its own frame of reference is transgressed, its 
J59  52 field of vision disturbed."<quote/><p/>
J59  53 <p_>Ultimately, <tf_>Mythic Being<tf/> personifies the mythic 
J59  54 <tf_>black man<tf/> - the presence who ruins the representative 
J59  55 narrative of white America. He is the being for whom miscegenation 
J59  56 laws were invented, codes that pretended to 'protect' white women 
J59  57 <quote_>"but left black women the victims of rape by white men and 
J59  58 simultaneously granted to these same men the power to terrorize 
J59  59 black men as a potential threat to the virtue of white 
J59  60 womanhood."<quote/> The tragic irony of this social equation is 
J59  61 that black men's 'power,' though threatening to white society, is 
J59  62 most often fictive and allusive; since male power within patriarchy 
J59  63 is relative, poorer men, frequently men of color, are most often 
J59  64 denied the material and social rewards of their participation in 
J59  65 patriarchy. With her <tf_>Mythic Being<tf/>, Piper conflated issues 
J59  66 of race and gender in order to question problematic feminist 
J59  67 constructions that pit white women against white men in a struggle 
J59  68 for power. Any understanding of patriarchal relations which 
J59  69 examines the power of men over women outside of broader racial and 
J59  70 economic issues is, of course, problematic. Arguments that feature 
J59  71 patriarchy as the primary determinant of women's oppression fail to 
J59  72 see <quote_>"the inapplicability of such a concept in analyzing the 
J59  73 complex of relations obtaining in the Black communities both 
J59  74 historically and at present."<quote/> Such discourses of 
J59  75 patriarchal relations, for example, most often ignore the struggle 
J59  76 that men and women of color must fight <tf|>together against the 
J59  77 white ruling class. <tf_>Mythic Being<tf/> - a black woman in the 
J59  78 guise of a black male youth - metaphorically represents this 
J59  79 alliance, reminding us that in Western society racism effortlessly 
J59  80 crosses the boundaries of gender.<p/>
J59  81 <p_>Piper's desire to speak over the oppressive master texts of 
J59  82 modernism results in the blasting of another aspect of the artist's 
J59  83 mythology - the specter of anonymity. Like Frantz Fanon's 
J59  84 existentialist evocation of the 'I' that restores the presence of 
J59  85 the marginalized (and his own presence within dominant narratives 
J59  86 that would silence a black man's voice), Piper at times speaks 
J59  87 through personal or autobiographical narratives. <tf_>The Big 
J59  88 Four-Oh<tf/> (1988), a self-portrait video installation, juxtaposes 
J59  89 a display of materials soaked in her bodily fluids, an open 
J59  90 journal, a suit of armor, forty hard balls, and a repeat videotape 
J59  91 of Piper with her back to the camera dancing nonstop to soul music. 
J59  92 The work, which represents the artist at the time of her fortieth 
J59  93 birthday, affirms her complexity and strength, each of its parts 
J59  94 serving as a metaphor for an aspect of her existence. This 
J59  95 installation would seem to continue the project of the earlier 
J59  96 <tf_>Political Self Portraits<tf/> (1980) in which Piper 
J59  97 superimposed images of her face and body over detailed 
J59  98 autobiographical accounts written from the three perspectives that 
J59  99 define her marginalization - class, race, and gender. A chronology 
J59 100 of the artist's life written by Piper and published in the catalog 
J59 101 for her recent retrospective exhibition includes the following 
J59 102 note: <quote_>"This chronology was created solely by Adrian Piper 
J59 103 and is presented as part of her artistic work."<quote/> Rather than 
J59 104 narcissistic evocations of the self or acts of romanticized 
J59 105 self<?_>-<?/>expression, autobiography serves a crucial 
J59 106 <tf|>political function in Piper's <*_>oe-ligature<*/>uvre. As part 
J59 107 of a broader structure for dismantling oppressive systems, such 
J59 108 narratives acknowledge the extent to which marginalized peoples are 
J59 109 spoken at and for, the degree to which people of color, women, gay 
J59 110 men, and lesbians have been defined and judged by the narrow 
J59 111 standards of a dominant culture governed by white heterosexual 
J59 112 males. Indeed, who constructs the master narratives of culture? Who 
J59 113 are the patrons of academia, the publishers, the financiers of 
J59 114 industrial society? Who writes history?<p/>
J59 115 <p_>Marginalized peoples, of course, are generally excluded from 
J59 116 defining their own role in the narratives of history. Women of 
J59 117 color, for example, have been alternately categorized as exotic or 
J59 118 'pathological' or both - universalizing conditions that deny 
J59 119 difference as they create stereotypes of passivity or abnormality: 
J59 120 <quote_>"But what does the sameness of the exotic women represent? 
J59 121 Female heroism, humor, carnivalesque gesture, triumph, movement ... 
J59 122 'trans-cultural, trans<?_>-<?/>historical, trans-social' - 
J59 123 <tf|>exotic. Here exoticism marks a universality which 
J59 124 systematically negates the very raison d'<*_>e-circ<*/>tre of 
J59 125 women's different experiences, strategies and actions."<quote/> 
J59 126 Like the mythologized dandy, these ciphers of universality, 
J59 127 exoticism, or sameness mask deeper political motives. As such, 
J59 128 autobiographical writing can serve an important therapeutic 
J59 129 function for marginalized peoples. The fear and uncenteredness 
J59 130 associated with psychic and physical oppression can often be 
J59 131 overcome or helped by reconnecting with the personal narratives of 
J59 132 the past. Remembering can be part of a cycle of reunion, observes 
J59 133 Bell Hooks, <quote_>"a joining of fragments, 'the bits and pieces 
J59 134 of my heart' that the [autobiographical] narrative made whole 
J59 135 again."<quote/> Such speech will always be difficult for the 
J59 136 dominant culture to accept. Representational marginalization 
J59 137 exempts the exotic 'others' - whether they be women, gays, blacks, 
J59 138 or even artists - from serious consideration by the ruling class. 
J59 139 To allow such peoples to speak in their own voices is to risk 
J59 140 hearing their oppositional speech - discourses that demand rather 
J59 141 than passively accept, that scream rather than whisper.<p/>
J59 142 <p_>Although Piper's project is directed at a cultural community 
J59 143 that is mostly privileged, she reconstructs the ideological role of 
J59 144 the artist in a way that directs her audience to join her in the 
J59 145 struggle against racism and sexism. Indeed, she is always polite in 
J59 146 her address, always conscious of the psychological threshold of 
J59 147 complacent viewers who would rather look at 'art' than confront the 
J59 148 painful reality of their own racism. <quote_>"I can't bear the 
J59 149 thought of violating the norms of etiquette,"<quote/> Piper has 
J59 150 said. <quote_>"Such norms help me to grease my way ... through a 
J59 151 hostile white world."<quote/> The inherent difficulty of 
J59 152 disseminating upsetting information makes this politeness a matter 
J59 153 of packaging for Piper; like a good advertising executive, she 
J59 154 understands that style is often as important as content in reaching 
J59 155 an audience. It is through this <quote_>"power of passive 
J59 156 provocation"<quote/> that Piper hopes to transform her audience 
J59 157 psychologically, by presenting them with <quote_>"an immediate and 
J59 158 unavoidable concrete reality that cuts through the defensive 
J59 159 rationalizations by which we insulate ourselves against the facts 
J59 160 of our political responsibility. I want viewers of my work to come 
J59 161 away from it with the understanding that their reactions to racism 
J59 162 are ultimately political choices over which they have control - 
J59 163 whether or not they like the work or credit it for this 
J59 164 understanding."<quote/><p/>
J59 165 <p_>To this end, Piper embarked on a series of audience 
J59 166 performances in which predominantly white, art world groups were 
J59 167 engaged in various consciousness-raising activities. The 
J59 168 ground-breaking <tf_>Funk Lessons<tf/>, for example, began as a 
J59 169 question in Piper's mind: Why are white people indifferent, even 
J59 170 hostile, to soul music? <quote_>"I found that response [to funk 
J59 171 music] so often,"<quote/> Piper observes. <quote_>"It seems to me 
J59 172 there was a gap between the purported attitude of openness and 
J59 173 receptivity to popular culture that is usually espoused by the art 
J59 174 world, according to which <tf|>anything is adequate subject matter 
J59 175 for appropriation and reuse within the context of high culture. And 
J59 176 what <tf|>actually seemed to be the case is that in fact only 
J59 177 <tf|>some things can have that function, and in particular black 
J59 178 working-class culture <tf|>cannot have that function."<quote/> 
J59 179 Having incorporated funk music into earlier politically oriented 
J59 180 performances, Piper found that white audiences misunderstood her 
J59 181 motives or attacked her use of this music as <quote|>"cheapening" 
J59 182 the serious political content of the performance. Such resistance, 
J59 183 Piper suggests, is rooted in several areas: <quote_>"One problem 
J59 184 has to do with the overt sexuality of that music - it talks about 
J59 185 fucking, it talks about making love, it talks about bodies, and 
J59 186 it's very hard to assimilate that in a way that's not threatening 
J59 187 to white upper-middle-class culture. Another problem is that it 
J59 188 requires a very highly structured use of one's body in order to 
J59 189 respond to it."<quote/><p/>
J59 190 <p_>Piper decided to 'educate' white audiences about the 
J59 191 significant (if not always acknowledged) role played by this music 
J59 192 in both dominant and marginal culture. <tf_>Funk Lessons<tf/> was 
J59 193 structured in an academic format as a participatory performance 
J59 194 with Piper as instructor and audience members as students. Piper 
J59 195 distributed a bibliography and photocopied handouts that listed 
J59 196 some of the 'characteristics' of funk dance and music. She 
J59 197 proceeded to discuss certain mainstream presumptions about funk 
J59 198 music in an attempt to free her audience from discomforting 
J59 199 misconceptions. She then led the group in body isolation exercises, 
J59 200 discussed the structure of the music, and practiced dance movements 
J59 201 with musical accompaniment. (An extraordinary video version of 
J59 202 <tf_>Funk Lessons<tf/> centers on a particularly successful 
J59 203 performance at the University of California at Berkeley in 1983. 
J59 204 Piper augments film of the Berkeley evening with voice-over and 
J59 205 on-screen commentary and archival footage of influential soul 
J59 206 performers [e.g., James Brown, Little Richard, and Aretha Franklin] 
J59 207 and the white entertainers [Elvis Presley, Mick Jagger, The Talking 
J59 208 Heads] who capitalized on the black funk idiom. The video yields a 
J59 209 level of meaning somewhat independent of but not unrelated to the 
J59 210 performance - that of the mass-media suppression of working-class 
J59 211 black culture and its comfortable, and profitable, appropriation by 
J59 212 white artists.) Ultimately, Piper did not want to scare or 
J59 213 intimidate her audience; rather she constructed a 
J59 214 <quote_>"comfortable and safe"<quote/> format that encouraged 
J59 215 people to explore their apprehensions about the music and their 
J59 216 ability to soul dance. Individual audience reactions to <tf_>Funk 
J59 217 Lessons<tf/> varied from antagonism and resistance to jubilation. 
J59 218 Successful performances culminated in a celebratory dance party; 
J59 219 failed ones fizzled out in a morass of confusion and resentment.<p/>
J59 220 
J60   1 <#FROWN:J60\>Lady Elisabeth's disappointment in him was most vocal 
J60   2 by the middle of that year. Talbot was undoubtedly affected, at 
J60   3 least to some degree, by the general state of affairs in Britain. 
J60   4 In 1820, the 'Swing Riots' swept through Wiltshire and other areas 
J60   5 of the country. They were the inevitable outcome of the intolerable 
J60   6 economic pressures that increasing industrialization was inflicting 
J60   7 on agrarian workers. As a result of his compassionate and 
J60   8 surprisingly expert management of Lacock, Talbot succeeded in 
J60   9 avoiding any local violence. He soon found that in trying to 
J60  10 alleviate the condition of the poor, he was out of step with the 
J60  11 local farmers. Reform was in the air. Henry Talbot expressed his 
J60  12 opinion that representation should be equitable; he stood for 
J60  13 Parliament in 1831 as a reformer, but was defeated on this first 
J60  14 try. Perhaps his entry into politics was less anomalous than it 
J60  15 might at first appear. Talbot's ancestors (and many of his current 
J60  16 relatives) had been deeply involved in politics. His cousin Kit, 
J60  17 Christopher Rica Mansel Talbot, had entered Parliament in 1830. 
J60  18 Lady Elisabeth considered her son's talents wasted in the game of 
J60  19 politics, but she would have encouraged him to at least do 
J60  20 something, anything, to break out of his ill humor. The passage of 
J60  21 the Reform Bill in 1832 increased his constituency, and Henry 
J60  22 Talbot was finally elected as a Member from Chippenham. He was to 
J60  23 serve only one term.<p/>
J60  24 <p_>Talbot's short political career proved unsatisfying but perhaps 
J60  25 also convinced him that a life in science was what he wanted. A 
J60  26 sure sign that Talbot was getting a grip on his doldrums came with 
J60  27 his March 1831 election as a Fellow of the Royal Society. Proposed 
J60  28 by his relatives Charles Lemon and William Fox-Strangways, Talbot's 
J60  29 election was supported by the testimony of Michael Faraday, Davies 
J60  30 Gilbert; George Peacock, Thomas Philipps, and William Whewell 
J60  31 (Herschel would have been happy to sign for Talbot as well save for 
J60  32 his continuing protest against the Society). Perhaps even this 
J60  33 short experience in politics was for the best; Talbot's point of 
J60  34 view on the relationship between science and society had been 
J60  35 expanded. In 1833, he wrote to the botanist William (later Sir 
J60  36 William) Jackson Hooker that <quote_>"the difficulty which you 
J60  37 complain of, of getting any bookseller to publish a scientific work 
J60  38 on Botany is not confined to that science."<quote/> Talbot 
J60  39 suggested that there was a societal benefit to be gleaned from 
J60  40 support:<p/>
J60  41 <p_><quote_>Abroad, not only is paper & printing cheaper, but 
J60  42 assistance is rendered by the Governments. In my opinion public 
J60  43 libraries ought to be established in all our principal Towns at the 
J60  44 national expense. A considerable sum should be voted annually for 
J60  45 the encouragement of science, which should be in part expended in 
J60  46 patronizing literary undertakings of merit. From 20 to 50 copies of 
J60  47 such works should be purchased by government & distributed to these 
J60  48 provincial libraries, which small at first, would soon become 
J60  49 important.<quote/><p/>
J60  50 <p_>Another sign that Henry Talbot was emerging from melancholy was 
J60  51 his December 1832 marriage to Constance Mundy, of Markeaton. The 
J60  52 youngest daughter of the MP for Derbyshire, she came from a family 
J60  53 possessed of more than the usual artistic interests and was a 
J60  54 reasonably accomplished amateur sketcher herself. Constance's 
J60  55 cheerful countenance was an important foil to Talbot's occasionally 
J60  56 brooding behavior. She was highly supportive of Henry's efforts and 
J60  57 proved to be a good moderator for the well-motivated ambitions of 
J60  58 Lady Elisabeth. However successful in this, Constance never became 
J60  59 the intellectual partner to Henry that Maggie was to John Herschel. 
J60  60 The evidence for this is distressingly clear. Since Henry spent 
J60  61 much time away from home, his correspondence to and from Constance 
J60  62 is voluminous. It is perhaps understandable that she carried on no 
J60  63 discourse about her husband's highly-specialized researches. But it 
J60  64 is extraordinary that Constance, as an amateur artist herself, 
J60  65 never once made any serious assessment of any of Henry's 
J60  66 photographs. Constance rarely commented on his subjects and 
J60  67 virtually never made suggestions for possible photographs. When 
J60  68 Constance was vacationing separately in Wales in 1835, at a time 
J60  69 when Henry's interest in his new discovery was at its first peak, 
J60  70 she wrote that <quote_>"I wish you could have taken the outline of 
J60  71 the castle & fine elms behind just as I saw them - but I think you 
J60  72 told me you could not produce the desired effect by any light 
J60  73 except that of the sun."<quote/> But even this breezy comment was 
J60  74 an exception. Her very occasional references to photography after 
J60  75 it became public in 1839 indicate that she made some attempts to 
J60  76 sensitize paper and make some prints; however, they betray a very 
J60  77 superficial understanding of how the process worked. Perhaps 
J60  78 Constance Talbot's artistic training exerted some influence on her 
J60  79 husband during his picture making, but one is disappointed in 
J60  80 efforts to trace hints of such an influence in their 
J60  81 correspondence. Constance's understanding of her husband's work, 
J60  82 including his photography, was conversational, and her role was to 
J60  83 be minimal. It would be an overstatement to call her a 
J60  84 photographer.<p/>
J60  85 <p_>Completing his article on colored flames in 1826, Talbot had 
J60  86 explained to Herschel, that <quote_>"as I am not acquainted with Dr 
J60  87 Brewster perhaps you will have the kindness to transmit 
J60  88 it."<quote/> The relationship between Talbot and Sir David Brewster 
J60  89 obviously flourished, for, judging by the surviving correspondence, 
J60  90 Brewster and Talbot were in regular contact at least by 1833 and 
J60  91 were good friends by 1836. They shared interests in light and 
J60  92 perhaps some personality traits as well. Brewster; as influential 
J60  93 as he was, struck many as an abrasive personality. He had many 
J60  94 admirers but few friends. Talbot was reclusive by nature but the 
J60  95 two men hit it off very well. A letter from Constance to Lady 
J60  96 Elisabeth written on the occasion of Sir David's visit to Lacock 
J60  97 Abbey in August 1836, is particularly revealing of Talbot' 
J60  98 character:<p/>
J60  99 <p_><quote_>You are perfectly right in supposing Sir D. B. to pass 
J60 100 his time pleasantly here. He wants nothing beyond the pleasure of 
J60 101 conversing with Henry discussing their respective discoveries & 
J60 102 various subjects connected with science. I am quite amazed to find 
J60 103 that scarcely a momentary pause occurs in their discourse. Henry 
J60 104 seems to possess new life - & I feel certain that were he to mix 
J60 105 more frequently with his own friends we should never see him droop 
J60 106 in the way which now so continually annoys us. I am inclined to 
J60 107 think that many of his ailments are nervous - for he certainly does 
J60 108 not look ill. I hear from Sir David that he <tf|>distinguished 
J60 109 himself at the Meeting in a conversation on the Improvement of the 
J60 110 Telescope. ... When I see the effect produced in Henry by Sir D.B's 
J60 111 society I feel most acutely how dull must our ordinary way of life 
J60 112 be to a mind like his! - and yet he shuts himself up from 
J60 113 choice.<quote/><p/>
J60 114 <p_>Henry Talbot would never achieve the same levels of fame that 
J60 115 Herschel (unwillingly!) reached. His scholarly contributions were 
J60 116 generally less influential; much of this stemmed from the fact that 
J60 117 he rarely took on the more general questions of the organization 
J60 118 and role of science that Herschel approached. Unlike Herschel's 
J60 119 minutely detailed and lengthy treatises, Talbot's journal 
J60 120 publications tended to be very short. Frequently they reflected 
J60 121 scientific concerns common to the day and were just as often as 
J60 122 suggestive as they were declarative. Even so, Talbot made two 
J60 123 fundamental contributions to science before photography was even 
J60 124 announced. These stemmed from a growing awareness in Talbot's time 
J60 125 of the interrelationship between forms of energy and matter. Talbot 
J60 126 made one very practical contribution that is still in use today. In 
J60 127 July 1834, he read a paper to the Royal Society summarizing his 
J60 128 experiments on light: <quote_>"I have lately made this branch of 
J60 129 optics a subject of inquiry, and I have found it so rich in 
J60 130 beautiful results as entirely to surpass my expectations."<quote/> 
J60 131 In this, Talbot revealed his discovery of the <tf_>polarizing 
J60 132 microscope<tf/>; his method of placing one polarizer close to the 
J60 133 eyepiece and another below the stage is still considered highly 
J60 134 effective. It provides an increase in contrast between the subject 
J60 135 and the background and is an important tool in the analysis of 
J60 136 internal structure. Talbot applied it immediately to studying the 
J60 137 structure of crystals. <p/>
J60 138 <p_>Whereas the polarizing microscope was a discrete invention of 
J60 139 Talbot's, his work in <tf_>spectral analysis<tf/> ( the analyzing 
J60 140 of the physical makeup of substances through optical means) was 
J60 141 more in the nature of fundamental contributions to the beginnings 
J60 142 of an important branch of science. As Talbot was to remember in 
J60 143 later years:<p/>
J60 144 <p_><quote_>About the year 1824 or 1825, Dr. Wollaston gave one of 
J60 145 his evening parties, to which men of science and amateurs were 
J60 146 invited and it was the custom to exhibit scientific novelties, and 
J60 147 to make them the subject of conversation.<p/>
J60 148 <p_>On the evening in question I brought as my contribution to the 
J60 149 meeting some very thin films of glass (such as are shown in 
J60 150 glass-houses to visitors by a workman, who blows a portion of 
J60 151 melted glass into a large balloon of extreme tenacity, and 
J60 152 afterwards crushes the glass to shivers.) Such a film of glass I 
J60 153 brought to Dr. Wollaston and his friends, and after showing that in 
J60 154 the well-lighted apartment it displayed a uniform appearance 
J60 155 without any markings, I removed it into another room, in which I 
J60 156 had prepared a spirit lamp, the wick of which had been impregnated 
J60 157 with common salt. When viewed by this light, the film of glass 
J60 158 appeared covered with broad nearly parallel bands, which were 
J60 159 almost black, and might be rudely compared to the skin of a 
J60 160 zebra.<quote/><p/>
J60 161 <p_>Talbot's optical 'zebra skin' in fact provided some of the 
J60 162 earliest evidence of the presence of the lines of sodium. These 
J60 163 bands had been discovered by Josef von Fraunhofer (the same man who 
J60 164 was the cause of Herschel's and Talbot's first meeting). Henry 
J60 165 Talbot's first non-mathematical journal article, his 1826 
J60 166 'Experiments on Coloured Flames,' was a foundation stone for 
J60 167 spectral analysis. The following year, Herschel incorporated 
J60 168 Talbot's findings into his treatise on light. Two types of objects 
J60 169 can be analyzed this way. In <tf|>absorbent subjects (where the 
J60 170 effect of incident light is analyzed), important pioneering work 
J60 171 was done by Sir David Brewster and others. In the treatment of 
J60 172 <tf|>self-luminous subjects (such as the sun), Talbot and Herschel 
J60 173 were the pioneers. Many of their subsequent publications returned 
J60 174 to this subject of study.<p/>
J60 175 <p_>Henry Talbot, through his substantial family connections and 
J60 176 through his own efforts, now exercised a certain amount of 
J60 177 political influence. An excellent demonstration of this was his 
J60 178 effective support for the establishment of a national botanic 
J60 179 garden at Kew. Long known as 'the Royal Vegetable Patch', Kew had 
J60 180 declined by 1838 to a most precarious position and was threatened 
J60 181 with closure. Talbot's longtime botanical friend, Sir William 
J60 182 Jackson Hooker (recently knighted for his botanical contributions), 
J60 183 led the fight to establish a national collection. Agreeing that 
J60 184 <quote_>"it would be a pity indeed if Kew Gardens were to be 
J60 185 sacrificed to a pitiful & false economy,"<quote/> Talbot persuaded 
J60 186 his influential relatives to take up the cause. He met with the 
J60 187 Chancellor of the Exchequer, determined that petitions to 
J60 188 Parliament from learned societies would have great weight, and 
J60 189 proposed to the Council of the Linnean Society that they present a 
J60 190 petition to the House of Commons. His idea was accepted 
J60 191 unanimously. By May, Talbot could report to Hooker that the 
J60 192 Chancellor of the Exchequer <quote_>"spoke confidently to me last 
J60 193 night that something satisfactory would be done about Kew Garden. 
J60 194 ..."<quote/> Although he was leaving town and could be of no 
J60 195 further assistance, <quote/>"I trust that it is put into a right 
J60 196 train, & will issue favourably."<quote/> This support was perhaps 
J60 197 Talbot's greatest and most effective contribution to the politics 
J60 198 of science. Kew was saved and revitalized that year; in 1841, 
J60 199 Hooker became its new director.<p/>
J60 200 <p_>When considering the dynamics of the beginnings of photography, 
J60 201 to paint Talbot as being junior to Herschel, as is often done, is 
J60 202 terribly misleading. No one was like Herschel and only a few even 
J60 203 approached his status.
J60 204 
J61   1 <#FROWN:J61\>Instead of focusing just on how her sympathy feels, 
J61   2 she remains interested in understanding what provokes it, what 
J61   3 responses it provokes in others, how it reflects childhood 
J61   4 experience. Somewhere along the way, however, she finds that she 
J61   5 takes great pleasure in contemplating (if rather coolly) the 
J61   6 <tf|>fact of her feeling sympathy when she does; there is something 
J61   7 exactly right about it, she finds, that makes it worth appreciating 
J61   8 apart from its mere psychological significance or effect on others: 
J61   9 like a dancer's gesture or a poet's turn of phrase, it is, somehow, 
J61  10 satisfying to behold. Or perhaps the response itself is nothing 
J61  11 special; it becomes interesting only through beholding it as 
J61  12 Bullough's aesthete beholds the fog at sea: she neither anxiously 
J61  13 interrogates it for clues about her psychological health or her 
J61  14 moral worth, nor is she so detached that she is indifferent to it 
J61  15 altogether. Instead, she has learned how to contemplate, with 
J61  16 appreciation and from the 'proper psychical distance,' the mere 
J61  17 fact of it. This, too, counts as an aesthetic meta-response.<p/>
J61  18 <p_>No doubt, there is something vaguely troubling about routinely 
J61  19 aestheticizing one's feelings. But even more troubling is the habit 
J61  20 of aestheticizing feelings that play a central role in our moral 
J61  21 lives.<p/>
J61  22 <h|>IV
J61  23 <p_>Feagin's failure to note the aesthetic character of some of our 
J61  24 meta-responses underlies a further important difference between our 
J61  25 views. She thinks such responses are a good thing, from a moral 
J61  26 point of view, while I am not convinced they are. I am skeptical in 
J61  27 part because the aesthetic and moral points of view often conflict; 
J61  28 and when they do, the aesthetic often triumphs, if in unexpected 
J61  29 and subtle ways.<p/>
J61  30 <p_>The extent and obviousness of the conflict vary, as do the ways 
J61  31 we resolve it. Formalist purists go far enough when they proclaim, 
J61  32 with Clive Bell, that while content may or may not be harmful to 
J61  33 aesthetic experience, always it is irrelevant. Formalists of this 
J61  34 sort pay attention only to the look or sound or structure of 
J61  35 things; moral concerns, like content, are beside the point. But one 
J61  36 can go further. Consider the Futurists, whose sensibility echoes in 
J61  37 confused and disturbing ways through contemporary culture. One 
J61  38 Futurist goal seems to be to reject morality altogether by 
J61  39 aestheticizing (rather than ignoring) just those aspects of a 
J61  40 situation which would ordinarily be most appalling:<p/>
J61  41 <p_><quote_>We will glorify war ... militarism, patriotism, the 
J61  42 destructive gesture of anarchist<&|>sic!, the beautiful Ideas which 
J61  43 kill .... Art can only be violence, cruelty, and 
J61  44 injustice.<quote/><p/>
J61  45 <p_>Of course, most of us are even less likely to be Futurists than 
J61  46 formalist purists. If we would feel uneasy ignoring moral content 
J61  47 for the sake of aesthetic satisfaction, we would be outraged at the 
J61  48 glorification of immorality, in life or art. But compromises, 
J61  49 especially confusing ones, can be struck.<p/>
J61  50 <p_>One sort of compromise involves a kind of response that, unlike 
J61  51 the formalist's, attends to morally compelling content, but not for 
J61  52 the Futurist purpose of rejecting morality. This seems a step in 
J61  53 the right direction; paying attention to a work's morally 
J61  54 compelling content seems to be an improvement, from a moral point 
J61  55 of view, over ignoring it. But, as we have seen, Danto worries that 
J61  56 when we confront a work of art, we respond <tf|>aesthetically even 
J61  57 to morally compelling content. And this is wrong, for Danto, 
J61  58 because representations of human misery demand moral rather than 
J61  59 aesthetic response. Indeed, one might even argue that 
J61  60 aestheticizing what we should respond to morally may be worse than 
J61  61 ignoring it as the formalist does.<p/>
J61  62 <p_>I do not doubt that the sort of response Danto describes 
J61  63 sometimes occurs. But just as Bell's formalism fails as a 
J61  64 descriptive theory by ignoring audiences' widespread concern with 
J61  65 content, Danto's view fails to recognize how fictional portrayals 
J61  66 of human misfortune may engage most people's moral responses. Danto 
J61  67 seems to imply that even if one writes a play for the sake of 
J61  68 making a moral difference, the project is doomed from the start; 
J61  69 injustice, as soon as it becomes the subject of the play, is put 
J61  70 <quote_>"at a distance which is exactly wrong from a moral 
J61  71 perspective."<quote/> However, if my analysis is correct, we may, 
J61  72 after all, have our moral cake and the aesthetic pleasure of eating 
J61  73 it, too: We respond to the injustice morally rather than 
J61  74 aesthetically, but then diminish the moral significance of this 
J61  75 first-order moral response by aestheticizing it.<p/>
J61  76 <p_>Something like this may be going on with Alice Walker's 
J61  77 character. That the sight of the black woman is for her a 
J61  78 <tf|>weepy miracle suggests not the austere ecstasy that some 
J61  79 formalists talk about, but a pleasure that is born, however 
J61  80 inappropriately, of moral sentiments, in particular those of a 
J61  81 white liberal woman confronting a poor black woman. Here, though, 
J61  82 the character knows it is wrong to treat black people as art, as a 
J61  83 means to those weepy but enjoyable sentiments. So the character 
J61  84 falls somewhat short of a full-blown aesthetic meta-response: her 
J61  85 guilt keeps her from fully enjoying her sensations, let alone from 
J61  86 contemplating how fine they are.<p/>
J61  87 <h|>V
J61  88 <p_>So what exactly is wrong with aesthetic meta<?_>-<?/>responses 
J61  89 to tragedy? To answer this question, we must look more closely 
J61  90 still at what counts as such a meta-response, and we must talk 
J61  91 about the moral significance of sympathy itself. We must also 
J61  92 consider whether such responses, even if inappropriate in 'real 
J61  93 life', are unobjectionable in our experience of fiction. The best 
J61  94 way into this labyrinth is through a more thorough look at Feagin's 
J61  95 view.<p/>
J61  96 <p_>That Feagin doesn't consider the possibility of aesthetic 
J61  97 meta-responses may make it easier for her to sing their moral 
J61  98 praises. Given the tension between the aesthetic and the moral 
J61  99 points of view, it may be easier to exonerate morally, if not 
J61 100 celebrate, the pleasures we take in tragedy if we do not understand 
J61 101 these pleasures to be aesthetic ones. Indeed, Feagin avoids the 
J61 102 traditional notion of the aesthetic altogether. When she talks 
J61 103 about aesthetic response and aesthetic pleasure, she is simply 
J61 104 using 'aesthetic' as a synonym for 'artistic'; she is not using the 
J61 105 language of aesthetic-response theorists. At one point she even 
J61 106 implies that differentiating between direct and meta-responses to 
J61 107 art may allow us to avoid talk about aesthetic response altogether. 
J61 108 Nevertheless, some of what Feagin says about these meta-responses 
J61 109 seems to indicate that she has aesthetic ones in mind. This, we 
J61 110 shall see, makes it easier to question their moral credentials.<p/>
J61 111 <p_>Why does Feagin find meta-response to tragedy praiseworthy? 
J61 112 First, she claims that the sympathy we enjoy when we respond to 
J61 113 tragedy also underlies our capacity for moral action. But does this 
J61 114 establish its special moral status? Here I think we must inquire 
J61 115 further into the grounds of our pleasure. One might say, <quote_>"I 
J61 116 am glad I can sympathize; sympathy helps me to be a better person, 
J61 117 to care about others, to do what needs to be done. Helping others 
J61 118 is important, and sympathy is part of this, if not a means to this 
J61 119 end."<quote/> Insofar as we sincerely give this sort of 
J61 120 explanation, our meta-response is a moral rather than an aesthetic 
J61 121 one. Furthermore, it seems more natural here to talk about 
J61 122 <tf|>valuing or <tf_>appreciating one's capacity<tf/> to be moved 
J61 123 by the suffering of others than about <tf_>taking pleasure in<tf/> 
J61 124 or <tf_>enjoying the feeling of<tf/> being moved. The latter sort 
J61 125 of language, which suggests that we savor a feeling in abstraction 
J61 126 from a larger moral context, as we would the look of a painting or 
J61 127 the sound of a symphony, seems to be a paradigmatic case of the 
J61 128 sort of quasi-perceptual aesthetic meta<?_>-<?/>response I discuss 
J61 129 above.<p/>
J61 130 <p_>To be fair, I should note that Feagin does once use the word 
J61 131 'satisfaction.' But elsewhere her emphasis is different. Consider 
J61 132 how she explains the moral difference between taking pleasure in 
J61 133 one's reaction to fictional suffering and taking pleasure in one's 
J61 134 reaction to the real thing. When we sympathize with merely 
J61 135 fictional suffering, Feagin points out, our enjoyment of our 
J61 136 reaction does not have the price of other's pain:<p/>
J61 137 <p_><quote_>In real life, the importance of human compassion is 
J61 138 easily overshadowed by the pain of human suffering. It is not 
J61 139 possible in real life to respond to the importance of human 
J61 140 sympathy as a distinct phenomenon, since that sympathy depends on, 
J61 141 one might even say 'feeds on,' human misery. It is not, in life, an 
J61 142 unequivocal good. In art, however, one experiences real sympathy 
J61 143 without there having been real suffering, and this is why it is 
J61 144 appropriate to feel pleasure at our sympathetic responses to a work 
J61 145 of art, whereas it is not appropriate to feel pleasure at our 
J61 146 sympathetic responses in reality. There the sympathy comes at too 
J61 147 great a cost.<quote/><p/>
J61 148 <p_>This may be true enough. But here, again, the enjoyment of our 
J61 149 sympathy seems to be an end in itself, far removed from its moral 
J61 150 context - especially any connection to the practical action 
J61 151 sympathy often motivates in the real world. Indeed, given that 
J61 152 Feagin is talking about the <tf|>moral significance of our 
J61 153 meta-response, it is odd that she doesn't say more here about the 
J61 154 connection between sympathy and action, if only to strengthen her 
J61 155 case by pointing out that we need not worry about rescuing a 
J61 156 fictional victim. On the other hand, if a concern with acting, when 
J61 157 we can and as we should, does not somehow figure into our 
J61 158 meta-response, how morally significant can it be?<p/>
J61 159 <p_>Another sign that Feagin has in mind an aesthetic meta-response 
J61 160 is her admission that this pleasurable meta-response would be 
J61 161 morally inappropriate in a real situation. But unless she means an 
J61 162 <tf|>aesthetic meta-response, there would be no moral impropriety; 
J61 163 after all, if our meta-response reflects only a concern with doing 
J61 164 the right thing, there would be nothing wrong in saying, for 
J61 165 example, <quote_>"I'm glad I could sympathize with her; it made her 
J61 166 feel less alone,"<quote/> or even <quote_>"I'm glad that after all 
J61 167 I've been through I can still feel for people."<quote/> We need not 
J61 168 regard another's pain as a means to a self-congratulatory, 
J61 169 narcissistic end; rather, through our feelings we may come to 
J61 170 understand and ease another's pain and, perhaps, become better 
J61 171 people. But this means just that not all meta<?_>-<?/>responses to 
J61 172 sympathy are aesthetic ones, and that the moral (as opposed to the 
J61 173 aesthetic) significance of sympathy does not rest in its being 
J61 174 valued as an end in itself.<p/>
J61 175 <p_>Determining the moral status of sympathy is, of course, an old 
J61 176 and thorny problem. J.S. Mill complained that some of his 
J61 177 contemporaries regarded the sympathies as <quote_>"necessary evils, 
J61 178 required for keeping men's actions benevolent and 
J61 179 compassionate."<quote/> Such a view certainly is too harsh. But 
J61 180 surely the moral significance of sympathy emerges as part of a 
J61 181 larger moral picture, including a commitment to understanding those 
J61 182 with whom one sympathizes and to acting when appropriate. Without 
J61 183 such connections, the feeling of being at one with humankind seems, 
J61 184 from a moral point of view, neither here nor there. If a world of 
J61 185 purely rational Kantian agents, completely dutiful and completely 
J61 186 unfeeling, is a grim prospect, a world of sensitive souls so 
J61 187 involved in sympathy that they are distracted from or uninterested 
J61 188 in understanding and acting on the situation at hand may be even 
J61 189 worse.<p/>
J61 190 <p_>Indeed, in the nineteenth century, obsession with sympathy drew 
J61 191 criticism on just these grounds. Historian Walter Houghton puts it 
J61 192 this way: the cult of benevolence, typified by Dickens and Eliot, 
J61 193 <quote_>"took a new direction in the nineteenth century when the 
J61 194 misery of the industrial workers became sufficiently apparent to 
J61 195 demand redress - and all the more so because it constituted a 
J61 196 threat to social order. If one solution proposed [by Carlyle and 
J61 197 Arnold] was a more earnest sense of social duty, another lay in 
J61 198 quickening the moral sensibility to an acute sympathy for suffering 
J61 199 humanity."<quote/> Such a sensibility, however, may care more for 
J61 200 sentiment than for understanding and eliminating the conditions 
J61 201 that give rise to it. Houghton sees this tendency culminating in 
J61 202 the aestheticism of Walter Pater, for whom morality was 
J61 203 <quote_>"<tf|>all sympathy,"<quote/> contemplation the end of life, 
J61 204 and the job of the artist to disengage our thoughts from life and 
J61 205 fix them, <quote_>"with appropriate emotions, 'on the great and 
J61 206 universal passions of men.'"<quote/><p/>
J61 207 
J62   1 <#FROWN:J62\><h_><p_>Nevinson's Elegy: <tf_>Paths of Glory<tf/><p/>
J62   2 <p_>CHARLES E. DOHERTY<p/><h/>
J62   3 <p_>Christopher Richard Wynne Nevinson (1889-1946) was among the 
J62   4 first British artists to witness the horrors of the First World 
J62   5 War. A volunteer ambulance driver on the western front, Nevinson 
J62   6 observed the suffering and carnage resulting from the new trench 
J62   7 warfare in the winter of 1914-15. He returned to the front in 1917 
J62   8 as a member of the British government's official war-artists' 
J62   9 program. For the program Nevinson produced a controversial 
J62  10 painting, <tf_>Paths of Glory (fig. 1)<tf/>, that was banned from 
J62  11 his one-person show at the Leicester Galleries, London, in March 
J62  12 1918. The exhibition took place at a time during the war when 
J62  13 morale seemed at its lowest, and the government supposedly censored 
J62  14 the painting because it portrayed dead British soldiers. Since 
J62  15 other contemporaneous paintings and photographs of Allied and enemy 
J62  16 war dead were shown in London galleries and reproduced in the 
J62  17 British press, the reason for the censorship of Nevinson's 
J62  18 <tf_>Paths of Glory<tf/> demands further investigation.<p/>
J62  19 <p_>Nevinson was the son of two eminent figures in British society, 
J62  20 the <tf_>Manchester Guardian<tf/> war correspondent Henry Woodd 
J62  21 Nevison (1856-1914) and the suffragist writer Margaret Wynne 
J62  22 Nevinson (1860?-1932). The progressive Nevinson household became 
J62  23 involved in Futurist activities during F.T. Marinetti's prewar 
J62  24 visits to London. The younger Nevinson joined forces with Marinetti 
J62  25 to write the only English Futurist manifesto, 'Vital English Art,' 
J62  26 published in the <tf|>Observer on June 7, 1914. Although stopping 
J62  27 short of the warmongering rhetoric of earlier Italian manifestos, 
J62  28 the English proclamation, like its Italian counterparts, urged that 
J62  29 society be cleansed of her ills, her tired platitudes, and 
J62  30 long-worshiped traditions and extolled the virtues of sport, 
J62  31 adventure , and the heroic instinct of discovery.<p/>
J62  32 <p_>A quest for adventure may have drawn Nevinson to the Friend's 
J62  33 Ambulance Service, a group of Quaker volunteers who risked their 
J62  34 lives tending the injured and dying in Flanders. Following his 
J62  35 arrival in Dunkirk on November 13, 1914, he observed death on a 
J62  36 daily basis; on one occasion his ambulance was blown up. His 
J62  37 personal experience of the grisly results of aerial bombardment and 
J62  38 automatic weaponry proved advantageous in producing early, 
J62  39 innovative, modern images of the war.<p/>
J62  40 <p_>When the fatigued Nevinson returned to London on January 30, 
J62  41 1915, suffering from rheumatic fever, one newspaper reporter stated 
J62  42 that the Futurist artist was a victim of neurasthenia, or shell 
J62  43 shock. Nevinson denied the accusation, calling the war <quote/>"a 
J62  44 violent incentive to Futurism"<quote/> and proclaiming, in a 
J62  45 quotation borrowed from Italian Futurist manifestos: <quote_>"There 
J62  46 is no beauty except in strife, no master<?_>-<?/>piece without 
J62  47 aggressiveness."<quote/> H. W. Nevinson's journal entry of October 
J62  48 25, 1914, however, indicates that his son was interested, even 
J62  49 prior to visiting the front, in distancing himself from the 
J62  50 Futurist movement.<p/>
J62  51 <p_>Following a period of convalescence, Nevinson enlisted in the 
J62  52 Royal Army Medical Corps and served as an orderly in a London 
J62  53 military hospital. He was invalided out in late 1915, due to 
J62  54 recurring rheumatic fever. During 1915 and 1916, he produced 
J62  55 Cubofuturist portrayals of fighting men, exploding shells, and 
J62  56 destroyed landscape. One early image, <tf_>Returning to the 
J62  57 Trenches (fig. 2)<tf/>, of 1914?-15, captures the buoyant mood of 
J62  58 marching French soldiers, equipped with kits and bayonets. Their 
J62  59 feet barely touch the ground as they move in synchronized formation 
J62  60 toward the front.<p/>
J62  61 <p_>This oil on canvas, along with Nevinson's other representations 
J62  62 of marching men, is sometimes associated with Vorticism, the 
J62  63 short-lived British abstract-art movement. Although a woodcut 
J62  64 version of it, titled <tf_>On the Way to the Trenches<tf/>, was 
J62  65 reproduced in the second issue of Wyndham Lewis's Vorticist 
J62  66 publication <tf|>Blast, the painted version, in its emphasis on 
J62  67 simultaneity, lines of force, and fractured planes of colour, 
J62  68 derives its abstract qualities more from Futurism than 
J62  69 Vorticism.<p/>
J62  70 <p_>Expressing none of the action and vitality of war, his <tf_>La 
J62  71 Patrie (fig. 3)<tf/> of 1916 anticipates the grim portrayal of war 
J62  72 dead in <tf_>Paths of Glory<tf/>. Both are among the most moving 
J62  73 British paintings of the First World War. Set in the poorly lit 
J62  74 wooden shed that served as a casualty clearing station in the 
J62  75 Dunkirk railyard, <tf_>La Patrie<tf/> depicts row upon row of 
J62  76 casualties lying on stretchers on a straw-covered floor. The 
J62  77 clearing station was known as 'the Shambles,' and Nevinson later 
J62  78 described the blood, stench, typhoid, and agony in which six 
J62  79 workers attempted to rescue more than three thousand maimed and 
J62  80 dying men.<p/>
J62  81 <p_>Despite its portrayal of grimacing faces, bloody bandages, and 
J62  82 squalid conditions resembling those of a temporary morgue, <tf_>La 
J62  83 Patrie<tf/> presented no problem for the British censoring 
J62  84 authority. Not only was its exhibition permitted twice in 1916 (in 
J62  85 June and September-October), it was praised by critics, reproduced 
J62  86 in newspapers, and included in a 1917 volume of Nevinson's war 
J62  87 images. One reviewer hailed the artist for his non-flag-waving, 
J62  88 non-drum-beating depiction of war, while the influential P. G. 
J62  89 Konody stated that <quote_>"C. R. W. Nevinson stands alone, in 
J62  90 England, as the painter of modern war."<quote/> Thus, an image 
J62  91 portraying the pain and suffering of Allied soldiers, which not 
J62  92 only implied the possibility of death but questioned the 
J62  93 invincibility of the British forces, was sanctioned by the British 
J62  94 government in 1917.<p/>
J62  95 <p_>Under the direction of the journalist and politician Charles F. 
J62  96 G. Masterman and, later, the novelist John Buchan, the government 
J62  97 hired artists to produce eyewitness accounts of the war after June 
J62  98 1916. These artists retained ownership of their work, while the 
J62  99 Department of Information (known as the Ministry of Information 
J62 100 after February 1918) had right of first refusal to purchase and use 
J62 101 the art to illustrate propaganda literature. Nevinson, who departed 
J62 102 for France and Belgium as an official war artist on July 5, 1917, 
J62 103 was the first of the young avant-garde artists to be hired for the 
J62 104 innovative program. He toured the British line until mid-August, 
J62 105 returned to London, and produced more than seventy-five paintings, 
J62 106 drawings, and prints over the following seven months.<p/>
J62 107 <p_>The controversy surrounding <tf_>Paths of Glory<tf/> began on 
J62 108 November 24, 1917, when Masterman asked Alfred Yockney, the former 
J62 109 editor of the London <tf_>Art Journal<tf/>, who served as an 
J62 110 advisor within the Department of Information, to show him two of 
J62 111 Nevinson's paintings. One of these Masterman called 'Dead Men.' 
J62 112 Five days later, the department's censor, Major A. N. Lee, voiced 
J62 113 an objection to the one portraying dead British soldiers. Although 
J62 114 it would not yield <quote_>"military information to the 
J62 115 enemy,"<quote/> he wrote to Yockney, its <quote_>"subject matter 
J62 116 raises a point of policy."<quote/> Given a probable concern for 
J62 117 public morale, he deemed it necessary to consult the War Office for 
J62 118 their opinion, and refused to permit the work to be released.<p/>
J62 119 <p_>The elder Nevinson accompanied his son to the government 
J62 120 offices on December 4 for a meeting with Buchan, the director of 
J62 121 information. They wished to learn more about Lee's reason for 
J62 122 suppressing the work. They learned that two Nevinson paintings, 
J62 123 <tf_>Paths of Glory<tf/> and an oil titled <tf_>A Group of Soldiers 
J62 124 (fig. 4)<tf/>, were considered hindrances to the war effort. The 
J62 125 latter, a painting of four Tommies standing at ease, was suppressed 
J62 126 because of its purportedly unflattering representation of British 
J62 127 soldiers, who were thought to resemble mannequins or ventiloquists' 
J62 128 dummies. On this painting Lee's decision was later overruled by 
J62 129 Masterman, who claimed that paintings should only be censored 
J62 130 <quote_>"from a military point of view,"<quote/> rather than an 
J62 131 aesthetic one. <tf_>A Group of Soldiers<tf/> was approved for 
J62 132 exhibition and reproduction on December 13, 1917, and for inclusion 
J62 133 in Nevinson's one-person show the following March, but <tf_>Paths 
J62 134 of Glory<tf/> was not.<p/>
J62 135 <p_>The artist did not fare as well with Lee regarding this 
J62 136 painting. Although no details of the Nevinsons' meeting with Buchan 
J62 137 survive, most likely they were told what Yockney was reporting to 
J62 138 Masterman, that <quote_>"representations of the dead have an 
J62 139 ill-effect at home"<quote/> and that all such paintings were 
J62 140 <quote_>"now rigidly suppressed."<quote/> The painting was 
J62 141 purchased by the government in January 1918, perhaps as a means of 
J62 142 acquiring full control over its use and reproduction.<p/>
J62 143 <p_>The brown-and-green oil on canvas depicts two dead British 
J62 144 soldiers sprawled on a hillside littered with rifles, helmets, and 
J62 145 barbed wire. The soldiers appear, compositionally, to recede from 
J62 146 the lower left to the upper right of the canvas. Unlike 
J62 147 <tf_>Returning to the Trenches<tf/>, in which military might is 
J62 148 suggested by an infinitely long line of marching men, <tf_>Paths of 
J62 149 Glory<tf/> portrays the human cost of war, with a recessive line 
J62 150 implying an untold number of dead beyond the limits of the canvas. 
J62 151 A mood of morbidity and death is heightened through use of an 
J62 152 eerie, unnatural light that casts aqua-colored shadows across the 
J62 153 dead soldiers and the debris that surrounds them. The small zone of 
J62 154 background sky is transected by a skeletal web of posts and barbed 
J62 155 wire, and appears only at the very top of the composition, 
J62 156 conveying a sense of restriction, rather than liberation.<p/>
J62 157 <p_>Scenes of inglorious death in the trenches resembling that in 
J62 158 Nevinson's painting were commonplace along the front line that 
J62 159 stretched from the North Sea coast of Belgium to Switzerland. 
J62 160 Burial in a prepared grave was often an impossibility: bodies were 
J62 161 frequently left where they fell, sometimes used as shields for 
J62 162 trench reinforcement, as gun supports, or as guideposts. The living 
J62 163 became accustomed to the sight of trenches <quote_>"rotthen with 
J62 164 dead,"<quote/> who looked <quote_>"like ghastly dolls, grotesque 
J62 165 and undignified,"<quote/> as the poet and soldier Siegfried Sassoon 
J62 166 described them. Nevertheless, the British government preferred that 
J62 167 the public at home be shielded from knowledge of such images.<p/>
J62 168 <p_><tf_>Paths of Glory<tf/> was painted in November and December 
J62 169 1917, during the blackest period of Nevinson's war years, when the 
J62 170 government was calling up discharged soldiers and previously 
J62 171 reflected men to replenish the drastically depleted ranks at the 
J62 172 front. Among those under review were men suffering from 
J62 173 neurasthenia and shell shock. Entries in H. W. Nevinson's journals 
J62 174 of the winter of 1917-18 provide proof that his son was depressed, 
J62 175 extremely fearful of returning to the front, and a patient of the 
J62 176 eminent British neurologist Sir Henry Head. The younger Nevinson's 
J62 177 depression during these dark days was exacerbated by his desire to 
J62 178 succeed in the war-artists' program, which he viewed as his only 
J62 179 means of avoiding conscription. He had failed in an earlier attempt 
J62 180 to emigrate from Great Britain after Parliament began debating the 
J62 181 issue of reexamining discharged soldiers. Therefore, the idea that 
J62 182 the Futurist sympathizer and former member of the rebel avant-garde 
J62 183 deliberately chose to paint an alarming or potentially 
J62 184 controversial work of art for political or personal reasons during 
J62 185 these traumatic and difficult months is not consonant with his 
J62 186 profound wish to remain in the good graces of government officials 
J62 187 at the time. His other official war art, in a more representational 
J62 188 and stylistically conservative mode than his 1914-16 innovations, 
J62 189 also bears this out.<p/>
J62 190 <p_>Nevionson's shift toward a more representational style may have 
J62 191 been independent of his commitment to the government-sponsored art 
J62 192 program. After the trauma and illness following his service at the 
J62 193 front, he appears to have distanced himself from the Futurist 
J62 194 rhetoric of 1914-15, regarded by some as having contributed to the 
J62 195 war's madness. Moreover, this shift is in keeping with a similar 
J62 196 move on the Continent toward more legible and orderly stylistic 
J62 197 tendencies during the mid and late teens.<p/>
J62 198 <p_>A crowd of dignitaries and luminaries from the military and art 
J62 199 worlds, as well as invited members of society, gathered at the 
J62 200 Leicester Galleries on March 1 to see Nevinson's exhibition and to 
J62 201 hear an opening speech by the newly appointed minister of 
J62 202 information, Lord Beaverbrook. Their surprise at and intrigue with 
J62 203 one painting in a semidisguised state was recorded in the press: 
J62 204 despite its proscription Nevinson had hung <tf_>Paths of Glory<tf/> 
J62 205 and placed a piece of brown paper diagonally across it, covering 
J62 206 the dead soldiers. Upon the paper he had written in bold letters 
J62 207 <quote|>"CENSORED."<p/>
J62 208 <p_>The press photographed and reproduced the painting in its 
J62 209 altered state (<tf_>fig. 5<tf/>). One reviewer concluded: 
J62 210 <quote_>"Probably no picture in the Nevinson show excites more 
J62 211 interest and speculation than the one which is partly obscured by 
J62 212 the 'censored' label."<quote/> The issue was raised in the 
J62 213 <tf_>London Mail<tf/>'s column, 'Things We Want to Know,' which 
J62 214 asked, <quote_>"What is hidden by the patch?"<quote/><p/>
J62 215 
J63   1 <#FROWN:J63\>Nonetheless, both ruler and ruled always benefit in 
J63   2 some way - intentionally, accidentally, or indirectly - because 
J63   3 they share some common task or purpose (<tf|>Pol 1254a27-28).<p/>
J63   4 <p_>That ruling and being ruled are according to nature does not 
J63   5 mean that either is easy. What is according to nature appears to be 
J63   6 divine insofar as it appears to be in the best state possible; but 
J63   7 it is not <quote_>"sent by the gods,"<quote/> or the same as 
J63   8 fortune, because it requires effort on our part (<tf|>NE 
J63   9 1099b9-24). Indeed, Aristotle observes, <quote_>"in general, it is 
J63  10 difficult to live together and be partners in any human 
J63  11 activity"<quote/> (<tf|>Pol 1263a15-16). This observation seems to 
J63  12 move Aristotle's notion of the household toward Arendt's 
J63  13 interpretation - that the household is a place of toil yielding no 
J63  14 real satisfaction. According to Aristotle, however, things brought 
J63  15 into being through effort - nature's or man's - are the greatest 
J63  16 and noblest of all things (<tf|>NE 1099b22-24). They thus yield 
J63  17 much pleasure, for <quote_>"actions in accordance with virtue are 
J63  18 by nature always pleasant"<quote/> (1099b13-14). Furthermore, the 
J63  19 difficulty of living together decreases to the extent that the 
J63  20 parties recognize their common aim, a life as complete and 
J63  21 self-sufficient as possible (<tf|>Pol 1280b33-35, 1260b13, 
J63  22 1254a27-28).<p/>
J63  23 <h_><p_>THE AIM OF HOUSEHOLD RULE: VIRTUOUS INDIVIDUALS<p/><h/>
J63  24 <p_>In that the best household's aim is to instill unqualified 
J63  25 moral virtue through some sort of rule, its aim appears to be 
J63  26 indistinguishable from that of the best regime. Moreover, the aims 
J63  27 of the best household and the best regime are alike in that they 
J63  28 both seek to acknowledge the distinctiveness of individual human 
J63  29 beings; according to Aristotle, diversity more than sameness gives 
J63  30 rise to unity (<tf|>Pol 1261a29-30, 22-24). Both the household and 
J63  31 the city should promote similarity in the sense of virtue, but 
J63  32 neither should promote homogeneity (1263b31-32). <quote|>"Habits" 
J63  33 deriving from household activities and <quote|>"laws" from the 
J63  34 regime can together make the city <quote_>"one and common through 
J63  35 education"<quote/> (1263b36-40) without sacrificing diversity. 
J63  36 Nonetheless, as noted earlier, household activities are better 
J63  37 suited to individualized instruction and thus to acknowledgment of 
J63  38 individuality than is public education. Cities, then, should rely 
J63  39 more on households than on laws and public, institutions to 
J63  40 maintain diversified excellence. The question is, <tf|>what should 
J63  41 household rule instill to achieve this diversity?<p/>
J63  42 <p_>According to Aristotle, instilling moderation and judgment 
J63  43 makes human beings virtuous without eradicating any distinctiveness 
J63  44 other than a lack of virtue. The man and the woman of the household 
J63  45 may exercise both moderation and judgment as well as <quote_>"show 
J63  46 who they really and inexchangeably are"<quote/> by selecting and 
J63  47 remaining with each other, managing the household, and caring for 
J63  48 their children. Likewise, children and servants may also acquire 
J63  49 and demonstrate moderation, judgment or understanding, and 
J63  50 distinctiveness by the ways they conduct themselves and respond to 
J63  51 the heads of the household. Indeed, the extent to which members of 
J63  52 the household practice moderation and judgment is itself expressive 
J63  53 of distinctiveness.<p/>
J63  54 <h_><p_>TEACHING MODERATION<p/><h/>
J63  55 <p_>All household members must learn to be moderate toward things 
J63  56 and each other. The various forms of household rule can teach 
J63  57 members moderation by revealing to them the natural ends of their 
J63  58 natural desires (<tf|>Pol 1257b19-34). For example, household 
J63  59 management (rule over the material conditions of a household) 
J63  60 teaches that specific things must fulfill specific needs and 
J63  61 desires: food satiates hunger, a bed satisfies the need for sleep; 
J63  62 money itself cannot satisfy such needs. Thus, household management 
J63  63 teaches human beings to check their desire for money - itself an 
J63  64 unnatural, because unfulfillable, desire. The various household 
J63  65 relationships also teach moderation in various ways. Forming a 
J63  66 household entails the exercise of moderation in that it requires 
J63  67 limiting oneself to one out of many sexual partners and companions. 
J63  68 Parenthood teaches both the parents and the children moderation. 
J63  69 Since children's reasoning powers are not developed, parents must 
J63  70 find the mean between arguments and force which is effective for 
J63  71 teaching their children (<tf|>Pol 1260a13-14, b6-7, 1332b10-11; 
J63  72 <tf|>NE 1179b23-29). It is because children are potentially 
J63  73 reasoning and reasonable beings - or <quote_>"free persons"<quote/> 
J63  74 - that one ought to rule them in <quote_>"kingly fashion"<quote/> 
J63  75 (<tf|>Pol 1259a39-b1, 1253b4, 1285b32). And children, who are not 
J63  76 inclined to be moderate, must learn to be so if they are to live 
J63  77 well (<tf|>NE 1179b24-34). Finally, as the next chapter shows, 
J63  78 ruling slaves teaches both the masters and the slaves 
J63  79 moderation.<p/>
J63  80 <p_>Aristotle's characterization of the ideal household as 
J63  81 requiring the exercise of moderation contrasts with the general 
J63  82 contemporary liberal view according to which what goes on in the 
J63  83 household is entirely a matter for the (undefined) discretion of 
J63  84 household members. Indeed, activities are private according to 
J63  85 Aristotle only when the actors heed the limits established by 
J63  86 nature.<p/>
J63  87 <p_>The moderation learned in the household not only helps to 
J63  88 sustain the household but facilitates all human engagement. 
J63  89 Moderation is both the result of and fosters seeing what is 
J63  90 required for living together. It is thus neither a strictly private 
J63  91 nor a strictly public virtue, and so it - not courage - might be 
J63  92 said to be in Aristotle's eyes the political virtue par 
J63  93 excellence.<p/>
J63  94 <h_><p_>TEACHING JUDGMENT<p/><h/>
J63  95 <p_>In addition to moderation, the good household teaches judgment 
J63  96 (<tf|>Pol 1253a15-18). Forming a household requires judgment in 
J63  97 that it requires choosing a good partner. Raising children involves 
J63  98 judgment as something to be taught. Ruling servants involves 
J63  99 judgment in trying to compensate for the servants' lack of it. What 
J63 100 is pertinent to this inquiry, however, are the ways judgment 
J63 101 required by the household differs from that required by the regime. 
J63 102 One significant difference involves natural affection; another, the 
J63 103 end each aims to realize.<p/>
J63 104 <p_>According to Aristotle, the end of the city is justice, which 
J63 105 all take to be <quote_>"some sort of equality"<quote/> - that is, 
J63 106 equal things for equal persons (<tf|>Pol 1282b14-21). But this 
J63 107 definition encompasses both natural justice, the fundamental 
J63 108 principle of which is proportionality or desert, and conventional 
J63 109 justice, the fundamental principle of which is arithmetical 
J63 110 equality (<tf|>NE 1134a26-28, b18-19). The regime that is 
J63 111 <quote_>"by nature"<quote/> - realized natural justice - is best 
J63 112 (<tf|>NE 1135a5). But since realizing natural justice in a regime 
J63 113 presupposes many deserving human beings and the ability to detect 
J63 114 them - that is, requires fortune and virtue to achieve (<tf|>Pol 
J63 115 1331b21-22, 1277a1-5) - cities should aim first to realize 
J63 116 conventional justice.<p/>
J63 117 <p_>Should the household also then seek conventional or ordinary 
J63 118 justice? In two places, Aristotle says that it should not. 
J63 119 <quote_>"Political justice seems to consist in equality and 
J63 120 parity,"<quote/> <quote_>"but there does not seem to be any justice 
J63 121 between a son and his father, or a servant and his master - any 
J63 122 more than one can speak of justice between my foot and me, or may 
J63 123 hand, and so on for each of my limbs. For a son is, as it were, a 
J63 124 part of his father"<quote/> (<tf|>MM 1194b23, 5-15). As he explains 
J63 125 in the <tf_>Nicomachean Ethics<tf/>, <quote_>"there can be no 
J63 126 injustice in the unqualified sense toward what is one's own, and a 
J63 127 chattel or a child until it reaches a certain age ... is, as it 
J63 128 were, a part of oneself, and no one decides to harm himself. Hence 
J63 129 there can be no injustice toward them, and therefore nothing unjust 
J63 130 or just in the political sense. ... what is just in households ... 
J63 131 is different from what is politically just"<quote/> 
J63 132 (1134b10-17).<p/>
J63 133 <p_>By proceeding immediately to discuss natural justice, Aristotle 
J63 134 suggests that it characterizes the household. The household appears 
J63 135 to be even a paragon of natural justice in that inequalities within 
J63 136 it are evident and determine who rules and who is ruled. And, as 
J63 137 Arlene W. Saxonhouse explains, <quote_>"the family, because its 
J63 138 differences in <tf|>eid<*_>unch<*/> are observable, demonstrates a 
J63 139 unity in diversity which perhaps becomes impossible in political 
J63 140 life. In the <tf|>polis obvious differences in <tf|>eid<*_>unch<*/> 
J63 141 are absent. ... The family with its definition of differences ... 
J63 142 attains a certainty in nature not available to the city."<quote/> 
J63 143 Or, at least, not available to most cities. In other words, it 
J63 144 appears that the household, being a model of natural justice, is a 
J63 145 kind of model for the best regime. Aristotle would apparently like 
J63 146 the natural superiority holding together the (best) household to 
J63 147 hold together the (best) city. Indeed, he may insist on the 
J63 148 preservation of households (in all regimes) because they have the 
J63 149 potential to exemplify perfect unity or justice and by their 
J63 150 examples point the city toward a higher justice.<p/>
J63 151 <p_>Aiming to realize natural, not conventional, justice, the good 
J63 152 household ruler does not treat all members equally or give each a 
J63 153 turn at ruling; rather, it is incumbent on this ruler to detect the 
J63 154 virtues of each member and treat him or her accordingly, giving 
J63 155 guidance or instruction when needed and freedom to make choices 
J63 156 when deserved. The household is a compound of <quote_>"unlike 
J63 157 persons"<quote/> - man, woman, servants, and children - who, 
J63 158 moreover, have multiple functions or obligations - as husband and 
J63 159 father, wife and household manager, son or daughter and future 
J63 160 citizen (<tf|>Pol 1277a5-8, 1253a4-14). There are thus not only 
J63 161 manly virtues, womanly virtues, servile virtues (1277b20-23), and 
J63 162 presumably even youthful virtues but also virtues attached to being 
J63 163 a husband, father, wife, and child. A household thrives when each 
J63 164 member performs his or her function, or upholds his or her 
J63 165 obligations, in accordance with the virtues proper to doing so 
J63 166 (<tf|>NE 1098a14-15).<p/>
J63 167 <p_>The variety of virtues indicates the variety of judgment in the 
J63 168 household. Most notably, the judgment of those ruling differs from 
J63 169 that of those being ruled, as becomes clear when we take into 
J63 170 account the deliberative capacities of each kind of member and 
J63 171 Aristotle's distinctions among intellectual virtues in the 
J63 172 <tf_>Nicomachean Ethics<tf/>. One acquires prudence by repeatedly 
J63 173 putting into effect good judgments about at least one's own 
J63 174 affairs, if not the affairs of others (<tf|>NE 1141b12-21, 
J63 175 29-1142a10). Lacking experience, the young cannot have prudence 
J63 176 (1142a15-16). Lacking good judgment, or the ability to detect 
J63 177 through deliberation what action to perform, and how and when to 
J63 178 perform it, the slavish, who lack the ability to deliberate, cannot 
J63 179 have prudence either (<tf|>NE 1143a29-31, <tf|>Pol 1260a12). The 
J63 180 nonslavish adults of the household, however, having both experience 
J63 181 and the ability to deliberate (<tf|>Pol 1260a10-13), may have 
J63 182 prudence. In fact, household management requires that they do 
J63 183 (<tf|>NE 1141b31-32). Nonetheless, the prudence of the man and the 
J63 184 woman apparently differ. Although it is the responsibility of both 
J63 185 to manage the household, the man should acquire possessions and the 
J63 186 woman should oversee their use and consumption (<tf|>Pol 
J63 187 1277b24-25). It follows that the man should acquire the household 
J63 188 servants (<tf|>Pol 1255b37-39), since they are animate possessions 
J63 189 (1253b32), and that the woman should command them, since their 
J63 190 function is to assist in the use of other possessions (1252b32-33, 
J63 191 1254a2). Moreover, Aristotle indicates in several ways that the 
J63 192 man, at least more than the woman, should guide their children; for 
J63 193 example, <quote_>"the man rules the child"<quote/> (<tf|>Pol 
J63 194 1260a10). In addition, Aristotle assigns marital rule to both the 
J63 195 husband and the wife; that is, spouses rule each other (<tf|>Pol 
J63 196 1253b9-10, 1259a39-b1, 4-10). Since the man and the woman each rule 
J63 197 over others, at least in part for the good of those others 
J63 198 (<tf|>Pol 1278b32-1279a8), each has complete moral virtue, which 
J63 199 Aristotle calls justice and prudence (<tf|>NE 1130a2-14, 1145a1-2; 
J63 200 <tf|>Pol 1260a17-18, 1277b25-26). But because each rules over 
J63 201 different persons, they again exercise prudence differently 
J63 202 (<tf|>Pol 1260a10-12, 20-24, 1277b20-23).<p/>
J63 203 <p_>In contrast to the judgment of the free adult members of the 
J63 204 household, the judgment of children and servants is lacking. 
J63 205 Children have only the potential for judgment and prudence; 
J63 206 servants can only follow judgment and comply with prudence 
J63 207 (<tf|>Pol 1260a12-14, 1254b22-23).<p/>
J63 208 <p_>Variety of judgment appears naturally in the household; even 
J63 209 more, in the good household, those who rule acknowledge it. Good 
J63 210 household rulers do not command their spouse, children, and 
J63 211 servants in the same way (<tf|>NE 1134b15-16). By way of presenting 
J63 212 the household, then, Aristotle suggests that private judgment 
J63 213 differs from the judgment required by most regimes in that it 
J63 214 acknowledges differences in kinds of, and aptitude for, virtue 
J63 215 among human beings. Moreover, in trying to promote the virtues 
J63 216 peculiar to each member, household rulers promote individuality.<p/>
J63 217 <p_>In addition to promoting individuality, private differs from 
J63 218 public judgment in not having law to aid it (<tf|>Pol 1282b1-6). 
J63 219 Both political and household rulers must employ <quote_>"knowledge 
J63 220 and choice"<quote/> (<tf|>Pol 1332a31-32) to bring about, 
J63 221 respectively, the city's and the household's excellence.
J63 222 
J64   1 <#FROWN:J64\><p_>Complementation, re-presentation, reworking of 
J64   2 strategic elements - all of these are present in the finale. The 
J64   3 subset center C is insistently thrust into attention by the 
J64   4 wrong-footing opening, and at crucial articulative points the 
J64   5 movement also reworks the Neapolitan. In fact, the finale shows 
J64   6 remarkable new interpretative roles for C, which connect it closely 
J64   7 in pitch or function to F-natural. The second subject of the 
J64   8 finale, for example, has a strong Neapolitan element. In the 
J64   9 exposition, the second subject (mm. 70-78) is in the key of B 
J64  10 minor, so the Neapolitan pitch for that key is C. This means that 
J64  11 C, the subset pitch of the first movement and the wrong-footing 
J64  12 opening of the finale, now assumes a new role as the Neapolitan of 
J64  13 B minor (Ex. 18).<p/>
J64  14 <p_>Ingenuity is demonstrated on many fronts: the second subject in 
J64  15 E minor - a recapitulatory feature - comes back in the development 
J64  16 (m. 216), not in the recapitulation. This placement indicates not 
J64  17 so much an exchange of function between development and 
J64  18 recapitulation, but the <tf|>interpolation of a recapitulation 
J64  19 element in the development. In a movement where surprise and 
J64  20 ingenuity are of the essence, this is one further instance of a 
J64  21 technical virtuosity, with Beethoven reordering the elements of 
J64  22 sonata and rondo design in an individual solution of dazzling 
J64  23 skill. In the E-minor appearance of the second subject, the 
J64  24 Neapolitan pitch is F-natural. The second subject is extended by a 
J64  25 strongly marked four-measure phrase, dynamically highlighting F 
J64  26 major and its dominant C. Since C major is also the Neapolitan of B 
J64  27 minor, one could say this passage encapsulates <tf|>both uses of 
J64  28 the Neapolitan, as well as the Neapolitan and its dominant (Ex. 
J64  29 19).<p/>
J64  30 <p_><O_>figures&captions<O/><p/>
J64  31 <p_>The most stunning use of the Neapolitan, though, comes in the 
J64  32 coda, where it is reintegrated into E minor. Like the hammered-out 
J64  33 dominant minor ninth in the first movement, this Neapolitan is the 
J64  34 dramatic and structural hinge of the finale. It reworks precisely 
J64  35 elements from the scherzo - strong dynamics and sudden dynamic 
J64  36 change, wide registral span - but more powerfully. The extreme 
J64  37 range of the fortissimo Neapolitan is cut off by a shocking 
J64  38 measure's silence, then the V of E minor comes in softly. Silence, 
J64  39 as well as the pitch and harmonic elements from the first movement, 
J64  40 is another element in this powerful return (Ex. 20). This searing 
J64  41 Neapolitan figure and its resolution in E minor fulfills all the 
J64  42 functions of the Neapolitans from the beginning of the work - 
J64  43 except one. The coda has one last card to play. In the last page of 
J64  44 the score, one final reference to the Neapolitan appears as part of 
J64  45 an ascending chromatic line in the first violin from E to E'. The 
J64  46 movement finishes with three pairs of perfect cadences: the first 
J64  47 has F-sharp - G in the upper line, so raising the F-natural to its 
J64  48 diatonic F-sharp and resolving it to G; the second has D-sharp - E 
J64  49 in the upper line, reversing the E - D-sharp of the opening 
J64  50 i-V<sp_>6<sp/> at the beginning of the work; the third pair of 
J64  51 cadences falls a fifth, B - E, reversing the space-opening gesture 
J64  52 of the first movement. The circle is now closed.<p/>
J64  53 <p_><O_>figure&caption<O/><p/>
J64  54 <p_>Drama, conflict, design - these features characterize the works 
J64  55 of Beethoven's middle period that fall within the description of 
J64  56 'heroic'. To say that Mozart's elegant gracefulness or Haydn's 
J64  57 witty equipage have vanished in the face of a more powerful musical 
J64  58 conception sounds like a truism, but truisms are rarely the only 
J64  59 truth. The description 'heroic' sits oddly on the shoulders of the 
J64  60 Fourth and <tf|>Pastoral Symphonies, the Piano Sonata in F, op. 54, 
J64  61 or the C-major <tf|>Razoumovsky Quartet, op. 59, no. 3, works 
J64  62 smaller in frame , more relaxed and graceful in style than their 
J64  63 bigger-boned neighbors. But drama and conflict, the characterizing 
J64  64 features of the heroic concept, are central to the <tf|>Eroica and 
J64  65 Fifth Symphonies, the E minor <tf|>Razoumovsky Quartet, the 
J64  66 <tf|>Waldstein and <tf|>Appassionata Piano Sonatas.<p/>
J64  67 <h_><p_>The Appassionata Sonata<p/><h/>
J64  68 <p_>The nature, or rather the status, of conflict is treated 
J64  69 differently in the <tf|>Appassionata Sonata than in the other 
J64  70 middle-period works just cited. In the <tf|>Eroica and the E-minor 
J64  71 <tf|>Razoumovsky Quartet, first-subject elements are lightened and 
J64  72 partially transformed in the finale. This reworking in turn affects 
J64  73 the formal design of the finale where the underlying framework - 
J64  74 respectively variation and sonata rondo - is shaped into a highly 
J64  75 individual rescoring of the form. The <tf|>Waldstein Sonata 
J64  76 releases its first-movement intensity in the finale by a 
J64  77 wonderfully expansive rondo. Only in the <tf|>Apassionata is 
J64  78 conflict unresolved. Conflict in the first movement is taken up in 
J64  79 the finale and replayed in a correspondingly intense mode, but 
J64  80 while the first<?_>-<?/>movement tonal opposition of contrasted 
J64  81 keys is resolved, the discourse of conflict is not.<p/>
J64  82 <p_>At the beginning of the first movement, two distinct elements 
J64  83 are presented: First, the linearization of the tonic-triad F minor 
J64  84 is followed directly by the flat supertonic G-flat major, forming 
J64  85 the harmonic juncture i-<sp_>b<sp/>II. The second element is the 
J64  86 modern C - D-natural - C, which is a variant of the movement's 
J64  87 prime mordent, C - D-flat - C. Even more closely than the 
J64  88 <tf|>Eroica or the E-minor <tf|>Razoumovsky Quartet, the finale of 
J64  89 the <tf|>Appassionata is a direct reworking of first-movement 
J64  90 elements in a movement of parallel intensity, rather than a 
J64  91 reinterpretative reworking in a lighter vein - an intentional 
J64  92 matching of mode and material that underscores the cyclic nature of 
J64  93 the work. Not only will first-movement elements, particularly the 
J64  94 Neapolitan and the prime mordent, return prominently in the finale, 
J64  95 but there will also be close parallels of formal placement and 
J64  96 pacing between the two movements.<p/>
J64  97 <p_>The developments of the two movements vividly illustrate these 
J64  98 parallels. In both instances, conflict is central to the dramatic 
J64  99 action of the development, with the Neapolitan its most powerful 
J64 100 agent for engendering tension and deflecting tonal direction. In 
J64 101 the first-movement development, the Neapolitan pitch, G-flat, 
J64 102 appears in the context of B-flat minor at m. 115. By a rising bass 
J64 103 motion, V-VI, the Neapolitan is then tonally reinforced in G-flat 
J64 104 major. Immediately, it is respelled enharmonically as F-sharp, and 
J64 105 for the first time in the movement, it rises to G in the key of C. 
J64 106 The cumulative energy of this intensification erupts into sweeping 
J64 107 diminished sevenths and climaxes onto hammered fortissimo D-flats - 
J64 108 C, the latter segment of the movement's prime mordent, now 
J64 109 magnified at its structural dominant. (Compare this emphatic 
J64 110 segment with its bleached-bones version at the end of the 
J64 111 recapitulation).Prolonged through the sweeping line of diminished 
J64 112 sevenths and the structural dominant. G resolves to F only at the 
J64 113 recapitulation (Ex. 21))<p/>
J64 114 <p_>The central action of the development may be seen, therefore, 
J64 115 as the conflict between the chromatic <sp_>b<sp/>II and the 
J64 116 diatonic supertonic. If this description is reminiscent of the 
J64 117 first movement of the <tf|>Razoumovsky, op. 59, no. 2, what 
J64 118 differentiates the first movement of the <tf|>Appassionata is the 
J64 119 way Beethoven locks the chromatic and diatonic supertonics in 
J64 120 conflict, rather than allowing the diatonic supertonic to form a 
J64 121 point of relaxation as part of the dominant harmony of F minor, so 
J64 122 that conflict between the two supertonics is polarized, but not 
J64 123 resolved.<p/>
J64 124 <p_><O_>figure&caption<O/><p/>
J64 125 <p_>In the finale development, the Neapolitan G-flat is again at 
J64 126 the center of conflict against G-natural. Just as in the 
J64 127 first-movement development, G-flat appears in the context of B-flat 
J64 128 minor, but here replays the work's other prime element, the 
J64 129 mordent, on the Neapolitan pitch in a sharply condensed focus of 
J64 130 the two main structural components of the outer movements. (See 
J64 131 <}_><-|>Exx.<+|>Ex.<}/> 22, 23.)<p/>
J64 132 <p_><O_>figures&captions<O/><p/>
J64 133 <p_>Striking parallels between the outer movements of the 
J64 134 <tf|>Appassionata demonstrated by matching formal placement of 
J64 135 salient harmonic features and the contextual reworking of the 
J64 136 Neapolitan. Far beyond general similarities of mood and expressive 
J64 137 delineation, these precise parallels make viable the description of 
J64 138 the work as cyclic form in which the finale provides a complete 
J64 139 variant reworking of the first movement. In variation form, the 
J64 140 variation - normatively, in classical style - exhibits the same key 
J64 141 planning, phrase structure, harmonic progressions, and large-scale 
J64 142 formal sections as the theme, while elaborating texture and 
J64 143 changing register, articulation, and dynamics. The variant concept 
J64 144 also opens up a larger dimension of formal integration for the 
J64 145 sonata as a whole; just as prime first-movement elements are 
J64 146 reworked (in the manner of development and variant) in the finale, 
J64 147 so the principal elements of the slow movement are elaborated (but 
J64 148 without development) in a set of variations. While individual 
J64 149 variations in the slow movement are self-contained, the movement 
J64 150 overall is not, but the end of the slow movement leads into the 
J64 151 finale in a way comparable to the slow-movement link to the finale 
J64 152 of the F-major <tf|>Razoumovsky Quartet (F-minor, op. 57, and 
J64 153 F-major, op. 59, no. 1; the closeness of compositional period will 
J64 154 make such parallels of compositional procedure understandable). Yet 
J64 155 the two transitions are different in the way the two movements are 
J64 156 connected: the slow movement of the quartet dissolves out in a 
J64 157 swirl of elaborate figuration that fines down onto the trill 
J64 158 initiating the finale. At the end of the slow movement of the 
J64 159 <tf|>Appassionata, the opening theme returns, but its resolution is 
J64 160 blurred by two hazy diminished sevenths. These same chords, 
J64 161 hammered out thirteen times fortissimo at the beginning of the 
J64 162 finale, shatter the serene repose and consonance of the variation 
J64 163 movement. Dynamic rupture, though, is anchored by pitch continuity. 
J64 164 D-flat, the pitch and key center of the slow movement, is carried 
J64 165 through to the diminished sevenths and falls to C on the turning 
J64 166 sixteenth-note figure which heralds the thematic statement of the 
J64 167 finale. This juncture, D-flat - C, forming a hinge between the two 
J64 168 movements, takes up, at a larger level, the mordent intersection 
J64 169 D-flat - C, which is the structural hinge of the first movement.<p/>
J64 170 <p_>Just as with development sections, so the recapitulation and 
J64 171 finale coda both re-present and compress strategic elements from 
J64 172 the first movement. The coda presents the final clash of the 
J64 173 supertonic and wrenches it back into the constraints of F minor.<p/>
J64 174 <p_>Some of the techniques discussed here with reference to 
J64 175 important works in Beethoven's middle period were not in themselves 
J64 176 necessarily new, nor had they originated with him. For example, the 
J64 177 favored harmonic shift of unmediated I-ii (although not 
J64 178 <sp_>flat<sp/>II) which Beethoven used virtually as his own style 
J64 179 characteristic for strongly defined first-movement openings (in the 
J64 180 <tf|>Appasssionata, and the String Quartets, op. 59, no. 2, and op. 
J64 181 95, as examples) had been used by Haydn at the beginning of the 
J64 182 first movement and also at the beginning of the second movement - 
J64 183 scherzando - of his C-major String Quartet, op. 33, no. 3. Expanded 
J64 184 dimensions and contrapuntal enrichment of development can be found 
J64 185 in the first movement of Mozart's C-Major String Quintet, K. 515, 
J64 186 in the first movements and finales of his G-Minor Symphony, K.550, 
J64 187 and <tf|>Jupiter Symphony, K. 551. What is new in Beethoven's 
J64 188 middle period is the <tf|>consistently expanded formal framework as 
J64 189 distinct from individual instances; the versatility and daring with 
J64 190 which he rearranges the modules of formal entities, yet retains 
J64 191 their underlying coherence and sense of internal logic; and the use 
J64 192 of strategic pitches as axial centers around which a movement is 
J64 193 built and from which it diverges by contextual reinterpretation 
J64 194 into new and surprising key areas to form, frequently, the 
J64 195 structural hinge of the movement.<p/>
J64 196 <p_>In the middle-period works, Beethoven differentiated the four 
J64 197 movements of the quartet and symphony by sharply defined 
J64 198 characterization, yet, conversely, drew closer relationships 
J64 199 between first movement and finale, binding them by similar or 
J64 200 related mood, and even more, by the reinterpretation of prime 
J64 201 first-movement elements in the finale. This compositional procedure 
J64 202 produces a kind of cyclic form., but one conceptually different 
J64 203 from Schubert's <tf|>Wanderer Fantasy or from later 
J64 204 nineteenth-century works lie Liszt's B-minor Sonata. Beethoven's 
J64 205 expansion of dimensions, of dynamic and tempo ranges, has as its 
J64 206 context the retention of formal design and structural principles. 
J64 207 The strong individualization of movements is set against the 
J64 208 concern for the organic form of the work overall. Accordingly, 
J64 209 large-scale integration of the outer movements depends for its 
J64 210 effect on the internal formal autonomy of each movement and its 
J64 211 specific delineation of character and material - in the 
J64 212 relationship of self-standing parts to a larger whole.
J64 213 
J65   1 <#FROWN:J65\><h_><p_>5<p/>
J65   2 <p_>Conclusions<p/>
J65   3 <p_>SUE BRIDEHEAD: THE CASE FOR A FEMINIST READING<p/><h/>
J65   4 <p_>In his depiction of Sue, Hardy shows remarkable sensitivity to 
J65   5 feminist issues. The novel's tragedy turns on marriage, and it is a 
J65   6 double tragedy. This view is augmented by looking into the 
J65   7 historical context of women's issues.<p/>
J65   8 <p_>In discussing <tf|>Jude in the context of Hardy's fiction as a 
J65   9 whole, Patricia Ingham (1989) observes that over the course of his 
J65  10 novel writing Hardy's treatment of women increasingly diverges from 
J65  11 the traditional misogynist stereotype which had been 
J65  12 'scientifically' justified by Herbert Spencer in his popular 
J65  13 <tf_>The Study of Sociology<tf/> (1873).<p/>
J65  14 <p_>Owing to the far-reaching influence of Darwin, Spencer's 
J65  15 discourse was scientific rather than moral. Darwinism, with <tf_>On 
J65  16 the Origin of Species<tf/> (1859), but more particularly with 
J65  17 <tf_>The Descent of Man<tf/> (1871), gave momentum to biological 
J65  18 determinism as it related to the female nature and role. By 
J65  19 appealing to so-called objective laws, and adopting a tone of 
J65  20 neutral and dispassionate observation, science sought to establish 
J65  21 the biological link between physiology, psychology, and sociology, 
J65  22 and to effect the ratification of the status quo - that is, to 
J65  23 confirm the old stereotypes, and to reaffirm the disabilities of 
J65  24 being a woman. This spurious science replaced the Bible as the 
J65  25 underpinning of the double standard of sexual morality. Social 
J65  26 critics used concepts of evolution to show that sexual difference 
J65  27 was the result of adaptation to the conditions necessary for social 
J65  28 survival. Woman's position in society was seen as the natural 
J65  29 result of processes designed to strengthen her essential function - 
J65  30 maternity. Spencer claimed that women had less power than men for 
J65  31 abstract thinking because their vital energies went toward 
J65  32 nurturing offspring. As a result, women lagged behind men in the 
J65  33 evolutionary process, having smaller brains as well as weaker 
J65  34 physiques. As the weaker sex, Spencer argued, women had learned to 
J65  35 disguise their feelings, to please and persuade, and to delight in 
J65  36 submission. Because Victorian women were not only dependent but 
J65  37 ready to cultivate and display that dependence, a husband was their 
J65  38 only goal. Although in the Victorian period women were often 
J65  39 revered as being morally superior - more devout and devoted to 
J65  40 caring for others - some writers were of the opinion that woman's 
J65  41 reproductive capacity gave her a far more menacing nature. Havelock 
J65  42 Ellis, in <tf_>Man and Woman<tf/> (1894), stated that since 
J65  43 menstruation is disgusting, women are ashamed of it, and shame 
J65  44 makes them deceitful. This tendency toward dishonesty is, he 
J65  45 asserted, reinforced by the duties of maternity, and much of the 
J65  46 education of the young, which is entrusted to women, consists of 
J65  47 skillful lying.<p/>
J65  48 <p_>Childbearing, one of the few acceptable activities for women in 
J65  49 Victorian society, dominated women's lives. In 1900 a quarter of 
J65  50 all married women in England were pregnant. Most deliveries took 
J65  51 place at home, where the experience could be nothing but a struggle 
J65  52 with poverty, pain, and death. Stillbirths, miscarriages, attempts 
J65  53 at abortion, uncaring doctors, and incompetent midwives caused 
J65  54 women to fear pregnancy. The infant death rate in 1900 was 163 per 
J65  55 thousand, compared to 9.4 per thousand in 1985. In all, 145,000 
J65  56 infants died in 1900. The medical profession did not explain about 
J65  57 or provide contraception or abortion. The condom and vaginal sponge 
J65  58 were unreliable and in any case unavailable to most people because 
J65  59 birth control was relatively costly. Among the working classes 
J65  60 there was a flourishing trade in abortion-inducing pills.<p/>
J65  61 <p_>Employment for women outside the home was effectively limited 
J65  62 to 'women's work' - work that required nimble fingers or no great 
J65  63 physical strength, for example, dressmaking, schoolteaching, bar 
J65  64 keeping, assisting in a shop, doing office work, or working in 
J65  65 domestic service. The telephone, typewriter, and bicycle widened 
J65  66 career possibilities for women in the 1890s, but professional 
J65  67 opportunities did not exist for women until after the First World 
J65  68 War. Therefore the ideal woman was supported by her husband and had 
J65  69 no independent legal existence.<p/>
J65  70 <p_>The movement to change this state of affairs came to the fore 
J65  71 in the last two decades of the nineteenth century, a period during 
J65  72 which organized labor was pressing for social and political 
J65  73 emancipation. Throughout Europe mass socialist and working-class 
J65  74 parties were organizing and demanding fundamental changes. A group 
J65  75 of middle-class feminists sponsored debates and campaigned for 
J65  76 legislation giving women access to the professions, secondary and 
J65  77 higher education, the right to own property, and the right to vote. 
J65  78 They crusaded against adult prostitution, the flourishing trade in 
J65  79 child prostitution, and the protection of 'innocence' that made 
J65  80 sexuality furtive and dismal.<p/>
J65  81 <p_>By the 1890s the woman question was being widely debated in 
J65  82 newspapers, journals, and novels. J.S. Mill had argued in <tf_>The 
J65  83 Subjection of Women<tf/> (1869) that the so-called disabilities of 
J65  84 women were maintained in order to make women servants of men who 
J65  85 feared the competition of women in the working place, and who could 
J65  86 not tolerate living with them as equals. The most popular writer on 
J65  87 the woman question, Grant Allen, portrayed marriage as a degrading 
J65  88 form of slavery. In his novel, <tf_>The Woman Who Did<tf/> (1895), 
J65  89 the heroine deliberately has a child with her lover whom she 
J65  90 refuses to marry, regarding herself as a moral pioneer doomed to 
J65  91 martyrdom.<p/>
J65  92 <p_>But the whole weight of social orthodoxy brought to bear on 
J65  93 maintaining the stereotype was deeply ingrained in the majority of 
J65  94 women as well as men, and the women's movement was not able to 
J65  95 reach a consensus on most of the feminist issues raised in the 
J65  96 1880s and 1890s. Some writers argued that promiscuity was the path 
J65  97 to self<?_>-<?/>fulfillment; others asserted that such freedom 
J65  98 could only come from celibacy. Another point of contention was 
J65  99 childbearing. Was it a woman's most sacred calling? Or was it 
J65 100 rather an aspect of her degradation? Could fulfillment come from 
J65 101 working in the man's world? Or was the man's world a trap for 
J65 102 women?<p/>
J65 103 <p_>In spite of much debate on the fundamental place of women in 
J65 104 society, many women maintained that there was no escape from their 
J65 105 established role. In June 1889 more than one hundred well-known 
J65 106 women signed their names to the 'Appeal against Female Suffrage,' 
J65 107 which was printed in a leading journal. The appeal stated that 
J65 108 women's direct participation in politics <quote_>"is made 
J65 109 impossible either by the disabilities of sex, or by strong 
J65 110 formations of custom and habit resting ultimately upon physical 
J65 111 difference, against which it is useless to contend."<quote/> Among 
J65 112 those who endorsed the appeal were Beatrice Webb, Mrs. Humphry 
J65 113 Ward, Eliza Lynn Linton, Mrs. Matthew Arnold, and Mrs. Leslie 
J65 114 Stephen; a supplementary list of two thousand names was added two 
J65 115 months later.<p/>
J65 116 <p_>A woman might decide to escape the life marked out for her by 
J65 117 <quote_>"the inexorable laws of nature"<quote/> - that is, the 
J65 118 controlling and channelling of her sexuality into marriage - by 
J65 119 refusing the sexual dimension of a relationship. According to Penny 
J65 120 Boumelha, Sue Bridehead elected this option. Boumelha contends that 
J65 121 Sue's situation is confused and confusing because Sue is not sure 
J65 122 whether she wants love without sex or sex but not marriage. Yet one 
J65 123 must not see her as lacking sexual feeling, Boumelha argues; 
J65 124 rather, Sue's actions should be seen as her response to the dilemma 
J65 125 of how to have love without <quote_>"the penalty."<quote/><p/>
J65 126 <p_>According to Boumelha, whether Sue denies her sexuality or 
J65 127 risks pregnancy, she is reduced. Boumelha says that the tragedy is 
J65 128 not brought on by her frigidity but by motherhood: <quote_>"It is 
J65 129 motherhood - her own humiliation by the respectable wives who hound 
J65 130 her and Jude from their work, Little Father Time's taunting by his 
J65 131 schoolmates - that convinces her that 'the world and its ways have 
J65 132 a certain worth,' and so begins her collapse into 'enslavement to 
J65 133 forms'"<quote/> (Boumelha, 148). Hardy, Boumelha observes, is alone 
J65 134 among writers of stature in drawing attention to motherhood's role 
J65 135 in confining women within the nuclear family. Sue's sexuality 
J65 136 destroys her, whereas Arabella's, by contrast, helps her survive. 
J65 137 Both reject their husbands, take up with other men, sublimate their 
J65 138 sexuality into religiosity, and eventually return to their 
J65 139 husbands. Yet a crucial point that emerges from the ironic 
J65 140 paralleling of Arabella's life with Sue's is that Arabella never 
J65 141 plays a maternal role. Whereas Arabella is identified with 
J65 142 sexuality and fecundity - she barters her sexuality for security, 
J65 143 seducing Jude by flinging a pig's penis at him and pretending to 
J65 144 hatch an egg between her breasts - Sue assumes the role of mother - 
J65 145 to her own children as well as to Arabella's son. Thus, according 
J65 146 to Boumelha, Hardy understands that a woman's freedom depends on 
J65 147 remaining free of the maternal role.<p/>
J65 148 <p_>Ingham (1989) argues that Hardy gradually developed his 
J65 149 sensitivity to the woman question over the course of 25 years of 
J65 150 novel writing. She traces the emergence of metaphors in which 
J65 151 workingmen suffering from self-devaluation are compared to women, 
J65 152 demonstrating that Hardy ever more insistently subverts the social 
J65 153 ideal that a woman's self-fulfillment is rooted in self-denial. By 
J65 154 the time Hardy wrote <tf|>Jude, the workingman and woman are 
J65 155 <quote_>"two in one,"<quote/> twins who suffer a similar 
J65 156 oppression. This affinity in oppression, Ingham says, is 
J65 157 highlighted by the emphasis on Jude's and Sue's similarities. Their 
J65 158 being cousins on Jude's mother's side, children of a family doomed 
J65 159 by a hereditary curse, points up a sameness that is continuously 
J65 160 stressed: by the rhyming circumstance of each taking refuge in the 
J65 161 other's room, by Sue's actually appearing in Jude's clothes as a 
J65 162 kind of double, and most emphatically by Phillotson's view of them 
J65 163 as the lovers in Shelley's 'The Revolt of Islam' - transcendent 
J65 164 beings, martyred in the cause against tyranny.<p/>
J65 165 <p_>Jude comes to see himself and Sue as martyred pioneers. They 
J65 166 are yanked <quote_>"back into pre-determined forms of 
J65 167 marriage,"<quote/> Boumelha notes, and this is the tragedy 
J65 168 (Boumelha, 150). Conventional notions of sanctity and free will are 
J65 169 exploded by the novel: neither the home nor the love relationship 
J65 170 is a protected zone, and individual acts and intentions cannot 
J65 171 reform society.<p/>
J65 172 <p_>Boumelha claims that Hardy understood the crucial importance to 
J65 173 women of socialized child care, that it was his expressed reason 
J65 174 for supporting female suffrage. In his 1906 letter to the Fawcett 
J65 175 Society he states that he hopes suffrage would tend <quote_>"to 
J65 176 break up the present pernicious conventions in respect to manners, 
J65 177 customs, religion, illegitimacy, the stereotyped household (that it 
J65 178 must be the unit of society), the father of a woman's child (that 
J65 179 it is anybody's business but the woman's own), except in cases of 
J65 180 disease or insanity"<quote/> (<tf|>Letters 3:238). The view that 
J65 181 unless the institution of marriage is radically changed, women will 
J65 182 continue to be enslaved, is also expressed in the novel. Phillotson 
J65 183 tells Gillingham, <quote_>"And yet, I don't see why the woman and 
J65 184 the children should not be the unit without the man"<quote/> (4:4). 
J65 185 When faced with the possibility that Little Father Time may not be 
J65 186 his child, Jude makes a statement that gives Hardy's position a 
J65 187 sharper focus: <quote_>"The beggarly question of parentage - what 
J65 188 is it, after all? What does it matter, when you come to think of 
J65 189 it, whether a child is yours by blood or not? All the little ones 
J65 190 of our time are collectively the children of us adults of the time, 
J65 191 and entitled to our general care"<quote/> (5:3).<p/>
J65 192 <p_>I do not see <tf|>Jude as a novel primarily about marriage, nor 
J65 193 do I think of it as <quote_>"the Sue story"<quote/> (Boumelha, 
J65 194 138), as Hardy called it in a letter to Florence Henniker. Yet, 
J65 195 Boumelha's and Ingham's arguments offer persuasive interpretations 
J65 196 that illuminate Sue's life.<p/>
J65 197 <p_>Sue's behavior is confused and confusing, which is to say her 
J65 198 behavior indicates her self-control. Marrying Jude would invite 
J65 199 oppression, yet loving him without marriage would invite the 
J65 200 penalties reserved for sinners. Ambivalent, she appears to be 
J65 201 coquettish, half inviting his advances, yet sidestepping them. 
J65 202 <quote_>"[E]picene tenderness,"<quote/> <quote_>"boyish as a 
J65 203 Ganymedes"<quote/> (2:4) are what the love-sick man sees in her 
J65 204 external behavior, but he has no clue about what is at issue. Sue 
J65 205 wants to be loved, but she cannot bear to lose her freedom.<p/>
J65 206 <h|>SHAME
J65 207 <p_>Hardy's alternation of scenes - one on a comic plane, the other 
J65 208 tragic; one lofty, the other low; one affirming, the other 
J65 209 repudiating - is the novelist's method for grasping the ambiguous 
J65 210 real world.
J65 211 
J66   1 <#FROWN:J66\>New York, however, was the magnet that drew artists of 
J66   2 all sorts. Space was still cheap in lower Manhattan. America's 
J66   3 far-flung universities had little interest in recruiting 
J66   4 experimentalists-in-residence, and the one serious exception to 
J66   5 this rule, Black Mountain College, folded in the fifties, sending 
J66   6 much of its teaching staff and student body to New York as well. 
J66   7 Bohemian Manhattan was an intimate, small-scale scene: a band of 
J66   8 outsiders easily recognizable by their dress and demeanor. Groups 
J66   9 that later would seem diametrically opposed or at least very 
J66  10 different - for example, the Beats and the 'New York School' of 
J66  11 poetry - rubbed elbows amiably and frequented the same bars and 
J66  12 jazz clubs. Being few in number, they were obliged to stick 
J66  13 together; in Eisenhower's blandly conformist America, all weirdos 
J66  14 were brothers until the opposite was proven. In addition, artists 
J66  15 shared an exhilaration born of their recent liberation from Europe. 
J66  16 The old American colonial complex - a sense of being on the 
J66  17 periphery of things, still strong among the modernists of the 1920s 
J66  18 - had been swept away by the triumph of abstract expressionism, by 
J66  19 William Carlos Williams's appropriation of American speech as a 
J66  20 basis for new poetry, and, of course, by jazz, the American art 
J66  21 form <tf_>par excellence<tf/>.<p/>
J66  22 <p_>Needless to say, not all artists frequented bars and jazz 
J66  23 joints, but a remarkable number did. The abstract expressionists - 
J66  24 Jackson Pollock, Willem de Kooning, Franz Kline, and others - were 
J66  25 hard drinkers and inveterate hangers-out. One of them, Larry 
J66  26 Rivers, was also an accomplished jazz saxophonist and served as a 
J66  27 point of intersection between the worlds of painting and jazz. The 
J66  28 Beats also spent a lot of time in night spots. For the New York 
J66  29 School (Kenneth Koch, John Ashbery, and others), a key connection 
J66  30 with jazz was Frank O'Hara, whose best-known poem, a poignantly 
J66  31 oblique homage to Billie Holiday, is entitled <quote_>"The Day Lady 
J66  32 Died."<quote/> Judith Malina's and Julian Beck's Living Theatre, 
J66  33 with its mixture of raw psychodrama and dreamy pacifism, sponsored 
J66  34 poetry readings at its headquarters on 14th Street and featured 
J66  35 Jackie McLean and hard-bop pianist Freddie Redd in its production 
J66  36 of Jack Gelber's play <tf_>The Connection<tf/>.<p/>
J66  37 <p_>Almost anyone's account of the era includes both this heady 
J66  38 mixture of scenes and the centrality of jazz as an artistic model 
J66  39 and jazz clubs as meeting places. Ron Sukenick's <tf_>Down and In: 
J66  40 Life in the Underground<tf/>, a combined study and memoir covering 
J66  41 the period from 1945 through the eighties, describes the clientele 
J66  42 and atmosphere at the Five Spot in the late fifties: <quote_>"If 
J66  43 the painting seemed more consciously American after 1950, the 
J66  44 uniquely native American art form, jazz, became, through the 
J66  45 fifties, more central than ever for underground artist of all 
J66  46 kinds. It came together at the Five Spot, a bar on Cooper Square 
J66  47 where the brothers Iggie and Joe Termini hosted a basically 
J66  48 flophouse clientele until the artist started coming in during the 
J66  49 mid-fifties. Painters like Grace Hartigan, Al Leslie; David Smith, 
J66  50 de Kooning became habitu<*_>e-acute<*/>s. Larry Rivers, the 
J66  51 painter, played jazz there, poets read poetry to jazz, and 
J66  52 avant-garde film makers even showed their films to jazz. Writers 
J66  53 like Kerouac, Frank O'Hara, and Kenneth Koch moved in, and finally 
J66  54 the great jazzmen themselves came down to play - Charlie Mingus, 
J66  55 Sonny Rollins, Cecil Taylor, Thelonious Monk, Ornette 
J66  56 Coleman."<quote/><p/>
J66  57 <p_>In response to a question about which jazz musicians 
J66  58 down<?_>-<?/>town artists and intellectuals were friendliest with, 
J66  59 the painter Emilio Cruz (who also writes poetry and plays jazz 
J66  60 drums) gave this description of the scene: <quote_>"In the case of 
J66  61 Jackie McLean, I would think that if he was around the Living 
J66  62 Theatre crowd, he was friendly with Judith Malina and Julian Beck 
J66  63 and that crowd, and a number of interesting people in that company. 
J66  64 Also Cubby Selby; we all called him Cubby. I never knew his real 
J66  65 name was Hubert Selby, Jr., until his book [<tf_>Last Exit to 
J66  66 Brooklyn<tf/>] came out. Paul Blackburn, the poet, who was a good 
J66  67 friend of mine, knew a lot of those people. Bob Thompson the 
J66  68 painter, Allen Ginsberg at times, Bob Kaufman the poet, some of the 
J66  69 Black Mountain poets. Rollins lived downtown and knew a number of 
J66  70 artists, though he was very solitary.<p/>
J66  71 <p_>"Others who were there not just because it was cool but because 
J66  72 they had a deep interest in the music were [Amiri] Baraka and Larry 
J66  73 Rivers. [Rivers] was a friend of Zoot Sims, Stan Getz I know he 
J66  74 considers himself as serious a saxophone player as he does a 
J66  75 painter. During that period I lived on Jeffferson Street, down by 
J66  76 the river. Pepper Adams lived in that building underneath me. In 
J66  77 fact, he was the only one in the building who had heat. He had a 
J66  78 gas heater, so in the winter when he was on the road I was a lot 
J66  79 colder than when he was there. Donald Byrd used to come by a lot 
J66  80 because they had that band together at that time. Jefferson Street 
J66  81 was south of East Broadway, maybe southeast, not that far from 
J66  82 where the old Fulton Fish Market was. That's all changed now. I 
J66  83 don't even know whether that street exists anymore. Ed Blackwell 
J66  84 used to come by that building too.<p/>
J66  85 <p_>"That was a period, in my life, when a lot of things were 
J66  86 integrated. Jazz was integrated within artists' lives. A lot of 
J66  87 people lived in lofts, and oftentimes the musicians might not have 
J66  88 lived in lofts themselves, but they would come over there (at least 
J66  89 on the Lower East Side) to play, to rehearse a band, so there were 
J66  90 a lot of connections because of that. That connection would then 
J66  91 extend what a person's capacity was, so that one person might learn 
J66  92 more about music, another person might learn more about painting or 
J66  93 poetry, and I knew a number of musicians who were interested in 
J66  94 learning about all of it. Like I'm friends with Grachan Moncur III. 
J66  95 I was his drummer last year at his workshop in New Jersey. He used 
J66  96 to come visit my studio all the time. There was a lot of openness 
J66  97 between various people. Herbie Lewis, the bass player, he lived 
J66  98 around the corner. He was a neighbor of mine, so we spent a lot of 
J66  99 time together. Miles ... I know numbers of people from the beat 
J66 100 generation who were friends with Miles, like Allen Ginsberg, Jack 
J66 101 Kerouac, Robert Frank the photographer. So there was an integration 
J66 102 of lots of the arts. The beat generation spent much of their lives 
J66 103 in clubs.<p/>
J66 104 <p_>"Now one of the things that it's very important to understand 
J66 105 is that there weren't thousands of people involved in the arts in 
J66 106 those days, so when you would walk down the street in New York 
J66 107 City, you would look at somebody and you would recognize them 
J66 108 instantly as an artist, and you would immediately find that you had 
J66 109 some kind of rapport, and there's another thing. I can't speak for 
J66 110 right now, but there was youth. Youth reaches out. There's one 
J66 111 thing that was consistent in all the artists in New York City at 
J66 112 that time. They were reaching out for new things, new ways of 
J66 113 expressing themselves. They were attempting to discover new values. 
J66 114 Those values were not necessarily ones that were supported by the 
J66 115 society at large, so there was this that they had in common. 
J66 116 Another thing was that there was an attempt to break down racism, 
J66 117 and politically there was a sense of hope that America could arrive 
J66 118 at a higher moral state. So racism was something that in that world 
J66 119 was frowned upon."<quote/><p/>
J66 120 <p_>What did jazz<tf|>mean to those experimental artists who took 
J66 121 it most seriously? Part of the answer, as Sukenick indicates, has 
J66 122 to do with its American qualities, also underlined by Hettie Jones, 
J66 123 author of <tf_>Big Star Fallin' Mama<tf/>, a study of black female 
J66 124 vocalists from Bessie Smith to Aretha Franklin: <quote_>"I think 
J66 125 jazz was the music they [downtown bohemian types] felt closest to, 
J66 126 the way someone feels close to music that's part of the zeitgeist. 
J66 127 It was American. There's that whole idea that abstract 
J66 128 expressionist art was the first truly American art movement; and 
J66 129 those people saw themselves as an avant<?_>-<?/>garde in what they 
J66 130 were trying to do. It was a shared feeling that they were all part 
J66 131 of a changing American art scene."<quote/><p/>
J66 132 <p_>Jazz was also influential in its improvisational freedom and 
J66 133 structural openness, as Allen Ginsberg indicates in his description 
J66 134 of jazz's relationship with his poem 'Howl': <quote_>"In the 
J66 135 dedication of 'Howl' I said 'spontaneous bop prosody.' And the 
J66 136 ideal, for Kerouac, and for John Clellon Holmes and for me also, 
J66 137 was the legend of Lester Young playing through something like 
J66 138 sixty-nine to seventy choruses of 'Lady Be Good,' you know, 
J66 139 mounting and mounting and building and building more and more 
J66 140 intelligence into the improvisation as chorus after chorus went on 
J66 141 ... riding on chorus after chorus and building and building so it 
J66 142 was a sort of ecstatic orgasmic expostulation of music. So there 
J66 143 was the idea of chorus after chorus building to a climax, which was 
J66 144 the notion of part one of 'Howl,' with each verse being like a 
J66 145 little saxophone obbligato or a little saxophone chorus, as though 
J66 146 what I was doing was combining the long line of Christopher Smart, 
J66 147 the eighteenth-century poet, with notions of the repeated jazz or 
J66 148 blues chorus, till it comes to a climax, probably in the verse 'ah, 
J66 149 Carl, while you are not safe I am not safe.' And then there's a 
J66 150 sort of a coda from then on."<quote/><p/>
J66 151 <p_>Ginsberg also claims jazz as an important model for his work 
J66 152 and that of his contemporaries: <quote_>"The whole point of modern 
J66 153 poetry, dance, improvisation, performance, prose even, music, was 
J66 154 the element of improvisation and spontaneity and open form, or even 
J66 155 a fixed form improvisation on that form, like say you have a blues 
J66 156 chorus and you have spontaneous improvisations, so in 'Howl' or 
J66 157 'Kaddish' or any of the poems that have a listeny style, 'who did 
J66 158 this, who did that, who did this,' you start out striking a note, 
J66 159 'who,' and then you improvise, and that's the basic form of the 
J66 160 list poem or, in anaphora, when you return to the margins in the 
J66 161 same phrase, 'Or ever the golden bowl be broken or the silver cord 
J66 162 be loosed or the pitcher be broken at the fountain,' as in the 
J66 163 Bible or as in some of Walt Whitman's catalogues or in Christopher 
J66 164 Smart's 'Rejoice in the Lamb' poem or the surrealist example of 
J66 165 Andr<*_>e-acute<*/> Breton's free union, 'my wife with the 
J66 166 platypus's egg, my wife with the eyes of this, my wife with that 
J66 167 and that ...'<p/>
J66 168 <p_>"It [jazz] was a model for the dadaists and it was a model for 
J66 169 the surrealists and it was a model for Kerouac and a model for me 
J66 170 and a model for almost everybody, in the sense that it was partly a 
J66 171 model and partly a parallel experiment in free form. The 
J66 172 development of poetics, as well as jazz and painting, seems to be 
J66 173 chronologically parallel, which is to say you have fixed form, 
J66 174 which then evolves toward more free form where you get let loose 
J66 175 from this specific repeated rhythm and improvise the rhythms even, 
J66 176 where you don't have a fixed rhythm, as in bebop the drum became 
J66 177 more of a soloist in it too. So you find that in painting, the 
J66 178 early de Koonings have a motif or a theme, the woman or something 
J66 179 like that, but it gets more and more open, less dependent on the 
J66 180 theme, and in poetry, where you have less and less dependence on 
J66 181 the original motifs and more and more John Ashberyesque 
J66 182 improvisational free form flowing without even a subject matter, 
J66 183 though I always kept a subject matter like the old funky blues 
J66 184 myself. It was partly a parallel development within each 
J66 185 discipline: painting, poetry, music. There were innovators who 
J66 186 opened up the thing after Einstein, so to speak - you know, 
J66 187 relative measure, as Williams said - which is in a sense something 
J66 188 that happened with bebop: not the fixed measure but a relative 
J66 189 measure.
J66 190 
J67   1 <#FROWN:J67\><p_>One indication of poetry's place in the current 
J67   2 construction of African American critical theory is revealing. In 
J67   3 <tf_>The Signifying Monkey<tf/>, Henry Louis Gates, Jr., proposes a 
J67   4 compelling way of tracing the lines of continuity among major 
J67   5 African American texts. With consummate skill, he teaches us to 
J67   6 read this literature through the paradigms of vernacular culture as 
J67   7 a way of chronicling a common African American struggle for 
J67   8 authority and voice. Taking off from Roland Barthes, Gates defines 
J67   9 Hurston's <tf_>Their Eyes Were Watching God<tf/> as the first 
J67  10 instance in our written tradition of a <quote|>"speakerly" text - 
J67  11 that is, a text <quote_>"oriented toward imitating one of the 
J67  12 numerous forms of oral narration to be found in classical 
J67  13 Afro-American vernacular literature"<quote/> (181). Gates's 
J67  14 characteristic reinvention of literary theory, grounded in the 
J67  15 language and rituals of African American culture, is insightful, 
J67  16 yet this particular moment in his revisionary strategy raises an 
J67  17 important concern. By slighting poetry in his newly constructed 
J67  18 canon, Gates neglects such <quote|>"speakerly" nineteenth-century 
J67  19 texts as Paul Laurence Dunbar's seminal poem 'An Ante-bellum 
J67  20 Sermon' (1895). Elsewhere, Gates has written instructively about 
J67  21 Dunbar and African American poetry. His early essay 'Dis and Dat: 
J67  22 Dialect and the Descent' remains crucial to our understanding of 
J67  23 the conventions of 'dialect' and vernacular poetry. My point here 
J67  24 is simply that his exclusion of poetry from <tf_>The Signifying 
J67  25 Monkey<tf/>, given the ensuing authority of that work, reenacts 
J67  26 what has become a familiar pattern in African American literary 
J67  27 history. The effect of such omissions in our most influential 
J67  28 readings of African American literature may well serve to lessen 
J67  29 the perspective of poetry in current revisions of black critical 
J67  30 theory and the African American canon.<p/>
J67  31 <p_>In his essay 'Performing Blackness,' Kimberly Benston surmises 
J67  32 that it may be the <quote_>"relative susceptibility"<quote/> of 
J67  33 African American poetry <quote_>"to discrete analyses [that] 
J67  34 resists theoretical efforts that move toward totalization, toward 
J67  35 recuperation and ideological closure"<quote/> (184). He confronts 
J67  36 the risks involved in theorizing about the lines of continuity 
J67  37 between disparate poetic works only to underscore the necessity of 
J67  38 defining the shared themes, literary forms, and rhetorical 
J67  39 strategies that constitute a distinctive poetic tradition. In 
J67  40 particular, he entreats us to recognize that seemingly discrete, 
J67  41 fragmented expression - enacted as a mode of performance - 
J67  42 characterizes African American discourse. Black utterance, like 
J67  43 other counterdiscourses, masks its own continuity as a way of 
J67  44 veiling its challenges to the legitimacy of dominant political 
J67  45 institutions and cultural traditions. In theorizing about African 
J67  46 American poetry, critics might be guided by what Richard Terdiman 
J67  47 describes, in a different context, as the <quote_>"capacity [of 
J67  48 counterdiscourses] to <tf|>situate: to relativize the authority and 
J67  49 stability of a dominant system of utterances which cannot even 
J67  50 countenance their existence,"<quote/> as a way of enacting a new 
J67  51 realm of subjectivity (15-16). When black writers turn to African 
J67  52 American vernacular performance, they call into question the 
J67  53 authority of the literary conventions and racial ideologies of the 
J67  54 dominant society. Critics should neglect neither the insistence of 
J67  55 African American poets on challenging the authority of dominant 
J67  56 American institutions nor the individual black poet's struggle for 
J67  57 recuperation and wholeness. Their individual texts make up an 
J67  58 ongoing tradition of black poetic subjectivity.<p/>
J67  59 <p_>While the term <tf|>performance can be applied variously to a 
J67  60 range of cultural and literary phenomena, I use it to designate 
J67  61 verbal performance viewed as a cultural event. In revising the 
J67  62 boundaries of what has traditionally constituted the folklore text, 
J67  63 recent scholars, especially Roger D. Abrahams and Richard Bauman, 
J67  64 have reconceptualized the distinctions between textual 
J67  65 representations and what Robert Georges calls <quote_>"complex 
J67  66 communicative events"<quote/> (313). Such scholars often associate 
J67  67 the term <tf|>vernacular with the modern concept of folklore as an 
J67  68 intricate interaction between performer and audience that relies on 
J67  69 linguistic, paralinguistic, kinesic, and thoroughly contextual 
J67  70 codes and conventions. This implied notion of performance has 
J67  71 become a model for how to discuss formal literary texts. In written 
J67  72 texts that draw on the aesthetics of vernacular performance, the 
J67  73 relations of orality and literacy are continuous. The tensions 
J67  74 between repetition and improvisation that operate in a verbal 
J67  75 performance are translated into competing structures of creation 
J67  76 and recollection for literary artists and their audiences.<p/>
J67  77 <p_>Construing performance in this way, I argue that Paul Laurence 
J67  78 Dunbar's early poem 'An Ante-bellum Sermon' is an instructive 
J67  79 example of an African American <quote_>"preacherly text."<quote/> 
J67  80 The poetic heritage to which this poem belongs stretches back at 
J67  81 least to the eighteenth- and nineteenth-century sermons of African 
J67  82 American religious leaders, even as it looks forward to the 
J67  83 preacherly performances of James Weldon Johnson, Langston Hughes, 
J67  84 Robert Hayden, and Gwendolyn Brooks. In scaling what Hughes calls 
J67  85 the <quote_>"racial mountain,"<quote/> Dunbar's vernacular 
J67  86 performance illustrates the solid ground of African American poetic 
J67  87 traditions.<p/>
J67  88 <h|>I
J67  89 <p_>For black poets of the nineteenth and twentieth centuries, the 
J67  90 challenge has been to establish the grounds of their literate and 
J67  91 poetic authority without sacrificing the distinctiveness of their 
J67  92 experiences in the New World. These poets have often relieved the 
J67  93 disruptions resulting from different aspects of themselves by 
J67  94 locating their work in a continuum of African American expressive 
J67  95 culture. In their search for poetic voice, they have struggled to 
J67  96 define their experiences as African Americans through tropes of 
J67  97 indigenous and communal subjectivity. Many of them, including 
J67  98 Dunbar, Hughes, Hayden, and Brooks, have made vernacular sermonic 
J67  99 performance of their heritage a primary site of cultural authority 
J67 100 and artistic creativity. The narratives, rhetorical strategies, and 
J67 101 rituals of performance of the vernacular sermon have helped shape 
J67 102 the recurring aesthetic and ideological tendencies of African 
J67 103 American poetry. The relations of preachers and their congregations 
J67 104 have provided these poets with a model for what Barbara Bowen has 
J67 105 called <quote_>"untroubled voice"<quote/>: the performance of 
J67 106 perfect continuity between artist and audience. By performing these 
J67 107 sermons, black poets have mended the divisions in their artistic 
J67 108 voices and the contradictory expectations of their various 
J67 109 audiences, thereby recovering for themselves and their communities 
J67 110 the privileges of vernacular eloquence.<p/>
J67 111 <p_>To explicate the cultural status of the vernacular sermon, I 
J67 112 begin with the historians of the American slave - including John 
J67 113 Blassingame, Eugene Genovese, Lawrence Levine, and Al Raboteau - 
J67 114 who have drawn on 'folklore,' interviews, autobiographies, and 
J67 115 various other kinds of texts to suggest that slaves were able to 
J67 116 survive their oppression by evolving sustaining forms of cultural 
J67 117 expression. The early black sermonic performance was one of the 
J67 118 rituals that defined for slaves and free African Americans their 
J67 119 participation in a unique religious fellowship. According to the 
J67 120 available evidence, slave preachers were esteemed as exemplary 
J67 121 figures in the black community, whether they preached in church, in 
J67 122 the quarters, or in the fields, whether they preached out of the 
J67 123 Bible or from the depths of their hearts. While many slaves were 
J67 124 required to listen to white preachers, some of whom were well 
J67 125 educated and well trained, they clearly preferred to hear black 
J67 126 preachers deliver messages from God. As Nancy Williams, and 
J67 127 ex-slave from Virginia, put it: <quote_>"Dat ole white preachin' 
J67 128 wasn't nothin'. Ole white preachers used to talk wid dey tongues 
J67 129 widdout sayin' nothin' but Jesus told us slaves to talk wid our 
J67 130 hearts"<quote/> (Yetman 13).<p/>
J67 131 <p_>The slave preachers did not necessarily derive their cultural 
J67 132 authority from their ability to read or their facility in speaking 
J67 133 standard English. Often the important issue was whether they could 
J67 134 perform sermons that moved their congregations toward freedom. One 
J67 135 former slave, Clara Young, told her interviewer that it did not 
J67 136 matter that her favorite preacher, Mathew Ewing, was illiterate; 
J67 137 what she cared about most in judging his sermons was his style and 
J67 138 his message. <quote_>"He never learned no readin' and 
J67 139 writin',"<quote/> she reminisced, <quote_>"but he sure knowed his 
J67 140 Bible and would hold his hand out and make like he was readin' and 
J67 141 preach de purtiest preachin' you ever heard"<quote/> (Yetman 335). 
J67 142 She must have been impressed with his wit in reenacting the 
J67 143 gestures of white preachers who read Scripture to their 
J67 144 congregations, but not as much as she was stirred by his eloquence. 
J67 145 Judging from his vast experience with slave congregations, the 
J67 146 white minister Charles C. Jones could say that they were natural 
J67 147 judges of a <quote_>"good sermon,"<quote/> even though such a 
J67 148 sermon might corrupt Christian theology and the English language 
J67 149 (14-15). While recognizing that the slaves preferred to hear black 
J67 150 preachers, he was not willing to admit that these preachers were 
J67 151 evolving their own style of address. Jones championed the use of 
J67 152 religion among slaves as a means of social control without ever 
J67 153 realizing that slaves would use their religion as a way of fighting 
J67 154 oppression.<p/>
J67 155 <p_>Many black congregations expected their preachers to be 
J67 156 vigorous, dramatic, and instructive in language, theme, and 
J67 157 gesture. The textual accuracy of their preachers' readings of the 
J67 158 Bible may not have been a consideration, but the dynamics of 
J67 159 performance were essential. Even if the preachers had to create the 
J67 160 biblical references in their sermons, their congregations demanded 
J67 161 that they breathe life into those creation. In her <tf_>Letters 
J67 162 from New York<tf/>, Lydia Maria Child, the well-known abolitionist, 
J67 163 describes an especially dramatic sermon that Rev. Julia Pell, a 
J67 164 black itinerant preacher, delivered to a Methodist congregation in 
J67 165 1841. Although the regular minister of this church felt compelled 
J67 166 to apologize to the congregation for Pell's misquotations of 
J67 167 Scripture, her performance must have been remarkable. Even the 
J67 168 skeptical Lydia Child admitted that this <quote_>"dusky priestess 
J67 169 of eloquence"<quote/> made her shout and cry with religious fervor 
J67 170 (67). Child offers a rare early description of the rhythmic pacing 
J67 171 of a black sermon, noting that Pell <quote_>"began with great 
J67 172 moderation, gradually rising in her tones, until she arrived at the 
J67 173 shouting pitch ... [that] she sustained for an incredible time, 
J67 174 without taking breath, and with a huskiness of effort."<quote/> 
J67 175 This rhythm of performance, and the physical effort it required, 
J67 176 undoubtedly reinforced the effect of the sermon's thematic climax 
J67 177 and encouraged the enthusiastic response of the congregation. The 
J67 178 section of this climax that Child records can be transcribed as 
J67 179 lines of poetry:<p/>
J67 180 <p_><quote_>Silence in Heaven!<p/>
J67 181 <p_>The Lord said to Gabriel,<p/>
J67 182 <p_>bid all the angels keep silence.<p/>
J67 183 <p_>Go up into the third heavens,<p/>
J67 184 <p_>and tell the archangels to hush their golden harps.<p/>
J67 185 <p_>Let the sea stop its roaring,<p/>
J67 186 <p_>and the earth be still.<p/>
J67 187 <p_>What's the matter now?<p/>
J67 188 <p_>Why, man has sinned,<p/>
J67 189 <p_>and who shall save him?<p/>
J67 190 <p_>Let there be silence,<p/>
J67 191 <p_>while God makes search for a Messiah.<p/>
J67 192 <p_>Go down to the earth;<p/>
J67 193 <p_>make haste, Gabriel,<p/>
J67 194 <p_>and inquire if any there are worthy;<p/>
J67 195 <p_>make haste, Gabriel;<p/>
J67 196 <p_>and Gabriel returned and said,<p/>
J67 197 <p_>No, not one.<p/>
J67 198 <p_>But don't be discouraged.<p/>
J67 199 <p_>Don't be discouraged, fellow sinners.<p/>
J67 200 <p_>God arose in his majesty,<p/>
J67 201 <p_>and he pointed to his own right hand,<p/>
J67 202 <p_>and said to Gabriel,<p/>
J67 203 <p_>Behold the Lion of the tribe of Judah;<p/>
J67 204 <p_>he alone is worthy.<p/>
J67 205 <p_>He shall redeem my people. (65)<quote/><p/>
J67 206 <p_>While the members of the church congregation could not have 
J67 207 found this conversation in their Bibles, they would have understood 
J67 208 that the invented narrative testified to the possibility of 
J67 209 redemption. Although Child cannot record the sound of the sermon, 
J67 210 one can discern a pattern of rising and falling intonations and 
J67 211 perceive the shrillness of Pell's dynamic <quote_>"shouting 
J67 212 pitch."<quote/> As the black preachers tell us at the beginning of 
J67 213 their sermons, they preach as God's instruments. Here Pell 
J67 214 literally creates music with her voice. She provides the 
J67 215 congregation with proof that she is one of <quote_>"God's 
J67 216 trombones."<quote/><p/>
J67 217 <p_>Pell could neither read nor write, Child reports, yet this 
J67 218 preacher's 'illiteracy' does not limit her talents as an artist. 
J67 219 Without 'book learning,' she nonetheless reads and performs the 
J67 220 cultural conventions of the black vernacular sermon. While 
J67 221 societies define and use <tf|>literacy differently, 
J67 222 <quote_>"literacy is always connected with power"<quote/> (Pattison 
J67 223 viii). The sermon quoted above demonstrates that Pell is literate 
J67 224 in the rituals of African American culture, and it measures the 
J67 225 extent to which she exploits her power as a prophet. Unable to read 
J67 226 the Bible, Pell still knows what sermons her congregation needs to 
J67 227 hear. Such knowledge is communal. It is <tf|>shared by preacher and 
J67 228 audience.<p/>
J67 229 <p_>Knowing the tacit rules of performance, many of the blacks in 
J67 230 Pell's audience would have recognized her skill in drawing on the 
J67 231 conventions of delivering a vernacular sermon: the conspicuous 
J67 232 patterns of repetition; the Old Testament imagery and diction; the 
J67 233 allusions to the spirituals; the preacher's freedom to assume the 
J67 234 identity of a biblical character; her dwelling on the inadequacies 
J67 235 of language in the face of divine revelation; her own version of a 
J67 236 biblical character's conversion, narrated through the devices of 
J67 237 vernacular storytelling.
J67 238 
J67 239 
J68   1 <#FROWN:J68\>These people are observers who contribute to the 
J68   2 composite picture of Gary Gilmore, but they also help Mailer 
J68   3 achieve the broad social panorama he admires in writers as 
J68   4 different as Tolstoy and Dreiser. Indeed, Mailer has chided himself 
J68   5 for doing so little with the secondary characters in his previous 
J68   6 novels, a 'flaw' he hoped to correct in <tf_>The Executioner's 
J68   7 Song<tf/>. Here Mailer develops virtually every 'minor' character 
J68   8 and permits each to speak in something like his or her own voice, 
J68   9 however much the several idioms blend into the flat, colloquial 
J68  10 style for which the book is famous. Mailer's defense of his 
J68  11 unadorned prose might apply to the minor characters themselves: 
J68  12 <quote_>"one's style is only a tool to use on a dig."<quote/> Like 
J68  13 the style by which we know them, the secondary characters are 
J68  14 supposed to contribute to the book's larger formal ends.<p/>
J68  15 <p_>One such end is to 'examine' the American reality exposed by 
J68  16 the strange saga of Gary Gilmore. Joan Didion sees Mailer as 
J68  17 capturing two crucial features of western America. The first is 
J68  18 <quote_>"that emptiness at the center of the Western experience, a 
J68  19 nihilism antithetical not only to literature but to most other 
J68  20 forms of human endeavor."<quote/> The second is an inability to 
J68  21 direct our own lives, a failing so pervasive that all the 
J68  22 characters seem to share in <quote_>"a fatalistic drift, a tension, 
J68  23 an overwhelming and passive rush toward the inevitable events that 
J68  24 will end in Gary Gilmore's death."<quote/> I believe that Didion's 
J68  25 insights are exaggerated, but they do point up suggestive 
J68  26 connections between Gilmore and the people who surround him. Bessie 
J68  27 Gilmore, Brenda Nicol, Vern Damico, Kathryne Baker and her 
J68  28 daughters Nicole and April - all are 'trapped' in their futile 
J68  29 efforts to find a life worth living. Indeed, almost every woman in 
J68  30 the book first marries at fifteen or sixteen and eventually marries 
J68  31 at least three or four times, and the men seem equally caught up in 
J68  32 the fatalistic drift Didion notices. Didion does not do justice to 
J68  33 the admirable stability of people like Brenda Nicol and Vern 
J68  34 Damico, but the wasted lives of those around Gilmore suggest that 
J68  35 his own fate is only an exaggerated instance of that moral 
J68  36 emptiness Didion hears in the book's western voices.<p/>
J68  37 <p_>In this respect as in others, Nicole Baker is the second most 
J68  38 important character. Mailer has called her <quote_>"a bona fide 
J68  39 American heroine,"<quote/> but most readers will think she is 
J68  40 rather the quintessential American victim. Promiscuous at eleven, 
J68  41 institutionalized at thirteen, married at fourteen and again at 
J68  42 fifteen, Nicole suffers three broken marriages before she is 
J68  43 twenty. <quote_>"Sex had never been new to Nicole,"<quote/> we are 
J68  44 told (143), and it is more than plausible when she runs off with an 
J68  45 older man because <quote_>"she didn't care where she was 
J68  46 going"<quote/> (117-18). Yet Nicole has virtues to match her 
J68  47 troubling irresponsibility. As Gilmore sees, she is fearless and 
J68  48 fiercely loyal. These are the very qualities that Gilmore counts on 
J68  49 when he manipulates her toward a suicide pact. In his many letters 
J68  50 from jail, he pleads with Nicole not to make love with other men 
J68  51 (350), to give up sex altogether (403-04), and to join him on the 
J68  52 other side in death (472). At the end of book 1, he leads her 
J68  53 toward a double suicide attempt that epitomizes both his 
J68  54 romanticism and his selfishness, even as it climaxes Mailer's 
J68  55 portrait of Nicole as an endearing victim. Later Nicole will be 
J68  56 denied the 'clean' resolution of death, will emerge from yet 
J68  57 another institution to tell Larry Schiller (and Mailer) the story 
J68  58 of her love for Gary Gilmore, and will finally drift off to Oregon 
J68  59 to new lovers if not a new life. Nicole's story is a familiar one 
J68  60 among her family and friends: years of acute aimlessness followed 
J68  61 by an utterly hopeless commitment. Surely it is no accident that 
J68  62 Nicole comes to love Gilmore most fiercely when he is cut off from 
J68  63 her forever. For the Nicoles of the world (and perhaps this means 
J68  64 for all of us), there is no consummation except in an imagined 
J68  65 future.<p/>
J68  66 <p_>The stories of Nicole and the other witnesses point to one of 
J68  67 Mailer's most crucial decisions in structuring book 1. Rather than 
J68  68 trace Gilmore's grim history from reform school through his term in 
J68  69 Marion, Illinois, Mailer chooses to focus on Gilmore's last months 
J68  70 in Provo in 1976. The reasons for this no doubt include Mailer's 
J68  71 desire to achieve greater dramatic unity and to emphasize Gilmore's 
J68  72 'mystery' instead of the familiar stages of American crime and 
J68  73 punishment. But another important reason is to allow Mailer to 
J68  74 flesh out the human context in which Gilmore plays his final role 
J68  75 or sings his final song, as the title would have it. This context 
J68  76 is dominated by the same hateful 'habits' that take more 
J68  77 spectacular forms in Gilmore. Yet the human resources displayed in 
J68  78 book 1 should not be dismissed quite so easily as Didion's 
J68  79 formulation would suggest. Here we get example after example of 
J68  80 human folly, western style, but also many instances of what Mailer 
J68  81 calls <quote_>"American virtue,"<quote/> the American's dogged 
J68  82 determination to do his or her best in the worst of circumstances. 
J68  83 The range of such portraits is really quite extraordinary, from 
J68  84 Gilmore's mother, Bessie, to Brenda Nicol, to the Damicos, to the 
J68  85 irrepressible Nicole. One of the earliest reviewers called <tf_>The 
J68  86 Executioner's Song<tf/> <quote_>"a remarkably compassionate 
J68  87 work,"<quote/> and the truth in this judgment should remind us 
J68  88 that, like Mailer's portrait of Gilmore, book 1 is structured to 
J68  89 highlight the human frailties as well as the abominations of 
J68  90 American life.<p/>
J68  91 <p_>It might seem that book 2 offers a less sympathetic, more 
J68  92 satirical history of Gilmore's last months. The very title of part 
J68  93 1, <quote_>"In the Reign of Good King Boaz,"<quote/> signals a new 
J68  94 kind of irony. Here lawyers and the press are omnipresent and one 
J68  95 eighty-two-page section, 'Exclusive Rights,' is devoted to 
J68  96 virtually nothing but Larry Schiller's and David Susskind's efforts 
J68  97 to corner the Gilmore market, so to speak, by securing exclusive 
J68  98 rights to his story. Packs of reporters are everywhere, confirming 
J68  99 Mailer's worst fears about press. The many lawyers introduced are 
J68 100 often distinguished by one bizarre detail or another, as when Earl 
J68 101 Dorius, Utah's assistant attorney general, is <tf|>excited at the 
J68 102 prospect of an execution and proceeds to work himself into a near 
J68 103 breakdown to ensure that the state of Utah gets its execution on 17 
J68 104 January 1977 (500), or when Dennis Boaz, Gilmore's second lawyer, 
J68 105 supports his client's desire to be executed until it occurs to him 
J68 106 that Gary would prefer to live if he could have connubial visits 
J68 107 from Nicole (590-91), perhaps in Mexico (611)! Gilmore's final 
J68 108 lawyers, Bob Moody and Ron Stanger, are a good deal less eccentric, 
J68 109 but they too partake in the grim legal struggle in which the state 
J68 110 of Utah pursues its pound of flesh, and the ACLU and other liberal 
J68 111 groups fight stubbornly to save a man who does not want to be 
J68 112 saved. The ironies here are obvious and may even seem undramatic. 
J68 113 In the film version of <tf_>The Executioner's Song<tf/> (1982), 
J68 114 scenarist Mailer and director Schiller chose to leave out most of 
J68 115 the materials of book 2, as if they were less relevant than the 
J68 116 more 'immediate' events of book 1.<p/>
J68 117 <p_>My own view is that book 2 is at least as interesting as book 
J68 118 1, a remarkable feat when one considers that the protagonist is all 
J68 119 but unavailable and the heroine is locked up throughout. Once again 
J68 120 Mailer gets great mileage from his so-called minor figures, a few 
J68 121 of whom (e.g., Boaz, Schiller, Barry Farrell) are among his most 
J68 122 memorable characters. Of real interest for their own sake, they 
J68 123 also provide perspective on Gilmore. For example, Gary's brother 
J68 124 Mikal is at first reluctant to allow his brother to die and 
J68 125 participates in legal actions to prevent it. When he finally talks 
J68 126 with Gary, however, Mikal is won over by his brother's seriousness 
J68 127 and depth of feeling. As they part, Gary first kisses Mikal, then 
J68 128 utters perhaps the most haunting words in this very long book: 
J68 129 <quote_>"See you in the darkness"<quote/> (840). A cellmate of 
J68 130 Gilmore's named Gibbs also effectively testifies on Gary's behalf. 
J68 131 A police informer, Gibbs refers to Gilmore as the most courageous 
J68 132 convict he has ever been (759). And Gilmore's relatives, especially 
J68 133 Vern Damico and Toni Gurney, find themselves moving ever closer to 
J68 134 Gilmore as he approaches death. Toni's relationship with Gilmore is 
J68 135 especially moving. She first visits him the day before he is to be 
J68 136 executed and is overwhelmed by his gentle affection (874-75). Later 
J68 137 that day, after her own birthday party, she returns to the party 
J68 138 Gilmore has been permitted at the prison and again experiences 
J68 139 Gary's new warmth (884-86). Toni is sufficiently moved to try to 
J68 140 attend Gary's execution (929). This sequence blends with many other 
J68 141 small but affecting moments to verify the change in Gilmore that is 
J68 142 sensed by many people during his final weeks.<p/>
J68 143 <p_>Mailer uses Barry Farrell and Larry Schiller to temper the more 
J68 144 sentimental implications of book 2, but ultimately these veteran 
J68 145 journalists also testify to Gilmore's surprising depth. The title 
J68 146 of book 2, <quote_>"Eastern Voices,"<quote/> seems to refer to all 
J68 147 those safely established in the social system, whether in the East 
J68 148 or the West: lawyers, reporters, producers, assistant attorney 
J68 149 generals, and so on. Farrell and Schiller are such voices. Each 
J68 150 brings a heavy load of urban skepticism to the Gilmore assignment, 
J68 151 hating Salt Lake City, as Farrell does, and believing there is no 
J68 152 'center' to this story, nothing of real human resonance (577). When 
J68 153 both men come to see Gilmore in a very different light, Mailer is 
J68 154 able to bring his book to a genuine climax.<p/>
J68 155 <p_>Farrell is at first confident that nothing sets Gilmore apart 
J68 156 but his willingness to die. If Gilmore is not executed, Farrell 
J68 157 suggests, he will become indistinguishable from the hundreds of 
J68 158 others condemned to die but never executed (611). As he works with 
J68 159 Gilmore's responses to hundreds of questions, however, Farrell 
J68 160 notices that Gilmore <quote_>"was now setting out to present the 
J68 161 particular view of himself he wanted people to keep"<quote/> (711). 
J68 162 Later Farrell responds profoundly to Gilmore's tapes: 
J68 163 <quote_>"Barry was crying and laughing and felt half triumphant 
J68 164 that the man could talk with such clarity"<quote/> (804). Farrell 
J68 165 still believes that Gilmore <quote_>"had a total contempt for 
J68 166 life"<quote/> (805), but this makes it all the more impressive when 
J68 167 Gilmore responds so <quote|>"humanely" to the massive attention of 
J68 168 his last months (805). Farrell is stunned at Gilmore's apparent 
J68 169 complexity. In the transcripts Farrell spots <quote_>"twenty-seven 
J68 170 poses,"<quote/> twenty-seven different Gilmores (<quote_>"racist 
J68 171 Gary and Country-and-Western Gary, artist manqu<*_>e-acute<*/> 
J68 172 Gary, macho Gary,"<quote/> 806). Farrell begins to pursue the 
J68 173 single Gary who presumably stands behind these multiple poses, but 
J68 174 he is <quote_>"seized with depression at how few were the 
J68 175 answers"<quote/> to his inquiry (811). There is an <quote_>"evil 
J68 176 genius"<quote/> in Gilmore's planning Nicole's suicide, but much 
J68 177 else in Gilmore's life suggests sheer ignorance (812); Gilmore's 
J68 178 relations with Bessie, his mother, seem a potential key, but the 
J68 179 answers to many related questions provide no <quote_>"hope of a 
J68 180 breakthrough"<quote/> (827; see 844). Continuing to ponder 
J68 181 Gilmore's transcripts just before the execution, Farrell turns to 
J68 182 yet another possible solution to the Gilmore mystery: Gilmore's 
J68 183 fascination with small children. But this 'answer' is also 
J68 184 unsatisfactory: <quote_>"It was too insubstantial. In fact, it was 
J68 185 sheer speculation .... beware of understanding the man too 
J68 186 quickly!"<quote/> (855). Beware indeed. Farrell's final comment on 
J68 187 Gilmore takes us back to the passage from Andr<*_>e-acute<*/> Gide 
J68 188 (<quote_>"Please do not understand me too quickly"<quote/>) that 
J68 189 Mailer first used as his epigraph to <tf_>The Deer Park<tf/> 
J68 190 (1955). Farrell's conclusion should caution us against reductive 
J68 191 readings, psychological efforts to pluck out Gilmore's mystery. 
J68 192 Indeed, Gilmore's complexity should impress us as much as it does 
J68 193 Farrell, whose prolonged efforts to understand Gilmore are akin to 
J68 194 Mailer's.<p/>
J68 195 <p_>Larry Schiller's role is in part like Farrell's. Schiller also 
J68 196 looks for the human side to Gilmore, the <quote_>"sympathetic 
J68 197 character"<quote/> buried inside the cold-blooded killer (629), for 
J68 198 Schiller cannot imagine making a successful book or film unless he 
J68 199 first makes this discovery.
J68 200 
J69   1 <#FROWN:J69\><h_><p_>1.1 PEX and PEXlib<p/><h/>
J69   2 <p_>PEX is the 3D extension to X. It adds over 200 X protocol 
J69   3 requests for defining and displaying 3D pictures. PEX provides all 
J69   4 the common features found in most modern 3D graphics systems, but 
J69   5 provides them in a way that's seamlessly integrated with X.<p/>
J69   6 <p_>The PEX graphics model is very unlike the 2D graphics model of 
J69   7 basic X. With PEX you can define objects in convenient coordinate 
J69   8 systems, rotate and move them with modeling transforms, view them 
J69   9 from different angles, and create lit and shaded scenes.<p/>
J69  10 <h_><p_>1.1.1 The PEX Protocol<p/><h/>
J69  11 <p_>As most X programmers know, the underlying mechanism of X is 
J69  12 the X protocol. While most of us think of X as consisting of Xlib, 
J69  13 which generates X protocol, and the X server, which interprets X 
J69  14 protocol, the essence of X is really the protocol itself. It is 
J69  15 what defines X and allows it to be interoperable.<p/>
J69  16 <p_>PEX is an extension to the X protocol. Like the X protocol, PEX 
J69  17 protocol travels between the <tf|>client - the application program 
J69  18 - and the X server (see Figure 1-1). The server contains the 
J69  19 <tf_>PEX server extension<tf/>, which receives and interprets the 
J69  20 PEX protocol and executes the PEX requests. As always in X, the 
J69  21 client and server can be on the same machine or on different 
J69  22 machines.<p/>
J69  23 <p_><O_>figure&caption<O/><p/>
J69  24 <p_>Although PEX is defined as a protocol, it specifies a highly 
J69  25 capable graphics system. This system and how you use it is what 
J69  26 this book is all about.<p/>
J69  27 <h_><p_>1.1.2 PEXlib<p/><h/>
J69  28 <p_>Just as applications use Xlib to create and send X protocol, 
J69  29 so, too, they use PEXlib to create and send PEX protocol. Xlib and 
J69  30 PEXlib act as the application's agent, formatting and sending 
J69  31 requests to carry out the application's will. You do not need to 
J69  32 know PEX protocol to use PEXlib. You need only to understand the 
J69  33 PEX capabilities and PEXlib functions.<p/>
J69  34 <p_>Figure 1-1 shows the relationships between an application, 
J69  35 Xlib, PEXlib, and the X server. The application sits above Xlib and 
J69  36 PEXlib. It calls Xlib for the usual window management tasks, such 
J69  37 as making server connections and creating windows, and calls PEXlib 
J69  38 to draw 3D images. The X and PEX requests travel to the server 
J69  39 intermixed on the same communication channel. The request 
J69  40 dispatcher in the server routes the X requests to the server's 
J69  41 core, and sends the PEX requests to the PEX extension. If other 
J69  42 extensions are being used, then requests for them, too, are 
J69  43 intermixed with the X and PEX requests; the server's dispatcher 
J69  44 routes them to the correct portion of the server.<p/>
J69  45 <p_>In our descriptions of PEX and PEXlib, we'll refer mostly to 
J69  46 PEX, because that's really the system that's providing the 3D 
J69  47 functionality. We'll use PEXlib only when we mean specifically the 
J69  48 PEXlib interface to PEX.<p/>
J69  49 <h_><p_>1.1.3 What's In the Name? Only History<p/><h/>
J69  50 <p_>PEX is an acronym for 'PHIGS Extension to X.' This implies that 
J69  51 the purpose of PEX is to support PHIGS, a popular 3D graphics 
J69  52 standard (1.4). But while PEX does indeed support PHIGS and has 
J69  53 had much of its definition taken from PHIGS, PEX goes beyond PHIGS 
J69  54 in its functionality. The name, at this point, is merely 
J69  55 historical, indicating where PEX had its origins, but not where it 
J69  56 is today.<p/>
J69  57 <h_><p_>1.1.4 How Do I Know if I Have PEX?<p/><h/>
J69  58 <p_>You can determine whether a server has a PEX extension by 
J69  59 invoking the <tf|>xdpyinfo command and searching its output for the 
J69  60 string 'X3D-PEX'.<p/>
J69  61 <p_><tf_>% xdpyinfo | grep X3D-PEX<tf/><p/>
J69  62 <p_>The R5 sample sever from the M.I.T. X Consortium includes a PEX 
J69  63 extension (1.5).<p/>
J69  64 <h_><p_>1.2 PEXlib as a Graphics Library<p/><h/>
J69  65 <p_>Putting aside PEXlib's role as an X extension, you can look at 
J69  66 it as simply another 3D graphics library, one that meshes smoothly 
J69  67 with X. Graphics libraries sit between the application and the 
J69  68 display device, manipulating the device in response to application 
J69  69 commands. Graphics libraries can be low-level or high-level (see 
J69  70 Figure 1-2). Low-level libraries typically provide commands for 
J69  71 manipulating pixels, device registers, and other features of the 
J69  72 display hardware. High-level libraries deal in abstractions like 
J69  73 geometric objects and color. They hide low-level and 
J69  74 hardware<?_>-<?/>dependent details.<p/>
J69  75 <p_><O_>figure&caption<O/><p/>
J69  76 <h_><p_>1.2.1 PEXlib Is a High-level Library<p/><h/>
J69  77 <p_>PEXlib is a high-level graphics library. It allows a programmer 
J69  78 to describe a graphic image in terms of familiar objects and 
J69  79 attributes, without having to deal with the details of producing 
J69  80 that image in a window. PEXlib lets a user say, <tf_>Draw a wide 
J69  81 red line from this point to that point<tf/>, without requiring her 
J69  82 to figure out which pixels to turn on and how to make them look 
J69  83 red. All the details of producing the picture are handled by the 
J69  84 PEX server. The user merely specifies the geometry, the location, 
J69  85 and some appearance attributes for the objects.<p/>
J69  86 <p_>This convenience extends to objects more complex than lines and 
J69  87 attributes more subtle than color. Say an application wants a 
J69  88 picture of a room full of furniture. PEX lets the user describe 
J69  89 where the walls of the room are, the shape, location and color of 
J69  90 the furniture, what types of lights are on and their locations, and 
J69  91 where the viewer is. It then figures out how the room looks to that 
J69  92 viewer - which parts are bright or dim, how the aim of the lights 
J69  93 varies the color across the walls and upholstery - and sets the 
J69  94 pixels on the screen to the values required by the picture (see 
J69  95 Figure 1-3). PEX frees the programmer to compose a picture and not 
J69  96 worry about the details of producing it.<p/>
J69  97 <p_>PEX provides a set of familiar graphics objects called 
J69  98 <tf|>primitives, each with attributes that control its location, 
J69  99 orientation, color, and appearance. You can define simple models or 
J69 100 complex scenes with these primitives. Multiple views of the same 
J69 101 objects can be displayed. You can even animate a scene by setting 
J69 102 it in motion.<p/>
J69 103 <p_><O_>figure&caption<O/><p/>
J69 104 <h_><p_>1.2.2 Displaying a Picture<p/><h/>
J69 105 <p_>PEX gives you two ways to draw a picture: 1) Pass all the 
J69 106 primitives in the scene to PEXlib one by one and have PEX display 
J69 107 them immediately. 2) Store the primitives in a <tf_>graphics 
J69 108 database<tf/>, then tell PEX to display the database. In the first 
J69 109 method, commonly called <tf_>immediate mode<tf/>, you must send all 
J69 110 the primitives to PEX each time you want to change or redisplay the 
J69 111 picture; once PEX draws the primitives, it forgets about them. In 
J69 112 the second method, called <tf_>structure mode<tf/>, you need not 
J69 113 re<?_>-<?/>send the primitives for each redisplay, but merely tell 
J69 114 PEX to redisplay the stored data<?_>-<?/>base. You can selectively 
J69 115 edit the database between redisplays, changing only those parts of 
J69 116 the picture that should be different in each scene. The primitives 
J69 117 and their attributes are stored in the database in containers 
J69 118 called <tf|>structures.<p/>
J69 119 <p_>There are advantages and disadvantages to both these methods. 
J69 120 Most applications are suited to one or the other. Immediate mode is 
J69 121 best for applications that must continuously re-specify the 
J69 122 complete images, such as animated simulation programs that display 
J69 123 different geometry with each frame. Structure mode is best for 
J69 124 programs such as computer-aided design programs that create a 
J69 125 graphics model and edit portions of it frequently or view it in 
J69 126 different ways.<p/>
J69 127 <p_>It's also possible to mix both immediate mode and structure 
J69 128 mode. You can store the static or infrequently changed parts of 
J69 129 your model in structures, and draw the other parts using immediate 
J69 130 mode.<p/>
J69 131 <h_><p_>1.2.3 Limitations of PEX<p/><h/>
J69 132 <p_>PEX has some limitations. It does not do ray tracing or 
J69 133 radiosity. It doesn't compute shadows or follow light as it bounces 
J69 134 from one object to another. It does not yet provide texture 
J69 135 mapping, so you can't tell it to accurately display your marble 
J69 136 table. And motion blur and realistic fog would be tough to do with 
J69 137 PEX.<p/>
J69 138 <p_>PEX implementations can extend PEX functionality, so some PEX 
J69 139 implementations may indeed calculate shadows or perform texture 
J69 140 mapping; but they'll do it in an implementation-dependent way that 
J69 141 may not be the way it's done in other implementations.<p/>
J69 142 <p_>PEX implementations may have other limits. Most restrict the 
J69 143 number of light sources you can use (although often to a high 
J69 144 number), some don't do depth cueing, and some provide only flat or 
J69 145 Gouraud shading. Most PEX implementations do provide the majority 
J69 146 of the PEX functionality, however, and offer a powerful, useful, 
J69 147 and portable set of graphics capabilities, even though they don't 
J69 148 support all PEX features. PEXlib provides functions for determining 
J69 149 which features a PEX server extension does support.<p/>
J69 150 <h_><p_>1.3 Overview of PEXlib<p/><h/>
J69 151 <p_>Table 1-1 shows you what's in PEX. It lists the major PEX 
J69 152 features and tells you where in this book we've put their primary 
J69 153 description. Examples of using the features are throughout the 
J69 154 book. See the Index to find the location of specific examples.<p/>
J69 155 <p_><O_>caption&table<O/><p/>
J69 156 <h_><p_>1.4 The Relationship between PEX and PHIGS<p/><h/>
J69 157 <p_>PEX owes much of its origin to PHIGS. PHIGS [14] is a 3D 
J69 158 graphics standard sanctioned by the International Organisation for 
J69 159 Standardisation (ISO). It's been available since 1988, and is used 
J69 160 by many graphics applications. A primary goal of PEX is to support 
J69 161 PHIGS in the X environment, although that is not its only goal.<p/>
J69 162 <p_>To an application, PHIGS serves much the same purpose as 
J69 163 PEXlib, sitting between the application and the server, as shown in 
J69 164 Figure 1-4. In the X environment, PHIGS sends PEX protocol to the X 
J69 165 server to carry out the PHIGS functions.<p/>
J69 166 <p_>With the birth of PEXlib, PHIGS implementations can themselves 
J69 167 use PEXlib to format and send the PEX requests.<p/>
J69 168 <p_><O_>figure&caption<O/><p/>
J69 169 <p_>Most of the PEX requests were designed to support the identical 
J69 170 functionality in PHIGS. Consequently, PEXlib and PHIGS use the same 
J69 171 graphics primitives and attributes, and share the same model for 
J69 172 defining a scene and rendering it. But PEXlib goes beyond PHIGS, 
J69 173 providing immediate-mode rendering and better integration with 
J69 174 X.<p/>
J69 175 <p_>Because the PHIGS standard was defined before X was popular, it 
J69 176 has no knowledge of X, specifically, the role of X in controlling 
J69 177 the display and input devices and the aim of X to be 'policy free.' 
J69 178 PHIGS defines its own ways to control the screen and the available 
J69 179 input devices. It defines a central graphics database rather than a 
J69 180 distributed one, and makes several of the decisions that a 
J69 181 policy-free interface would leave to the application. Therefore 
J69 182 it's not well suited as an extension to Xlib. PHIGS can be 
J69 183 implemented so that it's well-integrated within X, but parts of it 
J69 184 would have to be redefined to serve as an extension to Xlib - a 
J69 185 nearly impossible task now that PHIGS is an approved standard and 
J69 186 in wide use.<p/>
J69 187 <p_>PEX and PEXlib are the results of a fresh start on a 3D 
J69 188 interface for X. While accommodating and building on PHIGS, they 
J69 189 begin with the assumption that 3D graphics should be an integral 
J69 190 part of the window system. PEXlib uses the existing X mechanisms: 
J69 191 the communication channel, protocol requests and replies, the X 
J69 192 event queue, and error events. It avoids specifying policy, and 
J69 193 instead provides the functions needed by the application to execute 
J69 194 its own policy. By providing an immediate-mode capability, PEX 
J69 195 meets the needs of more graphics applications than PHIGS.<p/>
J69 196 <h_><p_>1.5 Where to Get PEX and PEXlib<p/><h/>
J69 197 <p_>PEX server extensions are available from most major workstation 
J69 198 vendors, as well as the M.I.T. X Consortium. PEXlib, too, is 
J69 199 available from these same sources.<p/>
J69 200 <p_>The PEX and PEXlib products provided by workstation vendors are 
J69 201 usually highly optimized for the vendor's computer and display 
J69 202 devices. These implementations typically provide the best possible 
J69 203 performance for those devices. Some vendors require you to buy 
J69 204 their graphics accelerator hardware to get reasonable or high 
J69 205 performance, however.<p/>
J69 206 <p_>The X Consortium's PEX implementation is known as the 
J69 207 <tf_>sample implementation<tf/>, or simply, the <tf|>PEX-SI. As of 
J69 208 late 1992, the <tf|>PEX-SI does not support some high-level PEX 
J69 209 features, such as shading and hidden line and hidden surface 
J69 210 removal. It also does not provide the highest possible performance 
J69 211 on many display devices. Nevertheless, it's a reliable and useful 
J69 212 implementation, and provides a good basis for learning PEX and a 
J69 213 good starting point for building more complete implementations.<p/>
J69 214 <p_>There is only a C interface for PEXlib. We have not heard of an 
J69 215 effort to define a <tf|>FORTRAN binding or any other interface.<p/>
J69 216 
J70   1 <#FROWN:J70\><h_><p_>Enhancing CRP values<p/>
J70   2 <p_>By Ted Hawn and Mike Getman<p/><h/>
J70   3 <p_><tf_>Cooperative, interagency assistance to CRP 
J70   4 contract-holders in Montana has resulted in some model acreages 
J70   5 from the standpoint of soil erosion control and wildlife habitat 
J70   6 development<tf/><p/>
J70   7 <p_>A model Conservation Reserve Program (CRP) contract. That's how 
J70   8 one might describe Lee Berry's land in central Montana. Berry is a 
J70   9 landowner with an eye to the future. His 445 acres, enrolled in the 
J70  10 CRP in 1988, now provide optimal values for soil erosion control 
J70  11 and wildlife habitat.<p/>
J70  12 <p_>Seeding the recommended mix of three wheatgrasses, alfalfa, and 
J70  13 clover, Berry also planted nearly 24,000 feet of tree rows - more 
J70  14 than 4,400 trees. At a county tour held during the fall of 1989, 
J70  15 county commissioners, conservation district supervisors, and other 
J70  16 local agency personnel saw first<?_>-<?/>hand what it takes to 
J70  17 successfully establish CRP cover. At a stop on the Berry farm, tour 
J70  18 delegates were duly impressed when several walked into a 
J70  19 seven-foot-high clover and grass field resembling a willow thicket 
J70  20 and disappeared from view. With assistance from the U.S. Fish and 
J70  21 Wildlife Service (FWS), three ponds were constructed and food plots 
J70  22 were added. The diversity of habitat has resulted in phenomenal 
J70  23 changes in the wild<?_>-<?/>life species present and their 
J70  24 populations.<p/>
J70  25 <h_><p_>Opportunities aplenty<p/><h/>
J70  26 <p_>The 1985 farm bill's CRP has provided excellent opportunities 
J70  27 for the management of natural resources on private land. Federal 
J70  28 and state agencies have taken this opportunity to complement and 
J70  29 maximize the benefits on CRP acres. Most agencies have tailored 
J70  30 their programs to benefit the resource for which they are 
J70  31 responsible. The Private Lands Program was created by the FWS to 
J70  32 develop wetland habitats in conjunction with CRP with emphasis on 
J70  33 improving waterfowl production. Improved nesting habitat on private 
J70  34 land should aid continental duck populations, which are at record 
J70  35 lows. Grass and legume plantings on highly erodible land provide 
J70  36 excellent erosion control and the necessary cover for waterfowl to 
J70  37 nest on millions of acres throughout the region.<p/>
J70  38 <p_>The scarcity of water is a limiting factor for waterfowl 
J70  39 production in Montana. The Private Lands Program emphasizes water 
J70  40 development, and projects typically consist of restoring wetlands, 
J70  41 repairing dams, or constructing new impoundments. Interested 
J70  42 landowners also can receive funding to include certain grass and 
J70  43 forb species in their seeding mixtures. This assistance, in 
J70  44 conjunction with cost-sharing funds from the Agricultural 
J70  45 Stabilization and Conservation Service, generally covers most of 
J70  46 the cost of obtaining seed for these plantings.<p/>
J70  47 <p_>Data collected on first-year water projects in CRP fields 
J70  48 confirmed that ducks readily occupy newly created habitat. 
J70  49 Waterfowl pair counts showed an average of 2.2 breeding pairs per 
J70  50 wetland acre. This is similar to the pair counts during the Prairie 
J70  51 Pothole region's highest production levels in the 1950s and 1960s. 
J70  52 Production most likely will increase in the future because progeny 
J70  53 return to the same area to nest.<p/>
J70  54 <p_>Field observations also have shown increased benefits to 
J70  55 resident wildlife. An estimated 300 pheasants wintered in a 50-acre 
J70  56 CRP field where the diverse seed mixture provided optimal cover and 
J70  57 food needs. An ongoing radio telemetry study has shown that 
J70  58 white-tailed deer and mule deer have preference for and concentrate 
J70  59 in CRP fields. Elk also have been seen using these fields, 
J70  60 especially where sweetclover or alfalfa are planted.<p/>
J70  61 <p_>More than 150 mule deer wintered in 1988-1989 on Fred Lahr's 
J70  62 CRP fields just south of Denton, Montana, in an area where few deer 
J70  63 were seen on annual census routes. Biologists for the Montana 
J70  64 Department of Fish, Wildlife and Parks attributed the increased 
J70  65 wildlife populations to the excellent diversity of wheatgrasses and 
J70  66 alfalfa on Lahr's CRP acres. Soil Conservation Service 
J70  67 conservationists have worked closely with Lahr on his 700 CRP 
J70  68 acres. They assisted in designing four separate 
J70  69 shelter<?_>-<?/>belt and habitat plantings. In addition, FWS 
J70  70 constructed three dams to provide water for wildlife.<p/>
J70  71 <p_>Residual vegetation is a key factor in providing suitable 
J70  72 nesting cover for waterfowl, upland game birds, and other ground 
J70  73 nesting birds. For high quality nesting cover, seed mixtures 
J70  74 include rhizomatous grasses that provide more contiguous nesting 
J70  75 cover than does the scattered cover associated with bunchgrasses. 
J70  76 Grass species with fibrous stalks and leaves that are resistant to 
J70  77 flattening from winter winds and snow provide higher quality 
J70  78 nesting cover. Forbs, such as alfalfa and clover, provide diversity 
J70  79 for nesting cover and are preferred forage for mule deer, 
J70  80 white-tailed deer, and elk.<p/>
J70  81 <p_>The CRP acres on Pat Burton's Double B Farms also exemplify 
J70  82 what can come of extra effort to further program goals. Burton's 
J70  83 1,100 CRP acres are situated in the fragile semiarid area of the 
J70  84 rugged Missouri River Breaks and adjoining the Charles M. Russell 
J70  85 National Wildlife Refuge. Drought and grasshoppers plagued his 
J70  86 1987-1988 plantings, causing the seeding on about 620 acres to 
J70  87 fail. Another factor also affected seeding establishment. Elk from 
J70  88 the adjoining refuge sought out tender seedlings and 150 to 200 
J70  89 head spent part of the winter on the fields.<p/>
J70  90 <p_>Working through the Montana Department of Fish, Wildlife and 
J70  91 Parks' Upland Game Enhancement Program, Burton seeded a mixture of 
J70  92 three wheatgrasses, clover, and alfalfa. Native upland gamebirds, 
J70  93 such as sharp-tailed and sage grouse, should benefit from the 
J70  94 improved nesting and protective cover. Also, a number of shallow 
J70  95 water developments will be constructed using Private Lands Program 
J70  96 funds.<p/>
J70  97 <h_><p_>Willing landowners<p/><h/>
J70  98 <p_>Landowner attitudes toward this multi<?_>-<?/>agency approach 
J70  99 to enhancing resource management generally have been positive. 
J70 100 Landowners favor programs that provide an annual income, improve 
J70 101 the equity in their land, and allow them a decisive role in 
J70 102 management. Some landowners were hesitant at the outset. But after 
J70 103 several projects were successfully completed and the benefits from 
J70 104 these programs became obvious, the interest increased to the extent 
J70 105 that it now exceeds the financial and manpower capabilities of the 
J70 106 several agencies involved in the project.<p/>
J70 107 <p_>Maximum accomplishments occur when personnel from agencies with 
J70 108 programs to assist landowners coordinate and cooperate with each 
J70 109 other. Landowners with specific objectives can be directed to the 
J70 110 agency that best serves his or her needs. In many situations, a 
J70 111 landowner's objectives can be met and funded cooperatively among 
J70 112 agencies in a way that multiple resource benefits can occur.<p/>
J70 113 <p_>Everyone gains through these cooperative ventures. Decisions 
J70 114 are made at the local level, and the land is treated according to 
J70 115 its suitability. Soil erosion is controlled, wildlife habitat is 
J70 116 developed, and a healthy working relationship is established 
J70 117 between landowners and the government agencies involved.<p/>
J70 118 <p_>The pressure is on all people involved in natural resource 
J70 119 management to be creative and flexible in managing natural 
J70 120 resources. Through these cooperative working relationships and 
J70 121 mutually beneficial programs, all of society wins.<*_>square<*/><p/>
J70 122 <p_><tf_>Citizens in Mason County, Illinois, have found that by 
J70 123 working together they can deal effectively with 
J70 124 agricultural-related threats to local drinking water 
J70 125 supplies<tf/><p/>
J70 126 <h_><p_>Local resource planning for water quality improvement<p/>
J70 127 <p_>By Dale A. Boyd<p/><h/>
J70 128 <p_>THE scene was a local coffee shop in Mason County, Illinois. 
J70 129 Farmers were discussing a research study that showed high levels of 
J70 130 nitrates and traces of pesticides in the local aquifer that 
J70 131 supplies drinking water to most of the county. Nitrates exceeded 
J70 132 the drinking water standard in 70 percent of the samples from 10 
J70 133 monitoring wells and in 39 percent of the samples from 14 generally 
J70 134 deeper domestic wells. Trace levels of metribuzin; atrazine; and/or 
J70 135 simazine, propachlor, and trifluralin were detected in groundwater 
J70 136 samples from 10 to 13 monitoring wells located downgradient of corn 
J70 137 and soybean fields (<tf|>3). No trace levels were found in the 
J70 138 domestic wells.<p/>
J70 139 <p_>The farmers were concerned for two reasons. First, the aquifer 
J70 140 was their supply of drinking water. Second, they were worried that 
J70 141 if the problem persisted they would be forced to stop using 
J70 142 chemicals vital to their farming operations.<p/>
J70 143 <p_>The result of that early morning discussion was the Illinois 
J70 144 River Sands Water Quality Project, which has been a reality in 
J70 145 Mason County, Illinois, since the spring of 1990. The project came 
J70 146 about because of a unique grassroots effort organized by local 
J70 147 individuals and farm organizations to address existing and future 
J70 148 water quality problems. It is an excellent example of local 
J70 149 organizers working successfully with state and federal agencies to 
J70 150 solve problems within a community.<p/>
J70 151 <p_>Nationwide, 74 hydrologic-unit-area water quality projects have 
J70 152 received funding. The Mason County project is one of two in 
J70 153 Illinois. The activities of a group of concerned citizens and local 
J70 154 organizational representatives known as the Water Issues Resource 
J70 155 Planning Committee were important factors in the project's 
J70 156 selection. Resource planning is a process that encourages 
J70 157 individuals in a community to come together to identify and discuss 
J70 158 mutual problems and needs and, with the help of federal and state 
J70 159 technical advisors, develop a plan of action to address local 
J70 160 resource concerns <p/>
J70 161 <h_><p_>The backdrop<p/><h/>
J70 162 <p_>Mason County soils include large areas of sands, the remnants 
J70 163 of a prehistoric river bed. Water in the aquifer is held in pore 
J70 164 spaces in a sand layer that ranges from 60 to 200 feet thick, 
J70 165 depending upon the location in the county. The water table is high. 
J70 166 In most places it is only 3 to 12 feet below the surface. The 
J70 167 available, abundant supply of water has resulted in 35,000 acres of 
J70 168 specialty crops grown annually (<tf|>1) and more than 100,000 acres 
J70 169 of irrigated fields. Combined with shallow domestic wells, 
J70 170 conditions are such that the drinking water supply is quite 
J70 171 susceptible to contamination by farm chemicals. According to 
J70 172 Hallberg (<tf|>2), while nonfertilizer uses, such as septic systems 
J70 173 or manure disposal, may cause nitrate contamination in specific 
J70 174 circumstances, regional increases in nitrate levels in shallow 
J70 175 groundwater directly reflect increased use of nitrogen fertilizers, 
J70 176 especially in sensitive areas, such as western Mason County.<p/>
J70 177 <p_>Some families with small children have had to haul water 
J70 178 because of high nitrate concentrations. Excessive nitrates can 
J70 179 reduce an infant's ability to carry oxygen in its blood, causing a 
J70 180 condition known as methemoglobenemia or 'blue baby' syndrome.<p/>
J70 181 <p_>Concerned farmers approached the Soil Conservation Service 
J70 182 (SCS) district conservationist in March 1989 to ask what the agency 
J70 183 could do to help. SCS representatives took the case to the Mason 
J70 184 County Soil and Water Conservation District Board, which formed the 
J70 185 Water Issues Resource Planning Committee. That committee's first 
J70 186 meeting was held May 24, 1989. Efforts were made to have diverse 
J70 187 interests in the community represented. Members included 
J70 188 individuals from local and state governmental agencies, local farm 
J70 189 organizations, and agribusinesses. This initiative led to the area 
J70 190 qualifying for the U.S. Department of Agriculture's water quality 
J70 191 hydrologic-unit-area designation.<p/>
J70 192 <p_>Committee members realized that, while they understood the 
J70 193 nature of the problems in their community, they did not have the 
J70 194 technical expertise or the financial resources to arrive at a 
J70 195 solution by themselves. They again asked the SCS district 
J70 196 conservationist for help. As part of the resource planning process, 
J70 197 a technical advisory committee was formed and met for the first 
J70 198 time in June 1989. This subcommittee of the Water Issues Resource 
J70 199 Planning Committee included technical experts from the University 
J70 200 of Illinois; members of local farm organizations; and 
J70 201 representatives of federal, state, and county governmental 
J70 202 agencies. It provides technical assistance and guidance to the 
J70 203 local resource planning committee, which makes decisions based on 
J70 204 technical advisory committee findings and reports.<p/>
J70 205 <p_>The resource planning committee then met and discussed problems 
J70 206 and concerns about the local aquifer. Members decided that their 
J70 207 overall objective should be to maintain and enhance the quality of 
J70 208 water from the aquifer. They also decided to limit the project area 
J70 209 to the western two-thirds of the county, where more than 600 
J70 210 irrigation systems irrigate about 100,000 acres.<p/>
J70 211 <p_>The result of this work was a resource plan. The purpose of a 
J70 212 resource plan is to document a resource problem in an area and 
J70 213 outline alternative solutions that can be used in addressing the 
J70 214 problem. In this case, the resource plan was used as the basis to 
J70 215 apply for USDA water quality hydrologic-unit-area funds.<p/>
J70 216 <p_>The technical advisory committee recommended a number of 
J70 217 practices, many related to agricultural production, that could 
J70 218 reduce the amount of chemicals reaching the aquifer. After the 
J70 219 planning committee chose practices from the alternatives presented, 
J70 220 they asked SCS, the Agricultural Stabilization and Conservation 
J70 221 Service (ASCS), and the Cooperative Extension Service (CES) to 
J70 222 assist in developing a joint plan of work to maintain and improve 
J70 223 the aquifer.<p/>
J70 224 
J71   1 <#FROWN:J71\><h_><p_>Submarine Maneuver Control<p/>
J71   2 <p_>By William P. Gruner and Henry E. Payne III<p/><h/>
J71   3 <p_>Submarine warfare is no longer limited to launching weapons 
J71   4 against enemy ships, submarines, and land targets and evading enemy 
J71   5 antisubmarine (ASW) attacks. It includes collecting intelligence 
J71   6 information on activities near foreign shores and at sea and 
J71   7 tracking, intercepting, and escaping from foreign submarines. To 
J71   8 meet these challenges, U.S. submarines must be able to maneuver 
J71   9 rapidly while engaged in their missions.<p/>
J71  10 <p_>The public generally is not aware of the close encounters our 
J71  11 submarines experience. Table 1 shows a few examples.<p/>
J71  12 <p_>The need for great maneuverability in these deadly games of 
J71  13 observe, tag, and evade is evident. To make an effective and safe 
J71  14 maneuver in the proximity of other submarines, ships, and mines, a 
J71  15 diving officer needs two things - precise control of his own 
J71  16 submarine and accurate knowledge of the positions and movements of 
J71  17 other vessels and objects. Our existing attack and ASW submarines 
J71  18 are hampered by three major shortcomings.<p/>
J71  19 <p_><*_>black-triangle<*/> Although capable of speeds in excess of 
J71  20 30 knots, they are unable to make small-radius turns at high speeds 
J71  21 safely, because they become unstable.<p/>
J71  22 <p_><*_>black-triangle<*/> The normally used four-man, manually 
J71  23 operated control system lacks the rapid-response capability for 
J71  24 directional control of an unstable submarine.<p/>
J71  25 <p_><*_>black-triangle<*/> The captain of a submerged submarine has 
J71  26 little knowledge of the precise locations of other submarines and 
J71  27 ships in his vicinity. Consequently, he does not know how best to 
J71  28 maneuver.<p/>
J71  29 <p_><tf_>The Stability Problem<tf/>. A submarine at rest has static 
J71  30 stability. When it starts to pitch or roll, moments are generated 
J71  31 by buoyancy and weight forces to restore it to the rest position. 
J71  32 When propelled, it has dynamic stability if it can be made to 
J71  33 follow a predictable path. However, pitch-yaw hydrodynamic coupling 
J71  34 (the dreaded snap roll) causes severe stability problems when 
J71  35 maneuvering at high speeds. Dynamic stability is a prerequisite for 
J71  36 directional control, and directional control is a prerequisite for 
J71  37 maneuverability. High maneuverability cannot now be achieved 
J71  38 because directional control cannot be maintained when large rudder 
J71  39 angles are applied at speeds in excess of 15-20 knots. Once control 
J71  40 is lost, the submarine may be lost if the diving officer cannot 
J71  41 regain control.<p/>
J71  42 <p_>Recognition of this instability problem did not come until very 
J71  43 powerful propulsion plants and better stream<?_>-<?/>lining made 
J71  44 high speeds possible. The problem was high<?_>-<?/>lighted in 1954 
J71  45 when the experimental high-speed, battery-powered submarine USS 
J71  46 <tf|>Albacore (AGSS-569), designed with a sleek body-of-revolution 
J71  47 hull, became operational. With a top speed greater than 30 knots, 
J71  48 she was equipped with specially designed control surfaces and a 
J71  49 fully automated control system that could be operated with from one 
J71  50 to four men, with or without selected automation. Instability soon 
J71  51 became evident. One commentator noted, <quote_>"If in a melee 
J71  52 situation, a modern high-speed sub pilot tries to turn too sharply 
J71  53 at too high a speed, he might find himself in a snap roll, hanging 
J71  54 from his seat belt and with a loss of several hundred feet in depth 
J71  55 at a markedly slowed speed."<quote/><p/>
J71  56 <p_><O_>table&caption<O/><p/>
J71  57 <p_>An early lack of concern about the stability problem probably 
J71  58 was because, until the end of World War II, very few of the world's 
J71  59 submarines had submerged speeds in excess of ten knots. Manual 
J71  60 control of bow and stern planes and helm by separate operators 
J71  61 directed by a diving officer was considered adequate at normal 
J71  62 speeds of two to six knots. If 'the bubble was lost' while 
J71  63 increasing depth, an alert diving officer could soon regain control 
J71  64 by backing and blowing tanks.<p/>
J71  65 <p_>Later, when nuclear-powered submarines of the <tf|>Skipjack 
J71  66 (SSN-585), <tf|>Sturgeon (SSN-637), and <tf_>Los Angeles<tf/> 
J71  67 (SSN-688) classes - all characterized by body-of-revolution hull 
J71  68 designs and large sails - became operational, they, too, had 
J71  69 stability problems similar to the <tf_>Albacore<tf/>'s. Their 
J71  70 instability is caused by external variable forces acting on their 
J71  71 hulls - a result of pressures exerted by the swirling masses of 
J71  72 water that are continuously generated by the hull as it turns and 
J71  73 drives its way through the ocean. These masses of water, termed 
J71  74 vortices, rotate inward toward the center of the hull. The higher 
J71  75 the submarine's speed, the more energy is imparted to them, and the 
J71  76 greater the pressures acting on the hull.<p/>
J71  77 <p_>Figure 1 is a computer simulation of vortices generated by a 
J71  78 submarine during the mid-stage of an evasive maneuver at 24 knots 
J71  79 with a 30 rudder angle. Note the displacements of the twin 
J71  80 vortices as the ship progresses through the water and the effect of 
J71  81 the sail on their location. Under the influence of the forces 
J71  82 generated, the stern will squat down and the bow pitch up. 
J71  83 Meanwhile, the forces will cause the submarine to sink and slow, 
J71  84 and it will go into a snap roll unless speed is reduced by backing 
J71  85 and the rudder put amidships.<p/>
J71  86 <p_>Sample patterns of wind tunnel airflow tests, using a scale 
J71  87 model of the <tf|>Skipjack hull, are shown in Figure 2. The first 
J71  88 pattern shows the airflow to be quite smooth when the submarine is 
J71  89 on straight course. However, when the model is placed at 
J71  90 significant roll and yaw angles as in the second pattern, the 
J71  91 strong influence of the sail pulls the upper vortex out of its 
J71  92 place along the hull and into the wake of the sail. Comparisons of 
J71  93 such patterns at different roll angles, yaw angles, and speeds 
J71  94 reveal dramatic variation in the oscillating flow and pressure 
J71  95 patterns.<p/>
J71  96 <p_>Full-scale submarines experience similar flow conditions when 
J71  97 large rudder angles are applied at high speeds. Resulting 
J71  98 unbalanced pressures on the sail, for example, can produce forces 
J71  99 of millions of pounds, with corresponding moments great enough to 
J71 100 rotate a submarine about its roll axis. This results from a 
J71 101 submarine's relatively small righting moment (because of its small 
J71 102 meta<?_>-<?/>centric height) about the roll axis.<p/>
J71 103 <p_><tf_>The Directional Control Problem<tf/>. When a roll begins 
J71 104 under these conditions, a coupling of motions about the roll, 
J71 105 pitch, and yaw axes occurs to cause a submarine to veer suddenly 
J71 106 and radically in unexpected directions and to change depth and 
J71 107 speed. Manual control under such conditions becomes highly 
J71 108 difficult, if not impossible.<p/>
J71 109 <p_>In discussing directional control of the <tf|>Albacore, an 
J71 110 early commanding officer stated, <quote_>"It was evident that the 
J71 111 <tf|>Albacore performed significantly better without automated 
J71 112 controls programmed by a single operator than she did with a 
J71 113 standard four-man team of diving officer, helmsman, bow planesman, 
J71 114 and stern planesman."<quote/> He likened the submarine control 
J71 115 problem to that of high-speed aircraft in which <quote_>"designers 
J71 116 turn to higher performance control machines to offset human 
J71 117 limitations in sensing and reacting, a lack of uniformity of 
J71 118 performance, and limited adaptability to performing multiple 
J71 119 requirements simultaneously."<quote/> He believed future submarines 
J71 120 would be <quote|>"flown" with automatic controls with pilot 
J71 121 override.<p/>
J71 122 <p_>Limited human capabilities - the human brain and muscular 
J71 123 control systems operate too slowly and have other limitations - 
J71 124 caused airplane designers to turn to higher-performance-control 
J71 125 machines. Pilots are unable to keep pace with rapidly changing 
J71 126 situations while faced with multiple tasks during aerial combat, 
J71 127 low-level flying, and landing. Further, human systems, if under 
J71 128 stress, are likely to err, function inconsistently, and freeze. The 
J71 129 repeatability and reliability of modern computer-aided systems have 
J71 130 made them the only choice for high-speed airplane maneuvers. For 
J71 131 similar reasons, they are the only choice for controlling 
J71 132 high-speed submarine maneuvers.<p/>
J71 133 <p_>Despite the <tf_>Albacore<tf/>'s favorable experience with the 
J71 134 automatic one-man control system in the mid-1950s, the system was 
J71 135 looked upon with suspicion. Although other work was performed to 
J71 136 improve the controllability of submarines at high speeds, the basic 
J71 137 four-man diving team used in low-speed submarines was applied to 
J71 138 nuclear-powered submarines, with limited provision for a one-man 
J71 139 control system. To minimize the risk of loss of control, 
J71 140 maneuverability is now limited by operational procedures that 
J71 141 constrain rudder angles to a very few degrees at speeds above about 
J71 142 15 knots. As another safety measure, the rudder control system 
J71 143 prevents the application of large rudder angles at high speeds.<p/>
J71 144 <h_><p_>The Approach to Greater Submarine Control<p/><h/>
J71 145 <p_>For our submarines to achieve greater maneuverability, they 
J71 146 must be modified through the application of current technical 
J71 147 knowledge in control systems, hydrodynamics, human engineering, and 
J71 148 physics. Much of this knowledge can be borrowed from aircraft and 
J71 149 missile engineers, who were faced with stability and control 
J71 150 problems as soon as Orville and Wilbur Wright demonstrated a 
J71 151 capability for powered flight in 1903.<p/>
J71 152 <p_>The well-known author and aeronautical engineer Nevillle Shute 
J71 153 described the state of airplane control during World War I, when 
J71 154 most airplanes flew at speeds of 60-130 knots. <quote_>"We knew 
J71 155 that a clumsily executed turn might have the effect of putting an 
J71 156 aeroplane into a spinning nose-dive (a Parke's Dive, some of us 
J71 157 called it, because Lieutenant Parke was one of the very few people 
J71 158 who had come out of it alive). In general, a spin, once started, 
J71 159 continued to the ground, the machine hitting very violently. And 
J71 160 that literally, was all we knew about it."<quote/><p/>
J71 161 <p_>As airplane speeds increased, it became obvious that manual 
J71 162 flight control was no longer acceptable. It was recognized that, 
J71 163 <quote_>"human pilots were incapable of adequately compensating for 
J71 164 the rapid changes encountered during tactical engagements, adverse 
J71 165 weather conditions, ground<?_>-<?/>skimming flight, and other 
J71 166 maneuvers. To make flight feasible, pilots were provided with 
J71 167 assistance in the form of automatic flight-control systems. Such 
J71 168 systems now are incorporated in all modern high-performance 
J71 169 aircraft, including C-141 and C-5 transports, B-1 and B-2 bombers, 
J71 170 and F-4, A-6, F-14, F-15, and F-16 fighters and fighter-bombers.<p/>
J71 171 <p_>"Individual systems vary from aircraft to aircraft, but in 
J71 172 general provide pitch, roll, and yaw control augmentation, 
J71 173 autopilot modes of operation, and altitude hold. The pilot normally 
J71 174 enters maneuvering orders by means of stick or control column and 
J71 175 rudder pedals. Major elements of the flight-control system include 
J71 176 control-force transducers, pressure and temperature sensors, 
J71 177 directional gyros, accelerometers, a central air-data computer, and 
J71 178 a flight-control computer. The latter interprets transducer input 
J71 179 from pilot actions and other data sources, processes data, and 
J71 180 sends commands to the various servo-actuators to assure that proper 
J71 181 control surface and device responses are made to pilot orders 
J71 182 within safe flight limits. Control system reliability is achieved 
J71 183 by rigid parts selection; inspection and test at component, 
J71 184 subassembly, and system levels; and redundancy in electronic, 
J71 185 hydraulic, and power supply elements."<quote/><p/>
J71 186 <p_>While scientists and engineers were developing systems to 
J71 187 control supersonic aircraft, others were developing control systems 
J71 188 for intercontinental ballistic missiles, to enable them to deliver 
J71 189 payloads accurately and reliably to targets thousands of miles 
J71 190 distant. At that time, submarine designers seemed content to modify 
J71 191 two-dimensional control systems for submarines operating in a 
J71 192 three-dimensional ocean. Since these systems do not provide the 
J71 193 degree of maneuverability required, a new control capability must 
J71 194 be developed - one similar to aircraft and missile control-system 
J71 195 technology.<p/>
J71 196 <p_>All bodies in motion - including submarines and 
J71 197 air<?_>-<?/>planes - are subject to the same inviolable laws of 
J71 198 physics. These laws govern relationships between mass, force, 
J71 199 torque, inertia, and acceleration. One important law states that 
J71 200 rotational acceleration about an axis is proportional to the moment 
J71 201 applied and inversely proportional to the inertia characteristic 
J71 202 (moment of inertia) of the body about that axis. The high energy 
J71 203 vortices noted previously and the large sail are the main causes of 
J71 204 the upsetting moments that cause U.S. submarines to lose control in 
J71 205 high-speed turns. Therefore, special attention must be paid to 
J71 206 reducing sail size and its resultant interaction with the hull 
J71 207 vortices.<p/>
J71 208 <h_><p_>Concept for an Automatic Submarine-Control System<p/><h/>
J71 209 <p_>Because of the complexity of submarine dynamic motions, the 
J71 210 rapidity with which upsetting moments are generated, the speed with 
J71 211 which control forces must be applied, and the inability of humans 
J71 212 to exercise manual control, the new control system must employ 
J71 213 computer technology. Figure 3 presents a concept for an automatic 
J71 214 submarine-control system composed of three major subsystems: an 
J71 215 automatic maneuver sub<?_>-<?/>system, a pressure<?_>-<?/>sensing 
J71 216 subsystem, and an automatic attitude-control sub<?_>-<?/>system.<p/>
J71 217 <p_><tf_>The Automatic Maneuver Subsystem<tf/>. This subsystem 
J71 218 performs two major functions. First, it provides the man/machine 
J71 219 interface by which the diving officer enters maneuver instructions 
J71 220 and receives information. To initiate a maneuver, the diving 
J71 221 officer specifies the required maneuver within the framework of an 
J71 222 earth-oriented, north-referenced, three-dimensional orthogonal 
J71 223 coordinate system. Maneuver instructions may call for a simple turn 
J71 224 and a change in depth or for more complex maneuvers to avoid a 
J71 225 collision or to reach a distant weapon launch position or a 
J71 226 position offset from a moving-target track.<p/>
J71 227 
J72   1 <#FROWN:J72\><h_><p_>Retrospective - 1992<p/><h/>
J72   2 <p_><tf_>Internal operations and relations received primary 
J72   3 attention. The pace of labor relations activities provided a 
J72   4 breathing spell allowing improvements to be made to the tools for 
J72   5 dispatch, for allocations and for labor relations information 
J72   6 retrieval. Longer range assessment forecasts were introduced at the 
J72   7 request of the Industry, and a complete rewrite of the Tonnage 
J72   8 Reporting and Assessment Procedures Manual was begun to provide 
J72   9 clearer and more explicit reporting instructions for the 
J72  10 Industry.<tf/><p/>
J72  11 <h_><p_>Labor Relations<p/><h/>
J72  12 <p_>Labor relations in the West Coast longshore industry is 
J72  13 governed by the Joint Port Labor Relations Committees (JPLRC's), 
J72  14 the Coast Labor Relations Committee (CLRC), the Coast Steering 
J72  15 Committee (CSC) and the Area Sub-Steering Committees. The CSC and 
J72  16 Sub-Steering Committees are made up of PMA member company 
J72  17 executives, and the JPLRC's and CLRC are composed of Union 
J72  18 representatives and the PMA member company representatives.<p/>
J72  19 <p_>The meetings and activities of these Committees handle the day 
J72  20 to day administration of the Coast contracts, and their agenda 
J72  21 determine the direction and scope of much of PMA labor relations 
J72  22 staff activities. The bulk of labor relations activity this past 
J72  23 year took place at the level of the JPLRC's.<p/>
J72  24 <p_>The Joint Port Labor Relations Committees process routine 
J72  25 grievances and administer the agreement provisions locally within 
J72  26 the various ports. These committees, composed of local Union and 
J72  27 Employer representatives, also maintain registration lists and 
J72  28 rosters of casual labor pools, coordinate the travel of manpower to 
J72  29 ports with sufficient work opportunity, and facilitate the 
J72  30 participation of the work force in the General Safety Training, 
J72  31 Skilled Training and Drug/Alcohol Free Work Place programs. Their 
J72  32 efforts, with the cooperation of the Union membership, have 
J72  33 improved the dispatch of manpower, have resulted in fewer instance 
J72  34 of labor shortages on peak work days, and have produced a reduction 
J72  35 in the number of on-the-job injuries.<p/>
J72  36 <p_>The Coast Labor Relations Committee developed a procedure for 
J72  37 complying with the Americans' with Disabilities Act. Additionally, 
J72  38 the CLRC handled routine matters such as processing referrals from 
J72  39 JPLRC's seeking registration approvals and periodic updating of Low 
J72  40 Work Opportunity Port lists and negotiated mileage allowance 
J72  41 formulas. The Employers and the Union held preliminary discussions 
J72  42 on the topics of computerization and new technology in the 
J72  43 longshoring industry and the negotiation of a separate labor 
J72  44 agreement covering rail container transfer facilities. The 
J72  45 preliminary discussions did not result in follow-up meetings with 
J72  46 the Union, and no new understandings were reached on either 
J72  47 topic.<p/>
J72  48 <p_>Labor policy issues concerning several member companies 
J72  49 occupied the attention of the Coast Steering Committee. One issue 
J72  50 involved a company's negotiating a separate agreement with the 
J72  51 Union in violation of policy, and the agreement was eventually 
J72  52 nullified. Two issues concerned payroll practices that created an 
J72  53 underpayment of man-hour contributions. Both practices were 
J72  54 corrected, and the proper man-hour contributions were collected. 
J72  55 The Committee continued its review of new technology issues based 
J72  56 on periodic reports and on-site visits by its Clerks' 
J72  57 Sub-Committee.<p/>
J72  58 <p_>The relatively slow pace of labor relations activity provided 
J72  59 PMA staff with the opportunity to improve and develop new work 
J72  60 place tools. A five-volume index of alphabetical listings of 
J72  61 contract interpretations, arbitrators' decisions and historical 
J72  62 references covering the period from 1934 to the present was placed 
J72  63 into an electronic database. Labor relations personnel in each of 
J72  64 the Area offices can now research these data by subject, date, or 
J72  65 arbitrator's name quickly and easily.<p/>
J72  66 <p_>The PMA Allocator in each of the four Areas is now using 
J72  67 personal computer systems to perform many daily allocation 
J72  68 functions. (The PMA Allocator accepts manpower orders from the 
J72  69 Employers, prioritizes the orders and transmits the information to 
J72  70 the appropriate dispatch hall. This process traditionally includes 
J72  71 a voluminous amount of manual record keeping and data retrieval.) 
J72  72 These systems are in varying degrees of implementation at year-end, 
J72  73 and the goal is for computerized allocation to be fully operational 
J72  74 soon.<p/>
J72  75 <p_>Several staff members participated in labor relations and 
J72  76 arbitration work<?_>-<?/>shops, computer user seminars, and safety 
J72  77 and training conferences, and the four Area Managers visited the 
J72  78 ports of Rotterdam, Felixstowe, Tilbury and Bremen/Bremerhaven in 
J72  79 October to observe first-hand the technology and terminal 
J72  80 operations at these ports. Institutional and structural differences 
J72  81 in labor relations and operational procedures were explained by our 
J72  82 hosts at ECT/Sea-Land Delta Terminal, the Port of Felixstowe, the 
J72  83 Port of Tilbury and Bremer Lagerhaus-Gesellschaft.<p/>
J72  84 <h|>Training
J72  85 <p_>A record number of employees, 7,437, completed ILWU-PMA 
J72  86 training programs. This represents a 40% increase over the previous 
J72  87 year, and 85% of the training was Safety training. A significant 
J72  88 number of direct employer representatives were among the trainees, 
J72  89 and in several programs, ILWU members and company representatives 
J72  90 attended classes together. A list of training programs showing the 
J72  91 number of participants by program is shown on page 38.<p/>
J72  92 <h_><p_>General Safety Training<p/><h/>
J72  93 <p_>The General Safety Training (GST), described in detail in the 
J72  94 1991 Annual Report, targets the entire workforce over a three year 
J72  95 period and addresses all legislated training requirements. More 
J72  96 than 5,000 individuals have already participated in the GST 
J72  97 program. The program underwent planned revisions designed to fine 
J72  98 tune the curriculum, to introduce new material and to incorporate 
J72  99 new regulatory requirements. Three successful custom videos were 
J72 100 added, 'Personal Protective Equipment,' 'Vehicle Safety' and 'Local 
J72 101 Area Hazards.' The popularity of this program is in large part due 
J72 102 to the videotaped segments depicting the longshore work force 
J72 103 engaged in their job functions in West Coast ports.<p/>
J72 104 <h_><p_>Alcohol/Drug Free Workplace Training For Supervisors and 
J72 105 Employees<p/><h/>
J72 106 <p_>In February, the Alcohol and Drug Free Workplace (ADFWP) 
J72 107 Training for Supervisors commenced, and more than one thousand 
J72 108 employees have completed the training. This program is a logical 
J72 109 extension of the nationally recognized Alcohol and Drug Recovery 
J72 110 Program (ADRP),and it targets both labor and management supervisory 
J72 111 personnel.<p/>
J72 112 <p_>Drug and Alcohol Free Work Place Training is also incorporated 
J72 113 into the General Safety Training.<p/>
J72 114 <h_><p_>Winch Training<p/><h/>
J72 115 <p_>A Winch Training Program was begun for members of Locals 13 and 
J72 116 46, and this marked the culmination of negotiations with the 
J72 117 Maritime Administration on the use of its <tf_>USNS Curtiss<tf/> 
J72 118 (T-AVB4) for ship's gear training. The <tf|>Curtiss, a Ready 
J72 119 Reserve Fleet vessel homeported in Port Hueneme, is ideally suited 
J72 120 for 'yard and stay,' 'swinging boom' and 'jumbo' hands-on training. 
J72 121 Rooms on board provide space for classroom instruction and rigging 
J72 122 demonstrations. More than one hundred trainees have completed the 
J72 123 new program since September.<p/>
J72 124 <h_><p_>Video Production<p/><h/>
J72 125 <p_>Videotaped presentations of training materials are rapidly 
J72 126 supplanting other traditional teaching aids. Video delivers high 
J72 127 quality, standardized, scripted training to the work force. Several 
J72 128 new videos were added to our library this year. In addition to the 
J72 129 three previously described in General Safety Training and the one 
J72 130 in Alcohol/Drug Free Workplace Training, each Area contributed 
J72 131 ideas for videos which are in various stages of completion. The 
J72 132 Oregon Area completed work on 'Lumber Handling,' a ten minute 
J72 133 description of handling packaged lumber. 'Marine Fork lift' is in 
J72 134 progress in Washington, and 'Autos' and 'Lashing' are being planned 
J72 135 in California.<p/>
J72 136 <h_><p_>Accident Prevention<p/><h/>
J72 137 <p_>The revisions to the Man-hours and Injury Incidence Rate 
J72 138 Reports were completed this year. The new reports provide member 
J72 139 companies with both quarterly and year to date injury/illness 
J72 140 statistics so that they may more readily assess the progress of 
J72 141 their individual safety programs.<p/>
J72 142 <p_>The PMA Coast Accident Prevention Awards Program continued to 
J72 143 generate considerable interest this year. Emphasis on individual 
J72 144 achievement has resulted in increased participation as well as 
J72 145 deserved recognition. Awards information and other statistical data 
J72 146 for 1992 is contained on page 39.<p/>
J72 147 <p_>Several staff changes occurred during the year. Larry Hudson 
J72 148 was promoted to Area Supervisor, Oregon Area, replacing Dale Larson 
J72 149 upon his retirement. Joe Boettcher joined the Oregon staff as an 
J72 150 Assistant. Tony Peredo was promoted to Area Supervisor in the 
J72 151 Washington Area, and Fred Gordon joined the staff as his 
J72 152 Assistant.<p/>
J72 153 
J72 154 <h|>Legal
J72 155 <p_>As in the past, third-party litigation consumed the major 
J72 156 portion of PMA legal effort this past year. NLRB charges filed by 
J72 157 casuals against the 'permissive rule' are pending in the State of 
J72 158 Washington and in Southern California. The <tf|>Golden consent 
J72 159 decree and its progeny required considerable attention in the 
J72 160 federal courts in Los Angeles in litigation involving unsuccessful 
J72 161 applicants for registration or transfer who attempted to use the 
J72 162 decree for their own purposes. Although the <tf|>Golden decree has 
J72 163 generated considerable litigation in its ten years of life, it also 
J72 164 has provided a generally consistent and stabilizing forum for the 
J72 165 adjudication of issues concerning waterfront employment. PMA 
J72 166 counsel and ILWU counsel have worked together to provide an 
J72 167 effective defense for the parties to the collective bargaining 
J72 168 agreement.<p/>
J72 169 <p_>While a federal court action filed by several casuals in Oregon 
J72 170 claiming so-called 'contingency list' status was pending, the Coast 
J72 171 Arbitrator rendered a decision approving the dissolution of the 
J72 172 list in Portland and permitting registration based upon hours of 
J72 173 experience in accordance with the collective bargaining agreement. 
J72 174 The federal district court in Oregon dismissed the lawsuit in view 
J72 175 of the Coast Arbitrator's decision.<p/>
J72 176 <p_>After much administrative planning and oversight by the NLRB, 
J72 177 the re-registration of longshoremen at Local 18 in Sacramento 
J72 178 finally is underway. This should conclude the lengthy and costly 
J72 179 litigation and the processing of NLRB ordered deregistration and 
J72 180 re-registration.<p/>
J72 181 <p_>In what has become known as the 'Fish Case,' a Coast 
J72 182 Arbitrator's decision was received this fall involving an issue 
J72 183 crucial to the future membership of steamship agents in the PMA. 
J72 184 The Coast Arbitrator remanded the case to the Area Arbitrator 
J72 185 because of the absence of facts showing that the husbanding agent 
J72 186 had control of cargo operations for which it was held responsible. 
J72 187 We await anxiously the final outcome of this matter.<p/>
J72 188 <p_>For the first time in over a decade, PMA became involved in 
J72 189 litigation against a member company. Following a refusal to pay 
J72 190 interest penalties on delinquent tonnage assessments, Long Beach 
J72 191 Container Terminal, Inc., filed a declaratory relief action in the 
J72 192 California Superior Court against PMA and various agents and 
J72 193 foreign steamship operators. PMA and other defendants have answered 
J72 194 with cross-complaints to require LBCT to pay the interest 
J72 195 penalties. Discovery is proceeding.<p/>
J72 196 <p_>Early in the year, the NLRB sought and obtained a temporary 
J72 197 restraining order and injunction from the federal district court in 
J72 198 Los Angeles, barring the ILWU from interfering with PMA members 
J72 199 doing business with the Southern Pacific ICTF in the Ports of Los 
J72 200 Angeles and Long Beach. The PMA operations quickly returned to 
J72 201 normal after a one-day shutdown, with the exception of the refusal 
J72 202 by Local 63 Marine Clerks to perform work voluntarily during the 
J72 203 meal hour in a manner consistent with conduct prior to the dispute. 
J72 204 After a favorable area arbitrator's award finding Local 63 in 
J72 205 violation of the contract, the Coast Committee declared the 
J72 206 contract remedies exhausted. PMA, in a rarely necessary proceeding, 
J72 207 sought and received confirmation of the award from the federal 
J72 208 district court. Local 63 continued to violate the award, and PMA 
J72 209 moved for an order to show cause why the union should not be held 
J72 210 in contempt. The motion was denied. PMA will continue to monitor 
J72 211 compliance with the award for future enforcement. The ILWU has 
J72 212 appealed the district court confirmation of award to the Ninth 
J72 213 Circuit.<p/>
J72 214 <p_>PMA engages the services of local law firms in each of the four 
J72 215 port areas on the Coast. These firms continue to serve the 
J72 216 organization extremely well. Notwithstanding occasional exceptions, 
J72 217 the relationship between PMA counsel and ILWU counsel remains 
J72 218 professional and courteous and serves as an aid to the resolution 
J72 219 of legal problems in the industry.<p/>
J72 220 
J72 221 <h_><p_>Finance and Administration<p/><h/>
J72 222 <p_>Building on the successful completion of the coastwise payroll 
J72 223 system in 1990, the Information Services (I.S.) Department began 
J72 224 the redesign and reprogramming of the Pay Guarantee Plan payroll 
J72 225 system to make it consistent in all four Areas. Design is 
J72 226 completed, and the new system should be operational in the second 
J72 227 quarter. Since the payroll system has been accepting automated 
J72 228 input, more than 90% of the payroll hours processed each week are 
J72 229 transmitted to PMA electronically.<p/>
J72 230 <p_>I.S. staff continued their involvement with several projects 
J72 231 related to stream<?_>-<?/>lining the dispatch process. Significant 
J72 232 progress has been made in Los Angeles/Long Beach where the UTR 
J72 233 board in the Wilmington Longshore Dispatch Hall was the first to be 
J72 234 modernized. In addition, telephone check-in for registered 
J72 235 longshoremen should be operational in early 1993.<p/>
J72 236 
J72 237 
J73   1 <#FROWN:J73\><h_><p_>SUBSONIC AIRCRAFT PROPULSION/AIRFRAME 
J73   2 INTEGRATION<p/><h/>
J73   3 <p_>The technology of integrating propulsion systems and airframes 
J73   4 involves the ability to assess and control the development of wave 
J73   5 drag, induced drag, and profile drag. Advances in CFD over the past 
J73   6 decade have contributed greatly to this technology. It is 
J73   7 anticipated that ongoing CFD developments will lead to even further 
J73   8 refinements.<p/>
J73   9 <p_>Two areas remain in which technology improvements are needed. 
J73  10 One is the development of wind tunnel test techniques and powered 
J73  11 propulsion simulators to better represent installed power effects 
J73  12 of the forthcoming generations of very high bypass ratio engines in 
J73  13 wind tunnel testing. The other is the need to predict the installed 
J73  14 characteristics of thrust reversers, both computationally and with 
J73  15 wind tunnel testing techniques. These are areas in which NASA can 
J73  16 make important contributions.<p/>
J73  17 <h_><p_>AERODYNAMIC CRUISE PERFORMANCE <p/><h/>
J73  18 <p_>Although the fundamental physical principles of subsonic and 
J73  19 supersonic airflow around aircraft are the same, design approaches 
J73  20 to minimizing drag are greatly affected by the cruise speed. This 
J73  21 section of the report discusses cruise performance in the two speed 
J73  22 ranges separately.<p/>
J73  23 <h_><p_>Subsonic Aircraft Cruise Performance<p/><h/>
J73  24 <p_>Long-haul subsonic transports are now, and will be for the 
J73  25 foreseeable future, the major product of the civilian aviation 
J73  26 industry and infrastructure. As noted in Chapter 2, from 1975 to 
J73  27 1995, aerodynamic efficiency will have increased by approximately 
J73  28 10 percent, and if the current rate of improvement is maintained, 
J73  29 another 5-10 percent is projected by the year 2020. However, 
J73  30 ordinary development or evolution alone will not keep the United 
J73  31 States at the forefront in the world market. Although continued 
J73  32 evolutionary advances in methods and processes (experimental, 
J73  33 theoretical, and computational) are needed to provide continued 
J73  34 improvement of aerodynamic design technologies, demonstrated 
J73  35 innovative technologies are necessary in the longer term to provide 
J73  36 opportunities for significant improvements in performance.<p/>
J73  37 <h_><p_>Laminar Flow Control<p/><h/>
J73  38 <p_>The flow on most of the surfaces of an aircraft is turbulent. 
J73  39 Laminar flow control (LFC), hybrid laminar flow control, and 
J73  40 natural laminar flow are promising sources of skin-friction drag 
J73  41 reduction on aerodynamic surfaces. Laminar flow nacelles are also 
J73  42 being studied by NASA. Laminar/turbulent transition of the airflow 
J73  43 next to the aircraft surface is delayed through a combination of 
J73  44 pressure gradient tailoring of the wing and control such as suction 
J73  45 through the skin. If full-chord laminar flow can be maintained in 
J73  46 this fashion, fuel savings of up to 25 percent could be 
J73  47 realized.<p/>
J73  48 <p_>Transition is extremely sensitive to freestream conditions 
J73  49 (e.g., freestream turbulence and acoustics) and surface roughness 
J73  50 (e.g., rain and ice crystals, insect debris, surface finish, and 
J73  51 fasteners); lack of confidence in these issues has hindered the use 
J73  52 of this concept on vehicles. Also, of perhaps greater significance 
J73  53 have been the questions of fabrication cost and operational cost 
J73  54 and maintainability.<p/>
J73  55 <p_>Engineering and optimization tools have outpaced the state of 
J73  56 the art in transition prediction theory. Thus, the design of LFC, 
J73  57 hybrid laminar flow control, and natural laminar flow systems 
J73  58 depends on empirical bases to determine transition. This method is 
J73  59 also limited because it cannot account for the effects of surface 
J73  60 roughness and freestream disturbances.<p/>
J73  61 <p_>Knowledge of transition - so very important to the success of 
J73  62 LFC techniques - is, in general, limited to the simplest of 
J73  63 geometries. Efforts to better understand the transition flow 
J73  64 physics are under way to provide valuable guidance for the surface 
J73  65 roughness and freestream disturbance problems.<p/>
J73  66 <p_>Only a limited number of flight tests have been flown since the 
J73  67 original and successful X-21 program of the 1960s; these are the 
J73  68 JetStar (NASA/Langley) and Boeing 757 (NASA/Boeing). In both cases, 
J73  69 extensive laminar flow was successfully achieved on the upper 
J73  70 surface of the swept wing through the use of suction. Very low 
J73  71 suction levels were required, with power penalties of the order of 
J73  72 1 percent. Studies with engine noise indicated no effect. The use 
J73  73 of a Krueger nose flap eliminated a potential buildup of insect 
J73  74 debris on the leading edge.<p/>
J73  75 <p_>The remaining challenges to the implementation of laminar flow 
J73  76 technology in large subsonic transport designs include validation 
J73  77 of the technology in actual airline service operating environments 
J73  78 and exploration of the technical issues associated with making 
J73  79 laminar flow operate effectively on the inboard portion of the 
J73  80 wings of very large aircraft. Recognizing the challenges, during 
J73  81 1990 NASA and the industry developed a cooperative research plan; 
J73  82 however, these efforts have been delayed by overall program 
J73  83 constraints. Meanwhile, the Europeans have rapidly advanced their 
J73  84 laminar flow efforts. Airbus plans for laminar flow technology 
J73  85 validation include extensive large-scale testing, targeting 
J73  86 technology validation as early as 1993.<p/>
J73  87 <h_><p_>Turbulent Drag Reduction<p/><h/>
J73  88 <p_>The most promising technique demonstrated thus far has been 
J73  89 passive control by riblets, tiny streamwise grooves on the aircraft 
J73  90 surface. This device is useful for surfaces on which laminar flow 
J73  91 is very difficult to achieve (e.g., the fuselage). The approach was 
J73  92 used successfully on the U.S. entry in an America's Cup Race and 
J73  93 then flight-tested on a portion of a business jet, achieving a 
J73  94 reduction in local skin-friction drag of 8 percent.<p/>
J73  95 <p_>The state of the art in turbulence predictions depends on 
J73  96 empirical correlations and models, usually developed for one set of 
J73  97 flow conditions or a very simplified model. Here also, efforts at 
J73  98 understanding the basic physics of turbulent flow are under way. 
J73  99 Prediction and control have been hindered by the lack of reliable, 
J73 100 efficient models of turbulence for complex geometries.<p/>
J73 101 <h_><p_>Advanced Supercritical Airfoils<p/><h/>
J73 102 <p_>Advanced supercritical airfoils, which reduce the shock 
J73 103 strength on transonic airfoils, have contributed to drag reduction 
J73 104 and have been used on all commercial transport aircraft developed 
J73 105 since 1975. Further modifications with reduced moments and weaker 
J73 106 shock waves are under study by NASA for use with LFC systems.<p/>
J73 107 <p_>Improved understanding of shock/boundary-layer interactions has 
J73 108 led to new opportunities to greatly improve airfoil design concepts 
J73 109 and procedures.<p/>
J73 110 <h_><p_>Wing Design<p/><h/>
J73 111 <p_>The improvement of theoretical analysis tools and CFD, coupled 
J73 112 with a better understanding of flow physics, has enabled the design 
J73 113 of more aerodynamically efficient wings with greater thickness and 
J73 114 reduced sweep. This allows a wing weight reduction or higher aspect 
J73 115 ratio. Substantial improvements in cruise Mach number and critical 
J73 116 Mach number have also been realized. New opportunities exist to 
J73 117 significantly improve the design optimization procedures for wings 
J73 118 that incorporate laminar flow systems along with advanced high-lift 
J73 119 systems.<p/>
J73 120 <h|>Winglets
J73 121 <p_>Winglets, or wingtip extensions, which first appeared on 
J73 122 business jets, are now used on various versions of commercial 
J73 123 transports (e.g., the Boeing 747-400 and MD-11). These effectively 
J73 124 increase the aspect ratio of the wing. Advancements in 
J73 125 understanding of the 'nonlinear' effects of wing-wake-deflection 
J73 126 and roll-up have created opportunities to improve the design 
J73 127 optimization procedures for winglets and other wingtip devices for 
J73 128 drag reduction. In each of these technology topics, significant 
J73 129 opportunities have developed to advance the state of the art; 
J73 130 however, constraints in the aeronautics program have limited NASA's 
J73 131 ability to support the needed advancements in experimental or 
J73 132 computational capabilities and in ground and flight validation of 
J73 133 these technologies.<p/>
J73 134 <p_><O_>figure&caption<O/><p/>
J73 135 <h_><p_>Status of Subsonic Technology<p/><h/>
J73 136 <p_>As noted earlier, the past decade has seen large improvements 
J73 137 in wing design technology, the successful demonstration of laminar 
J73 138 flow control on a Boeing 757, the successful demonstration of 
J73 139 riblets on a business jet, the successful demonstration of natural 
J73 140 laminar flow on a business jet, and the use of supercritical 
J73 141 airfoils and winglets on transports in everyday commercial 
J73 142 service.<p/>
J73 143 <p_>Advances in computer and quiet-tunnel/instrumentation 
J73 144 capabilities have allowed details of the fundamental flow physics 
J73 145 of transition and turbulence to be studied. Computational time for 
J73 146 these efforts, however, is too long for extensive use in the design 
J73 147 process at present.<p/>
J73 148 <p_>NASA should play a leading, but not exclusive, role in the 
J73 149 development of enabling technologies. There should be a cooperative 
J73 150 effort among NASA, industry, and academia to research complicated 
J73 151 flow physics with the goal of predicting, modeling, and controlling 
J73 152 such flows. Research should combine theory, careful experiments and 
J73 153 CFD; duplication of the results by another technique or in another 
J73 154 facility, as recommended by the U.S. Transition Study Group, is 
J73 155 also desirable. NASA is an appropriate organization to encourage 
J73 156 flight testing of enabling technologies and the development of 
J73 157 advanced diagnostic instrumentation for nonintrusive testing. NASA 
J73 158 is also an appropriate organization to provide high Reynolds 
J73 159 number, quiet testing opportunities, as well as the most current 
J73 160 computational facilities and techniques.<p/>
J73 161 <p_>To implement the above concepts, a better understanding of flow 
J73 162 physics is required. Intensified efforts to develop useful, 
J73 163 accurate engineering models that can be used for design are 
J73 164 particularly necessary. This work, although seemingly basic in 
J73 165 nature, must be actively pursued and must include companion 
J73 166 theoretical, computational, and experimental efforts conducted 
J73 167 under careful, well-documented conditions. A better understanding 
J73 168 of flow physics will also afford the opportunity for effective use 
J73 169 of flow control. Issues to be addressed should include 
J73 170 implementation, reliability, and maintenance of the mechanical 
J73 171 systems, as well as implications of the loss of the system in 
J73 172 flight. Continuing advances in CFD, as well as high Reynolds 
J73 173 number, low-disturbance experimental capabilities, are also needed 
J73 174 in support of the evaluation and design of these concepts.<p/>
J73 175 <p_>NASA needs the following resources to accomplish the 
J73 176 foregoing:<p/>
J73 177 <p_><*_>bullet<*/> high Reynolds number facilities (simulate 
J73 178 flight),<p/>
J73 179 <p_><*_>bullet<*/> low-disturbance freestream facilities (simulate 
J73 180 flight),<p/>
J73 181 <p_><*_>bullet<*/> full-scale Reynolds number flight research 
J73 182 capability,<p/>
J73 183 <p_><*_>bullet<*/> nonintrusive instrumentation,<p/>
J73 184 <p_><*_>bullet<*/> faster and bigger computers for flow physics 
J73 185 (model development),<p/>
J73 186 <p_><*_>bullet<*/> more efficient CFD, faster algorithms and grid 
J73 187 setups,<p/>
J73 188 <p_><*_>bullet<*/> companion theory/computation/experiment efforts 
J73 189 (validation and guidance), and<p/>
J73 190 <p_><*_>bullet<*/> NASA/industry/university cooperation on 
J73 191 appproximately equal levels. NASA's role in the university training 
J73 192 of future engineers through research funding must never be 
J73 193 overlooked.<p/>
J73 194 <p_>The Europeans are using much of the technology described above 
J73 195 - particularly LFC - even though by U.S. standards the technology 
J73 196 is often untested or unproven. On an overall technical basis, 
J73 197 current European offerings are equal to those of the United States. 
J73 198 However, because Europeans are incorporating the technology faster 
J73 199 than the United States is, their rate of improvement is 
J73 200 significantly greater. In particular, within the BRITE EURAM 
J73 201 consortium involving government, industry, and academia in Europe, 
J73 202 a highly organized effort has been developed to advance the state 
J73 203 of the art for laminar flow engineering design capabilities. Their 
J73 204 efforts combine the best talent and facilities in all of Europe to 
J73 205 develop and validate transition prediction tools for integration 
J73 206 with industry engineering design methods. (BRITE EURAM efforts 
J73 207 address all other aeronautical disciplines as well.) Although 
J73 208 progress is being made in the United States on understanding 
J73 209 boundary-layer transition physics, no similar design-tool-focused 
J73 210 effort is being funded here. The problem in this country is not 
J73 211 lack of opportunities, but rather the lack of priorities on 
J73 212 resources.<p/>
J73 213 <h_><p_>Supersonic Aircraft Cruise Performance<p/><h/>
J73 214 <p_>U.S. expertise in supersonic aircraft performance stems from 
J73 215 the earlier Supersonic Transport (SST) program, the ongoing Phase I 
J73 216 High Speed Research Program, and various high-speed fighters. In 
J73 217 cruise, the recognized promising technologies for the HSCT are the 
J73 218 same as for the subsonic case: hybrid laminar flow control by 
J73 219 suction and pressure gradient. Unlike the subsonic speed regime, 
J73 220 this technology has not been demonstrated in flight. The benefits 
J73 221 of lower drag (as described in subsonics) and thermal requirements 
J73 222 associated with laminar flow can be realized in this flight range 
J73 223 as well. In addition, technology advances in the fundamental 
J73 224 understanding of high Reynolds number effects on leading-edge 
J73 225 vortex formation and the ability to eliminate unacceptable 
J73 226 characteristics, such as low speed pitch-up, could allow the 
J73 227 utilization of highly swept, high-performance wing planforms. This 
J73 228 would provide substantial increases in cruise lift-to-drag ratios 
J73 229 over the currently favored planform concepts.<p/>
J73 230 <h_><p_>Laminar Flow Control<p/><h/>
J73 231 <p_>At present, our knowledge of high-speed transition is even less 
J73 232 developed than our knowledge of subsonic flows; designs depend on 
J73 233 existing theories that are not compatible with design and 
J73 234 optimization tools (as described in subsonics). In the supersonic 
J73 235 range, however, the effects of freestream conditions (e.g., 
J73 236 freestream turbulence and noise) and surface roughness may be more 
J73 237 severe than in subsonic flows. Efforts are under way to understand 
J73 238 and predict the transition behavior in supersonic flight. The 
J73 239 exciting progress that has been made in subsonic laminar flow 
J73 240 technology required nearly four decades of concentrated, if not 
J73 241 continuous, effort. Although some of the subsonic lessons learned 
J73 242 may apply  to supersonic laminar flow challenges, it would be 
J73 243 overly optimistic to expect supersonic laminar flow technology to 
J73 244 mature after a few years of effort.
J73 245 
J74   1 <#FROWN:J74\><h_><p_>Laser/Vision - 100% Inspection Systems<p/>
J74   2 <p_>The growth of automation requires that most fastener 
J74   3 manufacturers implement methods for providing defect-free material 
J74   4 to their customers<p/><h/>
J74   5 <p_>The demands for stricter quality control have shifted from a 
J74   6 high level AQL (Acceptable Quality Level) to three parts per 
J74   7 million or zero defects product levels.<p/>
J74   8 <p_>The implementation of sophisticated statistical process control 
J74   9 has helped to insure quality of manufacture, but does not address 
J74  10 product mix, and foreign material contamination as a result of 
J74  11 plating, heat treating, packaging, and other bulk processes.<p/>
J74  12 <p_>A growing trend for high-speed sorting and 100% gaging is 
J74  13 emerging within industries because of the high levels of automation 
J74  14 employed in manufacturing today. The human factor will always be 
J74  15 present regardless of the SPC or quality control levels adopted for 
J74  16 a particular manufacturer. The same customer that was talking AQL 
J74  17 yesterday is demanding zero defects today at a reduced price.<p/>
J74  18 <p_>The non-contact laser gaging technology available today has 
J74  19 been in place for 20 yrs. Only the appliance, automotive, and 
J74  20 aerospace industries have sought to minimize downtime by inspecting 
J74  21 key attributes of material used in automatic assembly processes. A 
J74  22 task originally performed as incoming inspection by the end user is 
J74  23 now demanded of the supplier.<p/>
J74  24 <p_>Solving the quality control problems for today's manufacturer 
J74  25 requires systems designed with the flexibility for large product 
J74  26 ranges, simplicity of setup, and the ability to work in harsh 
J74  27 production environments.<p/>
J74  28 <p_>Perhaps the most over-looked area regardless of the system 
J74  29 chosen is the maintenance and level of personnel to perform that 
J74  30 maintenance. The laser sorters utilize a single card to perform all 
J74  31 the data processing relating to the inspection tasks. An operator 
J74  32 is capable of correcting most all<sic!> problems with this type of 
J74  33 inspection equipment.<p/>
J74  34 <p_>Once the decision to purchase a system for 100% inspection is 
J74  35 made, a part packaging system integrated with the inspection 
J74  36 element will eliminate any potential mixing due to the human factor 
J74  37 or bulk packaging. Several technologies are offered to assist in 
J74  38 solving specific problems of the various industries.<p/>
J74  39 <p_>Our Vision Inspection System is an automatic, non-contact, 
J74  40 stand<?_>-<?/>alone inspection and measuring system. The standard 
J74  41 version with the appropriate options is capable of simultaneously 
J74  42 making both two-dimensional gaging measurements and surface flaw 
J74  43 analysis of each field of view (FOV) as well as real-time image 
J74  44 enhancements. This system is an easy-to-use, menu-driven system. 
J74  45 The menu system is a flexible job setup tool with screen prompts to 
J74  46 assure correct entering of parameters. No programming experience is 
J74  47 required to learn the systems menu. The menu allows the operator to 
J74  48 run the system on a turnkey level. Also, if new tolerance or 
J74  49 inspection data are required, they can be inserted through the 
J74  50 menu.<p/>
J74  51 <p_>The typical system configuration includes an inspection module 
J74  52 with the specific application programmed, optics, and camera(s), 
J74  53 light source, part detector and associated cabling, mounts, 
J74  54 brackets, etc. The camera is aligned to view one specific 
J74  55 inspection point in the material handling system. During the actual 
J74  56 inspection process, the camera captures an image of each part as it 
J74  57 passes this inspection point.<p/>
J74  58 <p_>This system utilizes an IBM PC compatible 486 processing 
J74  59 platform for maximum throughput. A keypad is used by the operator 
J74  60 to select and change inspection parameters as required. The 
J74  61 inspection tools used to interpret the image and provide 
J74  62 orientation information are adjustable in size and position to 
J74  63 provide the flexibility to detect many configurations without 
J74  64 changing software.<p/>
J74  65 <p_>During the setup procedure, the part detector is aligned to 
J74  66 monitor the areas adjacent to the inspection point. During the 
J74  67 inspection process, the detector continuously monitors the material 
J74  68 handling system. As each part reaches the inspection point the 
J74  69 detector sends the 'Part Detect' signal to the vision inspection 
J74  70 module. Upon receipt of this signal, the vision inspection module 
J74  71 actuates the image capture/analysis process. A strobe light source 
J74  72 is used, as is necessary with a moving part, to illuminate the 
J74  73 part. A visual image of the part is then captured by the camera.<p/>
J74  74 <p_><O_>figure&caption<O/><p/>
J74  75 <p_>A small rectangular element in the camera houses an array of 
J74  76 tiny electronic devices called photodiodes or pixels. Their 
J74  77 function is to detect the amount of light reflected from the part 
J74  78 to the camera. The size of the photodiode array can range from a 
J74  79 matrix of 256 pixels to 512 pixels (vertical columns and horizontal 
J74  80 rows). Each of the pixels continuously transmits an analog signal 
J74  81 to the vision inspection module which assigns a value of either 0 
J74  82 or 1 to the binary image acquired.<p/>
J74  83 <p_>The vision inspection module then transfers the binary values 
J74  84 to the digital memory. The module can now inject the binary data 
J74  85 into a variety of complex mathematical routines. These can perform 
J74  86 the following analytical operations on the captured image: linear 
J74  87 measurement, flaw analysis, and real-time image enhancement. The 
J74  88 information obtained by these operations is then used for 
J74  89 accept/reject decisions. These decisions can be sent out via 
J74  90 RS-232, through discrete I/O.<p/>
J74  91 <p_>The 'Magic Black Box' that inspects every dimension on every 
J74  92 part does not exist, quality control personnel must identify and 
J74  93 target specific areas for inspection and sorting equipment to be 
J74  94 implemented in the most cost effective manner. The bulk handling 
J74  95 for plating, heat treat, and packaging will remain the major areas 
J74  96 of part contamination due to high volumes and materials handling 
J74  97 methods.<p/>
J74  98 <h_><p_>Safe and Fast<p/><h/>
J74  99 <p_>In the 60's scientists used a laser and a passive corner 
J74 100 reflector to measure the distance from the earth to the moon within 
J74 101 six inches. Since then the technology transfer program helped put 
J74 102 the laser to work for non<?_>-<?/>aerospace uses. In the past five 
J74 103 years the development of low<?_>-<?/>power, personnel-safe gas 
J74 104 lasers contributed substantially to their applications on 
J74 105 production and assembly lines. More specifically, gas lasers have 
J74 106 been adapted successfully to other tasks including automatic 
J74 107 dimensional and surface inspection in quality control.<p/>
J74 108 <p_>Lasers are fast, reliable, and non-contact. Properly applied, 
J74 109 the automatic laser system can completely eliminate manual 
J74 110 inspection and reduce test times by as much as 90%. Inspection 
J74 111 speeds can exceed 600 ppm. Studies supporting automation show that 
J74 112 human inspectors can miss as many as 20% of defective parts when 
J74 113 operator fatigue sets in. In contrast, the use of automatic laser 
J74 114 inspection eliminates most of these shortcomings.<p/>
J74 115 <h_><p_>Operating Principles<p/><h/>
J74 116 <p_>The beam configurations generated by various existing 
J74 117 laser-based systems include static spot, circular spot, linear 
J74 118 scan, and multiple spot. Because the geometry of the laser beam 
J74 119 determines the inspection system capability and its ultimate use, 
J74 120 laser systems are classified according to the type of their 
J74 121 beam.<p/>
J74 122 <p_>In operation, the transmitted laser beam interacts in various 
J74 123 ways with the target being inspected. Through this interaction the 
J74 124 beam at the receiver input will be encoded by various target 
J74 125 parameters such as its dimensions, surface quality, etc. The 
J74 126 receiver extracts or decodes this information and uses the 
J74 127 resulting data for making decisions in inspection. In particular, 
J74 128 consider the several ways that an incident laser beam can be 
J74 129 encoded by its target and produce different detected signals at the 
J74 130 receiver. It can be any of the following:<p/>
J74 131 <p_><tf_>Sequentially interrupted<tf/> - the detected signal is 
J74 132 digital. It is either on/off or a go/no-go type. Application is in 
J74 133 simple length sorting.<p/>
J74 134 <p_><tf|>Reflected - this results in an analog detected signal 
J74 135 whose amplitude and duration are used in the analysis of the 
J74 136 inspected part. This approach is used basically in areas of surface 
J74 137 flaw detection.<p/>
J74 138 <p_><tf|>Shadowed - this produces a digital signal which is used 
J74 139 for more accurate dimensional gaging, for example, where the 
J74 140 sequentially interrupted method becomes inappropriate.<p/>
J74 141 <p_><tf|>Transmitted - when detected, this is either a digital or 
J74 142 an analog signal and is basically used in applications where the 
J74 143 material to be inspected is clear or transparent. Using transmitted 
J74 144 signals, parts can be inspected for surface defects, missing 
J74 145 operations as well as dimensional accuracy. For example, threaded 
J74 146 fasteners can be searched for surface problems, missing internal or 
J74 147 external threads, damaged threads, or even mixed sizes of threads. 
J74 148 The laser beam is scanned in a vertical plane so that it 'walks' 
J74 149 down the threads. At the same time, the horizontal beam determines 
J74 150 the location of the part under inspection. The inspection of the 
J74 151 peaks and valleys in the thread creates a pulsing return signal 
J74 152 that is picked up by the receiver/detector. The signal contains 
J74 153 information on the quality and size of the thread.<p/>
J74 154 <p_>Manual inspection methods using mechanical gaging still hold 
J74 155 their own in accuracy and resolution capabilities. Thus, even 
J74 156 though a laser-based inspection system can gage dimensions with an 
J74 157 0.0004" accuracy, this figure can be exceeded by traditional 
J74 158 methods. But for industrial applications where this lower gaging 
J74 159 tolerance is adequate, laser systems win hands down by virtue of 
J74 160 their highest speed. Today, laser inspection systems are used in 
J74 161 industries making fasteners, bearings, automotive and aircraft 
J74 162 components, glass and pharmaceuticals. Laser inspection functions 
J74 163 range from simple dimensional gaging to providing feedback signals 
J74 164 for automatic process control.<p/>
J74 165 <h_><p_>System Components<p/><h/>
J74 166 <p_>The basic non-contact laser inspection system consists of 
J74 167 several basic components: a laser used as a target illuminating 
J74 168 source (the word laser is an acronym of Light Amplification by 
J74 169 Simulated Emission of Radiation); a receiver to sense the optical 
J74 170 radiation that carries the required dimensional information; and 
J74 171 processing circuitry to extract this information in preparation for 
J74 172 further use. This radiation can be reflected, scattered, or 
J74 173 shadowed by, or transmitted through the target. Other parts include 
J74 174 lenses, mirror, prisms, polarizers, choppers, and filters.<p/>
J74 175 <p_>In practice, the gas laser provides high beam brightness, good 
J74 176 beam collimation, small beam diameter, and long beam life. These 
J74 177 laser qualities are used for very high speed, tight tolerance, and 
J74 178 non-contact inspection on a wide range of parts and materials.<p/>
J74 179 <p_>Parts made of metals, plastics, glass, rubber, or wood can be 
J74 180 inspected by a laser without tool changes usually required with 
J74 181 mechanical methods.<p/>
J74 182 <h_><p_>Functions Performed<p/><h/>
J74 183 <p_>Almost all laser system suppliers provide equipment to perform 
J74 184 some combination or all of the following functions:<p/>
J74 185 <p_><tf|>Gaging - most laser systems are used for gaging length, 
J74 186 width, height, diameter of parts, and combinations of these at high 
J74 187 speeds. A benefit of 100% part size qualification is uninterrupted 
J74 188 production.<p/>
J74 189 <p_><tf_>Operation Voids<tf/> - the laser system will inspect parts 
J74 190 for missing operations such as threads, slots, and holes. Or it 
J74 191 will locate specific indicators to help in aligning parts for 
J74 192 assembly operations. A laser system is used in the assembly of an 
J74 193 automotive thermostat to first locate a scribe mark on one of the 
J74 194 parts. Then using the mark as a reference, to position the part for 
J74 195 a subsequent staking operation. The laser is used to define the 
J74 196 exact position. This operation runs about 120 parts/hr. The laser 2 
J74 197 ft away positions the scribe mark within 0.001".<p/>
J74 198 <p_><tf_>Surface Flaw Detection<tf/> - Laser scanning capability is 
J74 199 used to identify surface trend indicators. While tighter tolerances 
J74 200 are possible with mechanical inspections, the laser method is much 
J74 201 faster and more reliable and it works equally well for metallic or 
J74 202 non-metallic surfaces.<p/>
J74 203 <p_><tf_>Process Control<tf/> - This function combines gaging, 
J74 204 surface detection, and identification to provide an on-line output 
J74 205 that can be used as a feedback signal to an automatic control 
J74 206 system to provide corrective action. A typical application would be 
J74 207 in weld seam inspection to generate axial information to guide the 
J74 208 weld track and flux flow.<p/>
J74 209 <h_><p_>What of the Future?<p/><h/>
J74 210 <p_>The future of laser-based inspection seems bright. In addition 
J74 211 to the already mentioned advantages of speed and reliability, these 
J74 212 <}_><-|>system<+|>systems<}/> are also predicable in terms of 
J74 213 pricing. For example, the cost of a laser system can be determined 
J74 214 accurately for planning purpose. Thus, hard figures are available 
J74 215 to management for comparison to alternate-method costs.<p/>
J74 216 <p_>For more information contact the author or <tf_>Circle 
J74 217 259.<tf/><p/>
J74 218 
J74 219 <h_><p_>Developments in Self-Locking Fasteners<p/>
J74 220 <p_>Some Background<p/><h/>
J74 221 <p_>Developed almost 50 yrs ago, the idea of engineering a nylon 
J74 222 locking element to solve specific fastening problems, <tf_>Figure 
J74 223 1<tf/>, is still going strong today. This is reflected not only in 
J74 224 growing domestic use, but in a wide range of applications 
J74 225 throughout the world. Global acceptance of the patented process 
J74 226 that provides a non-metallic prevailing torque element in both male 
J74 227 and female threads has been further strengthened by the 
J74 228 introduction and use of new technology that upgrades the 
J74 229 performance of the self-locking process.<p/>
J74 230 <p_><O_>figure&caption<O/><p/>
J74 231 <p_>For example, a new patented nylon powder dispensing system that 
J74 232 produces a patcxh-type locking element with more consistent 
J74 233 performance and better reusability features.
J74 234 
J75   1 <#FROWN:J75\><p_>The <tf_>active double-star<tf/> architecture has 
J75   2 received considerable research attention. As shown in Figure 2.1, 
J75   3 the architecture calls for feeder fiber to connect the central 
J75   4 office to the RDU, which might serve around 1000 subscribers. By 
J75   5 equipping the RDU with switching capability, the RDU electronics 
J75   6 direct individually selected channels to each home from the many 
J75   7 signals multiplexed on the feeder cable. Multiplexing the signals 
J75   8 between the central office and RDU reduces costs relative to the 
J75   9 <tf|>switched-star alternative in which individual channels are 
J75  10 switched only at the central office for transmission over separate 
J75  11 fiber cables all the way to the home.<p/>
J75  12 <p_>The first proposals for an IBN assumed an active double-star 
J75  13 architecture due in part to its resemblance to the current DLC 
J75  14 system. The telephone industry continues to cite this architecture 
J75  15 as a likely approach [Shumate, 1989], and much of the ongoing 
J75  16 effort to develop prototype IBN components assume this 
J75  17 architecture, although other architectural alternatives are now 
J75  18 receiving more serious consideration.<p/>
J75  19 <p_><tf_>Passive optical networks<tf/> (PONs) are another class of 
J75  20 networks now receiving a large amount of research attention. PON 
J75  21 architectures have single fibers emanating from the central office, 
J75  22 and these fibers fan out via passive optical splitters similar to a 
J75  23 tree-and-branch topology. In this way, PON networks achieve a high 
J75  24 degree of shared plant throughout the network. The lowest branch in 
J75  25 the distribution tree connects to the individual homes. Figure 2.1 
J75  26 shows an example of a <tf_>passive double-star<tf/> architecture in 
J75  27 which the RDU now houses an optical power splitter.<p/>
J75  28 <p_>The optical power budget determines the number of successive 
J75  29 splitting nodes in a PON network. Larger bandwidth signals have 
J75  30 smaller power budgets, so broadband services cannot be split as 
J75  31 often as narrowband services. This leads to the same problem faced 
J75  32 by hybrid networks to provide a mix of narrowband and broadband 
J75  33 services. Again, WDM or coherent transmission techniques would have 
J75  34 to be employed in the future to increase the bandwidth of the 
J75  35 system.<p/>
J75  36 <p_>An advantage of PON networks is that they provide a transparent 
J75  37 path between the central office and the subscriber. This provides a 
J75  38 degree of flexibility because the architecture is dependent upon 
J75  39 the power budget and not the transmission format. In addition, the 
J75  40 use of passive devices reduces the number of active components 
J75  41 throughout the network, thereby decreasing the number of potential 
J75  42 faults.<p/>
J75  43 <p_>There have been few proposals calling for a bus topology in the 
J75  44 subscriber loop. One problem is accessing the information on the 
J75  45 bus. If the signal is tapped by bending the fiber and detecting the 
J75  46 light that escapes - called a <tf_>nonintrusive tap<tf/> - then the 
J75  47 system provides very little flexibility for evolution to new 
J75  48 services because the taps are optimized to one service bandwidth. 
J75  49 Another method is to receive and retransmit the information bus at 
J75  50 every node. This doubles the number of optical transmitters and 
J75  51 receivers in the field, raising more concerns about the 
J75  52 environmental protection, reliability, and maintenance cost of the 
J75  53 remote nodes. However, one could consider the passive double-star 
J75  54 as a bus topology with a passive splitter as the only node. 
J75  55 Configuring the network as a double-star rather than a bus 
J75  56 simplifies maintenance by reducing the number of nodes. Also, there 
J75  57 is less excess signal loss from a single 1:n splitter than from a 
J75  58 succession of taps on a bus, thus allowing more subscribers to be 
J75  59 served within the available power budget.<p/>
J75  60 <p_>In summary, an all-fiber, active double-star network is still 
J75  61 under consideration as a viable option for the subscriber loop. 
J75  62 However, the number of competing alternatives is growing. The 
J75  63 development of PON and hybrid architectures have served as 
J75  64 milestones to shift attention away from the active double-star to a 
J75  65 richer variety of options. PON networks take more advantage of the 
J75  66 properties of optical transmission, whereas network hybrids offer 
J75  67 an interim solution before more fiber can be placed in the 
J75  68 network.<p/>
J75  69 <h_><p_>Today's Cable Television Networks<p/><h/>
J75  70 <p_>Cable operators install a <tf|>tree-and-branch architecture 
J75  71 using coaxial cable to provide distributed video services, as shown 
J75  72 in Figure 2.4. The headend receives video signals from local 
J75  73 studios, over-the-air broadcasts, or microwave and satellite 
J75  74 sources and then combines and retransmits these signals over the 
J75  75 trunk cable of the network.<p/>
J75  76 <p_><O_>figure&caption<O/><p/>
J75  77 <p_>Portions of the signal on the trunk are split off every few 
J75  78 hundred meters to feeder cable, where in turn the signal is split 
J75  79 to drop cable to directly serve the household. Because these 
J75  80 systems use the standard NTSC AM-VSB transmission format, a 
J75  81 television set used for over-the-air reception can be connected 
J75  82 simply to the cable system through a simple frequency converter 
J75  83 box. This makes for low entry and exit costs to cable services.<p/>
J75  84 <p_>The high transmission and splitting losses that arise from a 
J75  85 coaxial cable tree-and-branch network require the placement of 
J75  86 amplifiers throughout the network to boost the signal. Coaxial 
J75  87 cable introduces transmission losses of about 1 dB every 30 meters 
J75  88 (optical fiber introduces about 0.1 dB every kilometer). This loss 
J75  89 and the amplifier gain determine the amplifier spacing. Given a 
J75  90 gain of about 20 dB, trunk amplifiers are typically situated about 
J75  91 every 600 meters. Signal quality also declines as the number of 
J75  92 amplifiers in cascade increases, because noise and distortions 
J75  93 accumulate with each amplifier. To maintain signal quality, no more 
J75  94 than 30-40 amplifiers are generally placed in cascade. In addition, 
J75  95 the series connection of amplifiers limits the reliability of cable 
J75  96 service. If one amplifier in the cascade fails, then all subsequent 
J75  97 network branches downstream of the failure lose their signal, 
J75  98 resulting in a loss of signal over a potentially large area.<p/>
J75  99 <p_>The tree-and-branch approach is well suited to the 
J75 100 characteristics of distributed video services. Each subscriber 
J75 101 receives the same group of video channels, which favors an 
J75 102 architecture with a high degree of shared network resources, such 
J75 103 as the tree-and-branch topology. The bandwidth of the amplifiers 
J75 104 limits the number of channels carried by the system. Improvements 
J75 105 in technology have increased amplifier bandwidth from around 200 
J75 106 MHz (30 NTSC channels) to 550 MHz (80 NTSC channels) today. The 
J75 107 bandwidth of the coaxial cable is about 1 GHz (150 NTSC channels) 
J75 108 and represents the upper bound of capacity on typical cable 
J75 109 systems.<p/>
J75 110 <h_><p_>Fiber Backbones<p/><h/>
J75 111 <p_>The cable industry is also exploring architectures that would 
J75 112 incorporate fiber into their networks [Chiddix and Pangrac, 1988]. 
J75 113 In assessing fiber alternatives, cable operators enjoy the 
J75 114 advantage of already having a broadband connection to the 
J75 115 subscriber. Fiber installed in any portion of the cable network can 
J75 116 immediately improve broadband services. Consequently, cable 
J75 117 industry proposals are exclusively hybrid networks and do not 
J75 118 include plans to build something like an all-fiber IBN in the near 
J75 119 future.<p/>
J75 120 <p_>A common approach for adding fiber into cable television 
J75 121 networks is the <tf_>fiber backbone<tf/> strategy. The idea is to 
J75 122 replace the primary trunk lines of a current coaxial cable system 
J75 123 with fiber backbones that extend to within a few hundred feet of 
J75 124 the subscriber - the remaining distance to be connected using the 
J75 125 existing coaxial cable. The fiber backbone could entirely replace 
J75 126 the trunk line, thereby eliminating all the trunk amplifiers, or 
J75 127 replace a significant portion of the trunk line, thereby shortening 
J75 128 the number of trunk amplifiers in cascade to a small number.<p/>
J75 129 <p_>Deployment of fiber backbones reduces the number of trunk 
J75 130 amplifiers in cascade between the headend and subscriber. Using 
J75 131 fewer amplifiers in cascade improves network reliability and 
J75 132 picture quality, increases system capacity, and 
J75 133 <}_><-|>provide<+|>provides<}/> greater network flexibility for 
J75 134 offering new broadband services. Network reliability is an 
J75 135 important attribute, as frequent loss of television signal 
J75 136 resulting from the long amplifier cascades continues to be a common 
J75 137 consumer complaint about current cable television services. The 
J75 138 increase in system capacity made possible by fiber backbones could 
J75 139 enable cable systems to carry HDTV signals over the cable network 
J75 140 without having to reduce the number of offered channels.<p/>
J75 141 <h_><p_>2.4 MARKET STRUCTURE FOR THE SUBSCRIBER LOOP<p/><h/>
J75 142 <p_>The previous sections described a framework characterizing the 
J75 143 mechanisms of network evolution, starting with the demand for 
J75 144 network-based services. Network planners assess the technology 
J75 145 alternatives and select the approach best suited to meet current 
J75 146 and future demands. The cost characteristics of the chosen 
J75 147 technology indicate the appropriate market structure - the most 
J75 148 efficient form of industrial organization of firms for production - 
J75 149 for the network-based services. Typically, network-based services 
J75 150 exhibit economies of scale in production. However, in a 
J75 151 multiproduct environment, natural monopoly requires the dual 
J75 152 presence of economies of scale and scope in the production of 
J75 153 services.<p/>
J75 154 <p_>Public telecommunications networks provide the communications 
J75 155 infrastructure vital to the activities of everyday life, and the 
J75 156 need to establish policies favoring the development of this 
J75 157 infrastructure is therefore clearly linked to the notions of 
J75 158 economies of scale and scope. That is, presumably the justification 
J75 159 for a <tf|>public communications network, and regulation of the 
J75 160 network in general, stems from strong economies of scale and scope 
J75 161 arising in the use of such a resource. Telephone companies propose 
J75 162 that IBNs will serve as the future communications infrastructure 
J75 163 for society by providing a diverse set of services based upon the 
J75 164 strong economies of scope inherent in the services provided by 
J75 165 fiber-based networks.<p/>
J75 166 <h_><p_>2.4.1 The Importance of Economies of Scope<p/><h/>
J75 167 <p_>Without any regulatory barriers, a network operator will offer 
J75 168 a new service if that service can be offered at a profit for an 
J75 169 incremental cost lower than that of competitors. Economies of scope 
J75 170 between new and existing services would lower the incremental cost 
J75 171 of the new service. As pointed out earlier, the strength of 
J75 172 economies of scope between narrowband and broadband subscriber loop 
J75 173 services should ultimately determine the success of IBNs. Whether 
J75 174 an IBN will achieve economies of scope depends upon the 
J75 175 transmission characteristics of the network services and the 
J75 176 technological alternatives to transport these services 
J75 177 separately.<p/>
J75 178 <p_>Figure 2.5 qualitatively illustrates this point by plotting the 
J75 179 hypothetical cost functions for three transmission technologies 
J75 180 versus three levels of network-based services. Assume that the 
J75 181 hypothetical cost functions represent the costs of building a 
J75 182 network using that transmission technology. The cumulative levels 
J75 183 of service are narrowband, distributed video, and switched video. 
J75 184 The shaded portion of the graph shows the area in which cumulative 
J75 185 economies of scope are present; its boundary represents the 
J75 186 combined cost of separate networks to provide each service 
J75 187 category. Any cost curve passing through the shaded region exhibits 
J75 188 economies of scope between the service categories, because the cost 
J75 189 of an integrated network is less than the cost of separate 
J75 190 networks.<p/>
J75 191 <p_><O_>figure&caption<O/><p/>
J75 192 <p_>The three technology curves depicted in Figure 2.5 are 
J75 193 presented in part to motivate discussion, but also because they are 
J75 194 indicative of the actual cost characteristics of the representative 
J75 195 technologies [Johnson and Reek, 1990]. The curve for copper 
J75 196 technology illustrates that this technology provides the lowest 
J75 197 cost alternative for narrowband services, but as the capacity 
J75 198 requirements of the services increase to broadband levels, copper 
J75 199 wire pairs quickly becomes uneconomic versus alternative 
J75 200 technologies and provides no economies of scope for these services. 
J75 201 The curve for hybrid networks shows that these systems provide 
J75 202 economies of scope between narrowband and distributive video, but 
J75 203 economies are lost in upgrades to switched video status. The curve 
J75 204 for an all-fiber network suggests that these systems offer no 
J75 205 economies of scope between narrowband services and distributed 
J75 206 video services (that is, a fiber network carrying these services is 
J75 207 more expensive than separate copper and coaxial cable networks), 
J75 208 but if switched services are incorporated into the network, then 
J75 209 the fiber alternative captures more economies of scope than the 
J75 210 other alternatives.<p/>
J75 211 <p_>Although somewhat contrived, these curves do succeed in 
J75 212 conveying the complexity of the network evolution problem. 
J75 213 Different technologies are most efficient for transporting 
J75 214 different combinations of services. No simple solution exists that 
J75 215 will dominate over the entire range of services. Network planners 
J75 216 must plan a network that can deliver an efficient mix of services 
J75 217 given a highly uncertain environment regarding future technology 
J75 218 developments, market opportunities, and government regulations.<p/>
J75 219 <p_>One aspect of the deployment of IBNs that is not considered in 
J75 220 the analysis is any potential economies of scope between businesses 
J75 221 and residential applications. Businesses may have a much higher 
J75 222 demand for broadband applications such as high speed date, 
J75 223 electronic publishing, or video imaging services. Strong demand for 
J75 224 broadband services by business users located in residential areas 
J75 225 could provide sufficient economies of scope to facilitate the 
J75 226 introduction of fiber into these areas.
J75 227 
J76   1 <#FROWN:J76\><h_><p_>Chapter IX<p/>
J76   2 <p_>The Insulating Refractory Product Line<p/>
J76   3 <p_>APPLICATIONS AND APPLICATION CRITERIA<p/><h/>
J76   4 <p_>Thermally insulating refractories function by providing 
J76   5 stagnant or 'dead' gas space, which is to say they contain large 
J76   6 volume fractions of voids. Since it is impossible to build 
J76   7 closed-cell structures into high-void-volume ceramics, these 
J76   8 materials are all 'open': susceptible to permeation and saturation 
J76   9 by hot process liquids and to chemical attack by aggressive gases. 
J76  10 It follows that they are not willingly exposed directly to liquids 
J76  11 of any kind, nor to condensible vapors, nor to gases of more than 
J76  12 minor chemical reactivity.<p/>
J76  13 <p_>Ergo, corrosion resistance is downgraded as an index of merit. 
J76  14 The prime criterion for material selection is refractoriness and 
J76  15 dimensional stability sufficient for the assignment. The first 
J76  16 property needed for insulating refractory qualification is 
J76  17 accordingly the service temperature limit, which is related to 
J76  18 composition, sintering temperature, and void volume.<p/>
J76  19 <p_>The composition classes of Table VIII.1 turn out to be more 
J76  20 than ample. Virtually all refractories in the insulating product 
J76  21 line are oxidic, for the obvious reason that nonoxides are on the 
J76  22 whole innately efficient conductors of heat. Relief from the 
J76  23 necessity of resisting corrosion by liquids eliminates some of the 
J76  24 more expensive oxidic types and their composites.<p/>
J76  25 <p_>Insulating refractories are grouped at the bottom of Table 
J76  26 VIII.2, under Porosity -now expanded to mean void volume fraction. 
J76  27 But Table VIII.2 does not address the microstructures of insulating 
J76  28 materials nor the manufacturing methods employed specifically to 
J76  29 create them. Some further subclassifications are needed. To put 
J76  30 those in perspective, let us first examine where and how insulating 
J76  31 refractories are used.<p/>
J76  32 <h_><p_>Duplex Linings; Steady-State Usage<p/><h/>
J76  33 <p_>There are two reasons for interpolating an insulating layer 
J76  34 between a hot working lining and the 'outside.' These are: (a) to 
J76  35 cool the back face, e.g., to preserve the mechanical integrity of 
J76  36 an enclosing metal shell or for reasons of safety outside a wall or 
J76  37 roof; and (b) to reduce the heat flux <tf|>J through the lining and 
J76  38 hence improve process fuel economy. Both motives may apply at the 
J76  39 same time, though the second usually predominates.<p/>
J76  40 <p_>In the simple case of a plane wall at steady state, where a 
J76  41 hot<?_>-<?/>face temperature T<sb_>h<sb/> is fixed by a given 
J76  42 operation, then:<p/>
J76  43 <p_><O_>formula<O/>.<p/>
J76  44 <p_>This equation is set up for a working lining 'w' of mean 
J76  45 thermal conductivity <*_>unch<*/><sb_>w<sb/> and thickness 
J76  46 Z<sb_>w<sb/>, an insulating lining 'i' of (low) mean thermal 
J76  47 conductivity <*_>unch<*/><sb_>i<sb/> and thickness Z<sb_>i<sb/>, 
J76  48 and metal shell 's' of (high) mean thermal conductivity 
J76  49 <*_>unch<*/><sb_>s<sb/> and thickness Z<sb_>s<sb/>. T<sb_>h<sb/> is 
J76  50 the (fixed) temperature of the working hot face; T<sb_>i<sb/> is 
J76  51 that of the interface between linings 'w' and 'i'; T<sb_>b<sb/> is 
J76  52 the refractory back face temperature or that of the interface 
J76  53 between lining 'i' and shell 's'; and T<sb_>o<sb/> is that of the 
J76  54 outside of the shell. <tf|>J<sb_>o<sb/> is the heat flux to the 
J76  55 'outside,' existing by virtue of water-cooling or forced or 
J76  56 convective air-cooling of the shell.<p/>
J76  57 <p_>The equation is solvable, given all <tf|>k's, once T<sb_>o<sb/> 
J76  58 or <tf|>J<sb_>o<sb/> is fixed. This may be done by applying 
J76  59 practical criteria to <tf|>J<sb_>o<sb/> with a known relation 
J76  60 between this T<sb_>o<sb/>, or by arbitrarily limiting T<sb_>o<sb/> 
J76  61 itself (e.g., to <*_>approximate-sign<*/>100<*_>degree<*/>C if 
J76  62 water cooled, to 40<*_>degree<*/><*_>unch<*/> if exposed to human 
J76  63 contact, or to some safe limit for mechanical integrity of the 
J76  64 metal). Ordinarily the shell thickness Z<sb_>s<sb/> will be fixed 
J76  65 by structural design considerations; and Z<sb_>w<sb/> may be 
J76  66 limited by considerations of working lining corrosion or its 
J76  67 end-of-life minimum allowable thickness, for example. If a metal 
J76  68 shell is absent, delete the third equality and replace T<sb_>b<sb/> 
J76  69 by T<sb_>o<sb/>. If an insulating backup refractory is absent, 
J76  70 delete the second equality and replace T<sb_>i<sb/> by 
J76  71 T<sb_>b<sb/>. If both are absent, delete both of those equalities 
J76  72 and replace T<sb_>i<sb/>by T<sb_>o<sb/>. The equation is thus 
J76  73 versatile, and comparisons may be made with it among various lining 
J76  74 options.<p/>
J76  75 <p_>Computer programs for solving this steady-state type of 
J76  76 equation are in common use. Depending on their sophistication, 
J76  77 provisions may be made for: (a) inserting each <tf|>k as f(T) 
J76  78 instead of estimating a mean; (b) inserting additional functions 
J76  79 for interface conductivity or temperature drop, where applicable; 
J76  80 and (c) inserting appropriate relations between <tf|>J<sb_>o<sb/> 
J76  81 and T<sb_>o<sb/> for various modes of outside cooling. Comparable 
J76  82 equations are suited to cylindrical or spherical geometry.<p/>
J76  83 <p_>For hand calculations, reasonable estimates can be made for the 
J76  84 independent parameters. Perhaps the only one not self-evident is 
J76  85 the connection between <tf|>J<sb_>o<sb/> and T<sb_>o<sb/> for air 
J76  86 cooling. A rough empirical curve for unimpeded convective cooling 
J76  87 of vertical exterior surfaces by ambient air at about  
J76  88 77<*_>degree<*/>F or 25<*_>degree<*/>C, used for estimating 
J76  89 purposes, is approximated by:<p/>
J76  90 <p_><O_>formula<O/> (<tf|>J<sb_>o<sb/> in Btu/hr ft<sp_>2<sp/> and 
J76  91 T<sb_>o<sb/> in <*_>degree<*/>F);<p/>
J76  92 <p_>or, in convenient metric units:<p/>
J76  93 <p_><O_>formula<O/> (<tf|>J<sb_>o<sb/> in 
J76  94 kJ/h<*_>dot<*/>m<sp_>2<sp/> and T<sb_>o<sb/> in 
J76  95 <*_>degree<*/>C).<p/>
J76  96  <p_>This rough guide applies to a refractory cold face up to some 
J76  97 600<*_>degree<*/>F or 300<*_>degree<*/>C. It should do about as 
J76  98 well for the outside of a steel shell.<p/>
J76  99 <p_>For a conservative example of what thermal insulation can do, 
J76 100 suppose the hot zone of a tunnel kiln, firing pottery, averages 
J76 101 1000<*_>degree<*/>C at the hot face. Assume its working refractory 
J76 102 sidewalls and roof are 9" or 22.86 cm thick, exposed to the air 
J76 103 outside, constructed of super<?_>-<?/>duty firebrick whose mean 
J76 104 thermal conductivity is 9.5 Btu <*_>dot<*/> 
J76 105 in./ft<sp_>2<sp/>hr<*_>degree<*/>F or 490. kJ <*_>dot<*/> 
J76 106 cm/m<sp_>2<sp/>hr <*_>degree<*/>C. By entering these quantities 
J76 107 into the above equations and solving simultaneously:<p/>
J76 108 <p_><tf|>J =490 (1000-T<sb_>o<sb/>)/22.86 and <O_>formula<O/>,<p/>
J76 109 <p_>one obtains T<sb_>o<sb/> =236<*_>degree<*/>C and the heat loss 
J76 110 <tf|>J =16,380 kJ/m<sp_>2<sp/>hr. Now add only about 2" or 5 cm of 
J76 111 lightweight insulation to the outside, using a mean thermal 
J76 112 conductivity of about 0.6 Btu <*_>dot<*/> in./ft<sp_>2<sp/> 
J76 113 hr<*_degree<*/>F or 30 
J76 114 kJ<*_>dot<*/>cm/m<sp_>2<sp/>hr<*_>degree<*/>C. What will be the new 
J76 115 T<sb_>o<sb/> and heat loss? One solves:<p/>
J76 116 <p_><O_>formula<O/><p/>
J76 117 <p_>simultaneous with the above air-cooling equation for 
J76 118 <tf|>J<sb_>o<sb/>, obtaining T<sb_>i<sb/> =804<*_>degree<*/>C, 
J76 119 T<sb_>o<sb/> =105<*_>degree<*/>C and the heat loss <tf|>J =4,190 
J76 120 kJ/m<sp_>2<sp/>hr. The saving in lost heat at steady state is 
J76 121 (16,380-4,190)/16,380 or very close to 75%. If the kiln hot zone 
J76 122 dimensions are 80 ft. by 10 ft. wide by 12 ft. high (24.4 x 3. x 
J76 123 3.7 meters), the total heat-loss area is about 250 m<sp_>2<sp/> and 
J76 124 the saving in lost heat is about 3 million kJ/hour or 73 million kJ 
J76 125 per day, or 69 million Btu per day. That is worth about $120,000 a 
J76 126 year in 1990 U.S. dollars.<p/>
J76 127 <p_>In general, interpolating an insulating refractory layer or 
J76 128 increasing its effectiveness: (a) increases T<sb_>i<sb/> and 
J76 129 decreases <tf|>J at a fixed value of T<sb_>o<sb/>; or (b) Increases 
J76 130 T<sb_>i<sb/> and decreases Z<sb_>w<sb/> and T<sb_>o<sb/> at a fixed 
J76 131 value of <tf|>J. These effects on T<sb_>i<sb/>, which is the 
J76 132 cold-face temperature of the working lining, make that lining 
J76 133 increasingly vulnerable to corrosion. Of the two effects on 
J76 134 T<sb_>i<sb/> recited here, the first is much the more pronounced. 
J76 135 Where corrosion is already economically limiting, in fact, the use 
J76 136 of an insulating backup lining may be contra-indicated. Examples 
J76 137 are in the O<sb_>2<sb/>-blown steelmaking furnaces and the lower 
J76 138 parts of the ironmaking blast furnace.<p/>
J76 139 <p_>For the same basic reason, insulation is never placed on the 
J76 140 <tf|>outside of a metal shell to decrease <tf|>J<sb_>o<sb/> unless 
J76 141 the shell temperature is already quite low, and never without 
J76 142 proving analytically that the metal will not be heated above its 
J76 143 safe limit. These same equations serve also in that proof.<p/>
J76 144 <h_><p_>Thermal Conductivity, Void Volume, and Bulk Density<p/><h/>
J76 145 <p_>Armed with the above means of computing and a list of qualified 
J76 146 insulating refractory materials and their properties, the system 
J76 147 designer engages iteratively in an approach to both material 
J76 148 selection and the determination of Z<sb_>w<sb/> and Z<sb_>i<sb/>. 
J76 149 The <tf_>thermal conductivity<tf/> of the insulating layer becomes 
J76 150 both a qualifying and a design property; but it is not much used 
J76 151 for classification. Suffice it for now that values of 
J76 152 <tf|>k<sb_>i<sb/> can be had from close to those of working 
J76 153 refractories to nearly two orders of magnitude lower. This <tf|>k 
J76 154 depends on the <tf_>void volume fraction<tf/>, f<sb_>v<sb/>.<p/>
J76 155 <p_>The void volume fraction is related to measurable quantities 
J76 156 from which two corresponding densities are obtained at room 
J76 157 temperature. Every defined solid has a <tf_>theroretical 
J76 158 density<tf/>, <*_>rho<*/><sb_>th<sb/>, obtainable by x-ray 
J76 159 diffraction for crystalline species or by weight and volume 
J76 160 measurements for bulk glasses. The latter method is also used for 
J76 161 multi-phase materials after their maximum consolidation by, e.g., 
J76 162 fusion casting or hot pressing, etc. Sectioning and counting up of 
J76 163 pore areas under the microscope can be used to improve this measure 
J76 164 theoretical density.<p/>
J76 165 <p_>Likewise, each insulating material comprised in part of such a 
J76 166 defined solid and in part of void space has a <tf_>bulk 
J76 167 density<tf/>, <*_>rho<*/><sb_>b<sb/>, obtained by measuring its 
J76 168 weight and its 'bulk volume.' Measurement of the bulk volume is not 
J76 169 always easy. In concept if not in actual practice, this is 
J76 170 obtainable by gently shrink-wrapping or enveloping a weighed 
J76 171 quantity of material in an infinitely thin plastic film and then 
J76 172 measuring the volume by water displacement in a graduated cylinder 
J76 173 or pycnometer.<p/>
J76 174 <p_>Though there are standard ASTM procedures for obtaining both of 
J76 175 these densities, the above conceptual definition avoids confusion. 
J76 176 It is important for present purposes that the 'bulk volume' shall 
J76 177 contain <tf|>all of the void volume within a specimen, including 
J76 178 the interstitial packing space in the case of unconsolidated 
J76 179 granular materials.<p/>
J76 180 <p_>With these two named densities in hand and denoting the void 
J76 181 volume fraction by f<sb_>v<sb/>, this quantity is:<p/>
J76 182 <p_><O_>formula<O/>.<p/> 
J76 183 <p_>But in the classification of insulating refractories, this 
J76 184 parameter f<sb_>v<sb/> is rarely stated. Instead, the <tf_>bulk 
J76 185 density<tf/> is used for classification. Although industry 
J76 186 practices vary, it is uncommon in the U.S. for the theoretical 
J76 187 density to be reported, or even for the phase composition of the 
J76 188 material to be disclosed. On the other hand, the precise 
J76 189 computation of <tf|>k from f<sb_>v<sb/> is all but futile anyway; 
J76 190 <tf|>k is measured empirically vs T and is reported for each 
J76 191 commercial and research product. We shall deal with the measurement 
J76 192 of <tf|>k along with its numerical cataloguing in Chapter XI.<p/>
J76 193 <h_><p_>Working Configurations; Cyclic Usage<p/><h/>
J76 194 <p_>Dramatic improvements in processing economy have also been made 
J76 195 by the use of insulating refractories in the <tf|>working 
J76 196 configuration -that is, directly exposed to the process 
J76 197 environment. A first requisite is that this environment must 
J76 198 consist only of 'clean' (i.e., relatively dust-free) gases. A 
J76 199 second is that, since high-void-volume refractories are to a 
J76 200 greater or lesser degree friable, the usage must entail 
J76 201 correspondingly low mechanical wear. Numerous applications meet 
J76 202 these two requisites, however. Some that exemplify <tf|>cyclic 
J76 203 process operation include the walls and roofs of batch driers, 
J76 204 ovens, and heat-treatment furnaces, batch or periodic kilns, 
J76 205 insulating lids or 'hot tops' for metal casting, the upper portions 
J76 206 of a limited number of metallurgical furnaces, some kiln furniture, 
J76 207 and much hot-gas ducting. Air, moist air, and clean oxidizing or 
J76 208 neutral combustion products are generally acceptable. Redox cycling 
J76 209 of the atmosphere disqualifies some insulating refractories, and 
J76 210 others may not tolerate the production of soot. Chemicals vaporized 
J76 211 from the charge are usually somewhat harmful. These have to be 
J76 212 evaluated individually depending on chemical identity, partial 
J76 213 pressure or transfer rate, and specific rate of attack on the 
J76 214 selected refractory. Dust, likewise, need not always be nil but 
J76 215 calls for careful evaluation.<p/>
J76 216 <p_>What is the peculiar virtue of low-density refractories in 
J76 217 these cyclic situations?<p/>
J76 218 <p_>It is intuitive after Chapter IV that the analysis of thermal 
J76 219 transients entails use of the thermal diffusivity, <O_>formula<O/>, 
J76 220 where c = specific heat in kJ/kg<*_>degree<*/>C or 
J76 221 J/g<*_>degree<*/>C and <*_>rho<*/><sb_>b<sb/> = bulk density as 
J76 222 defined in the preceding section. Since <*_>rho<*/><sb_>b<sb/> in 
J76 223 high-void-volume refractories range from low to very low, the 
J76 224 product c<*_>rho<*/><sb_>b<sb/> runs correspondingly low while 
J76 225 <tf|>k does likewise, relative to these properties of dense 
J76 226 refractories. Computerized mathematical methods of performance 
J76 227 analysis using <*_>delta<*/> are widely practiced, but can 
J76 228 not<&|>sic! be demonstrated here. Instead, some approximations and 
J76 229 manual calculations will be used to illustrate the economic 
J76 230 benefits of insulating working linings when the temperature is 
J76 231 cycled.<p/>
J76 232 <p_>Consider a periodic shuttle kiln, again firing pottery at 
J76 233 1000<*_>degree<*/>C. Each charge of ware plus kiln furniture 
J76 234 consumes 20 million kJ in firing, and an additional 20 million kJ 
J76 235 goes up the stack if it is not recovered. The entire cycle occupies 
J76 236 22 hours, leaving two hours per day for charging and discharging. 
J76 237 The cycle consists of 12 hours heat-up plus 4 hours steady-state at 
J76 238 1000<*_>degree<*/>C, plus 6 hours of slow cooling (burners off).<p/>
J76 239 
J76 240 
J77   1 <#FROWN:J77\><h_><p_>Colorfastness to Fulling<p/><h/>
J77   2 <p_><tf_>Developed in 1954 by AATCC Committee RR22; revised 1957, 
J77   3 1972; editorially revised 1981, 1984, 1986; reaffirmed 1958, 1975, 
J77   4 1978, 1983, 1989; editorially revised and reaffirmed 1988.<tf/><p/>
J77   5 <h_><p_>1. Purpose and Scope<p/><h/>
J77   6 <p_>1.1 This test method is intended for evaluating the 
J77   7 colorfastness of dyed wool fabric and yarn to mill fulling.<p/>
J77   8 <h_><p_>2. Principle<p/><h/>
J77   9 <p_>2.1 Dyed wool test specimens, in contact with the desired 
J77  10 undyed textiles of choice and steel balls, are enclosed in an 
J77  11 undyed test cloth bag and fulled in a soap solution in a metal 
J77  12 container in a Launder-Ometer by procedures varying in temperature 
J77  13 of the bath and time.<p/>
J77  14 <h_><p_>3. Terminology<p/><h/>
J77  15 <p_>3.1<tf|>colorfastness, n. - the resistance of a material to 
J77  16 change in any of its color characteristics, to transfer of its 
J77  17 colorant(s) to the adjacent materials, or both, as a result of the 
J77  18 exposure of the material to any environment that might be 
J77  19 encountered during the processing, testing, storage or use of the 
J77  20 material.<p/>
J77  21 <p_>3.2 <tf|>fulling, n. - a textile finishing process in which 
J77  22 cloth is subjected to moisture, heat, friction and pressure.<p/>
J77  23 <h_><p_>4. Safety Precautions<p/><h/>
J77  24 <p_>NOTE: These safety precautions are for information purposes 
J77  25 only. The precautions are ancillary to the testing procedures and 
J77  26 are not intended to be all inclusive. It is the user's 
J77  27 responsibility to use safe and proper techniques in handling 
J77  28 materials in this test method. Manufacturers MUST be consulted for 
J77  29 specific details such as material safety data sheets and other 
J77  30 manufacturer's recommendations. All OSHA standards and rules must 
J77  31 also be consulted and followed.<p/>
J77  32 <p_>4.1. Good laboratory practices should be followed. Wear safety 
J77  33 glasses in all laboratory areas and a single use dust respirator 
J77  34 while handling powder dyes.<p/>
J77  35 <p_>4.2 All chemicals should be handled with care.<p/>
J77  36 <p_>4.3 The dyes listed in this method belong to the following 
J77  37 chemical classes:<p/>
J77  38 <p_>C.I. 62106: (C.I. Acid Blue 78), anthraquinone<p/>
J77  39 <p_>C.I. 42645: (C.I. Acid Blue 15), tri<?_>-<?/>phenylmethane<p/>
J77  40 <p_>C.I. 43830: (C.I. Mordant Blue 1), triphenylmethane<p/>
J77  41 <h_><p_>5. Apparatus and Materials<p/><h/>
J77  42 <p_>5.1 Launder-Ometer (see 14.1)<p/>
J77  43 <p_>5.2 Stainless steel specimen containers 8.9x20.3 cm (3.5x8.0 
J77  44 in.) (see 14.1)<p/>
J77  45 <p_>5.3 Stainless stell balls, 6.3 mm (1.25 in.) (see 14.1)<p/>
J77  46 <p_>5.4 Soap, neutral granular (Fed. Spec. P-S-566 or ASTM D 496) 
J77  47 (see 14.2)<p/>
J77  48 <p_>5.5 Sodium carbonate, anhydrous, technical<p/>
J77  49 <p_>5.6 Phenolphthalein indicator solution<p/>
J77  50 <p_>5.7 Standard dyeings (see 14.3)<p/>
J77  51 <p_>5.8 Worsted test cloth with 12 effect floats (see 14.4)<p/>
J77  52 <p_>5.9 AATCC Chromatic Transference Scale (see 14.1)<p/>
J77  53 <p_>5.10 Gray Scale for Color Change (see 14.2)<p/>
J77  54 <h_><p_>6. Test Specimens<p/><h/>
J77  55 <p_>6.1 Form a bag by folding together a 2-gram dyed wool test 
J77  56 specimen and a 2-gram cutting of the test cloth [approx. 7.6x10.2 
J77  57 cm (3.0x4.0 in.)] with the dyed piece innermost, and stitching two 
J77  58 of the open edges. Insert ten 6.3 mm (0.25 in.) stainless steel 
J77  59 balls and stitch the remaining open edges. To test dyed yarn, braid 
J77  60 the yarn with undyed wool, cotton or other yarn of interest [5.1 cm 
J77  61 (2 in.)] and tie the braid at the ends. Enclose the braid and ten 
J77  62 6.3 mm (0.25 in.) stainless steel balls in a test cloth bag formed 
J77  63 as above.<p/>
J77  64 <h_><p_>7. Test Conditions<p/><h/>
J77  65 <p_><O_>table<O/><p/>
J77  66 <h_><p_>8. Procedure<p/><h/>
J77  67 <p_>8.1 Prepare a test solution containing 37.5 grams soap and 15 
J77  68 grams sodium carbonate per liter.<p/>
J77  69 <p_>8.2 Place each test bag in a 20.3 cm (8 in.) stainless steel 
J77  70 container. Add 100 stainless steel balls and 8 mL of the test 
J77  71 solution, and secure the covers. Place the tubes in the 
J77  72 Launder-Ometer which has been heated to the desired temperature, 
J77  73 and run for the required time (see table above). Remove the tubes, 
J77  74 release the covers, empty the contents into a colander, and rinse 
J77  75 the test bags in several changes of water at 43C (110F) (until the 
J77  76 rinse water is neutral to phenolphthalein). Open the bags, remove 
J77  77 the balls and the specimens, and dry the specimens and the test 
J77  78 cloth.<p/>
J77  79 <h_><p_>9. Evaluation<p/><h/>
J77  80 <p_>9.1 Evaluate the specimens by comparing them with the 
J77  81 appropriate Standard dyeing which has been subjected to the same 
J77  82 fulling procedure. These Standard dyeings represent the minimum 
J77  83 fastness requirements for their respective classes for alteration 
J77  84 in color and staining of accompanying undyed textiles.<p/>
J77  85 <h_><p_>10. Alternate Evaluation Method for Color Change<p/><h/>
J77  86 <p_>10.1 Define the effect on the color of the test specimens by 
J77  87 reference to the Gray Scale for Color Change.<p/>
J77  88 <p_>Class 5 - negligible or no change as shown in Gray Scale Step 
J77  89 5.<p/>
J77  90 <p_>Class 4 - a change in color equivalent to Gray Scale Step 4.<p/>
J77  91 <p_>Class 3 - a change in color equivalent to Gray Scale Step 3.<p/>
J77  92 <p_>Class 2 - a change in color equivalent to Gray Scale Step 2.<p/>
J77  93 <p_>Class 1 - a change in color equivalent to Gray Scale Step 1.<p/>
J77  94 <h_><p_>11. Alternate Evaluation Method for Staining<p/><h/>
J77  95 <p_>11.1 Staining can be evaluated by means of the AATCC Chromatic 
J77  96 Transference Scale or the Gray Scale for Staining (see 14.5).<p/>
J77  97 <p_>Class 5 - negligible or no staining.<p/>
J77  98 <p_>Class 4 - staining equivalent to Row 4 on the AATCC Scale or 
J77  99 Step 4 on the Gray Scale for Staining.<p/>
J77 100 <p_>Class 3 - staining equivalent to Row 3 on the AATCC Scale or 
J77 101 Step 3 on the Gray Scale for Staining.<p/>
J77 102 <p_>Class 2 - staining equivalent to Row 2 on the AATCC Scale or 
J77 103 Step 2 on the Gray Scale for Staining.<p/>
J77 104 <p_>Class 1 - staining equivalent to Row 1 on the AATCC Scale or 
J77 105 Step 1 on the Gray Scale for Staining.<p/>
J77 106 <h_><p_>12. Report<p/><h/>
J77 107 <p_>12.1 Report the class determined for color change or 
J77 108 staining.<p/>
J77 109 <p_>12.2 Report evaluation method used (Sections 9, 10 or 11).<p/>
J77 110 <p_>12.3 For staining report whether Gray Scale for Staining or 
J77 111 AATCC Chromatic Transference Scale was used.<p/>
J77 112 <h_><p_>13. Precision and Bias<p/><h/>
J77 113 <p_>13.1 Precision and bias have not been established for this test 
J77 114 method.<p/>
J77 115 
J77 116 <h_><p_>Colorfastness to Bleaching with Chlorine<p/><h/>
J77 117 <p_><tf_>Developed in 1927 by AATCC Committee RA34; revised 1942, 
J77 118 1947, 1955, 1956, 1957, 1962, 1972; editorially revised 1974, 1983, 
J77 119 1984, 1986, 1991; reaffirmed 1975, 1979; editorially revised and 
J77 120 reaffirmed 1985, 1989.<tf/><p/>
J77 121 <h_><p_>1. Purpose and Scope<p/><h/>
J77 122 <p_>1.1 This test method is applicable to cotton and linen textiles 
J77 123 and mixtures thereof whether dyed, printed or otherwise colored, 
J77 124 which may be subjected to solutions containing up to 0.3 per cent 
J77 125 available chlorine.<p/>
J77 126 <h_><p_>2. Principle<p/><h/>
J77 127 <p_>2.1 A test specimen and cuttings of the appropriate control 
J77 128 dyeings are washed in hypochlorite solution under controlled 
J77 129 conditions.<p/>
J77 130 <h_><p_>3. Terminology<p/><h/>
J77 131 <p_>3.1 <tf|>colorfastness, n. - the resistance of a material to 
J77 132 change in any of its color characteristics, to transfer of its 
J77 133 colorant(s) to adjacent materials, or both, as a result of the 
J77 134 exposure of the material to any environment that might be 
J77 135 encountered during the processing, testing, storage or use of the 
J77 136 material.<p/>
J77 137 <h_><p_>4. Safety Precautions<p/><h/>
J77 138 <p_>NOTE: These safety precautions are for information purposes 
J77 139 only. The precautions are ancillary to the testing procedures and 
J77 140 are not intended to be all inclusive. It is the user's 
J77 141 responsibility to use safe and proper techniques in handling 
J77 142 materials in this test method. Manufacturers MUST be consulted for 
J77 143 specific details such as material safety data sheets and other 
J77 144 manufacturer's recommendations. All OSHA standards and rules must 
J77 145 also be consulted and followed.<p/>
J77 146 <p_>4.1 Good laboratory practices should be followed. Wear safety 
J77 147 glasses in all laboratory areas.<p/>
J77 148 <p_>4.2 All chemicals should be handled with care.<p/>
J77 149 <p_>4.3 Use chemical goggles or face shield, impervious gloves and 
J77 150 an impervious apron during preparation of sodium hydroxide 
J77 151 solutions. Use in an adequately ventilated laboratory hood.<p/>
J77 152 <p_>4.4 An eyewash/safety shower should be located nearby and a 
J77 153 self-contained breathing apparatus should be readily available for 
J77 154 emergency use.<p/>
J77 155 <h_><p_>5. Apparatus and Materials<p/><h/>
J77 156 <p_>5.1 Launder-Omeer (see 13.7).<p/>
J77 157 <p_>5.2 Flat iron<p/>
J77 158 <p_>5.3 Stainless Steel Cylinder, 500 mL 7.5x12.5 cm (3.0x5.0 in.) 
J77 159 (see 13.7).<p/>
J77 160 <p_>5.4 AATCC Chromatic Transference Scale (see 13.7).<p/>
J77 161 <p_>5.5 Gray Scale for Color Change and Gray Scale for Staining 
J77 162 (see 13.7).<p/>
J77 163 <p_>5.6 Distilled water, pH 6.8-7.2.<p/>
J77 164 <p_>5.7 Sodium hypochlorite (4-6 per cent available chlorine, pH 
J77 165 9.8-12.8) (see 13.2).<p/>
J77 166 <p_>5.8 Sodium hydroxide<p/>
J77 167 <p_>5.9 Sodium carbonate<p/>
J77 168 <p_>5.10 Sodium bicarbonate<p/>
J77 169 <p_>5.11 Sodium bisulfite<p/>
J77 170 <p_>5.12 Sodium arsenite<p/>
J77 171 <h_><p_>6. Test Specimens<p/><h/>
J77 172 <p_>6.1 One specimen should be used for each of the types of test 
J77 173 to be applied (four types are described below) and one specimen 
J77 174 should be reserved for comparison with the tested specimens.<p/>
J77 175 <p_>6.2 Specimens of not less than 2 or more than 6 grams should be 
J77 176 taken. If less than 2 grams are available, make up with dyed 
J77 177 controls or boiled-out unbleached cotton.<p/>
J77 178 <h_><p_>7. Tests<p/><h/>
J77 179 <p_><O_>table<O/><p/>
J77 180 <h_><p_>8. Procedure<p/><h/>
J77 181 <p_>8.1 Solutions of sodium hypochlorite (NaOCl) containing 0.01, 
J77 182 0.1, 0.2, 0.3 per cent available chlorine are made up and adjusted 
J77 183 to a pH of 11.0<*_>unch<*/> 0.2 by means of the proper buffers (see 
J77 184 13.3).<p/>
J77 185 <p_>8.2 The test specimen is thoroughly wet out at 25-30C (78-85F) 
J77 186 in distilled water, or in event that it has been given a water 
J77 187 repellent finish (see 13.4), it is wet out in a 0.5 per cent 
J77 188 neutral soap solution at 25-30C (75-85F). The surplus liquor is 
J77 189 removed permitting the specimen to retain approximately its dry 
J77 190 weight of liquor and in this condition it is then placed in a 
J77 191 one-pint glass jar containing 50 times its dry weight of the sodium 
J77 192 hypochlorite solution adjusted to the required temperature.<p/>
J77 193 <p_>8.3 The tightly capped jar is immediately placed in the 
J77 194 Launder-Ometer and the machine run until one full hour has elapsed 
J77 195 from the time that the specimen was placed in the jar. The 
J77 196 Launder-Ometer is maintained at a temperature of 27 <*_>unch<*/> 3C 
J77 197 (80 <*_>unch<*/> 5F) during the test.<p/>
J77 198 <p_>8.4 The specimen is removed from the jar and rinsed thoroughly 
J77 199 in cold running tap water for 5 minutes, squeezing or agitating at 
J77 200 intervals. The surplus water is removed by any convenient means 
J77 201 after which the specimen is placed in 50 times its dry weight of a 
J77 202 1.0 per cent sodium bisulfite solution of 27 <*_>unch<*/> 3C (80 
J77 203 <*_>unch<*/> 5F) for 10 minutes with occasional agitation. It is 
J77 204 then removed and again rinsed in cold, running tap water for 5 
J77 205 minutes, with occasional squeezing or agitation. After removal of 
J77 206 the surplus water by any convenient means, it is pressed dry 
J77 207 between white cotton with an iron having a temperature not above 
J77 208 152C (305F).<p/>
J77 209 <p_>8.5 If the test is used for arbitration of a dispute, then the 
J77 210 test specimen should weigh 4 grams and no tolerances in temperature 
J77 211 or pH are permissible.<p/>
J77 212 <h_><p_>9. Controls (see 13.5)<p/><h/>
J77 213 <p_>9.1 Bleached muslin or light weight cotton cloth covered with 
J77 214 -<p/>
J77 215 <p_>No.1 4 per cent Vat Violet BN 10 per cent Paste (CI 68700)<p/>
J77 216 <p_>No.2 4 per cent Vat Brilliant Violet RK 10 per cent Paste (CI 
J77 217 63365) or their equivalents in any strengths of these dyes.<p/>
J77 218 <h_><p_>10. Evaluation Method for Color Change<p/><h/>
J77 219 <p_>10.1 The effect on the color of test specimens, by each of the 
J77 220 four tests with different concentrations of available chlorine, is 
J77 221 evaluated and the colorfastness classified by comparison with the 
J77 222 Gray Scale for Color Change (see 13.7)<p/>
J77 223 <p_>Class 5 - negligible or no change as shown in Gray Scale Step 
J77 224 5.<p/>
J77 225 <p_>Class 4 - a change in color equivalent to Gray Scale Step 4.<p/>
J77 226 <p_>Class 3 - a change in color equivalent to Gray Scale Step 3.<p/>
J77 227 <p_>Class 2 - a change in color equivalent to Gray Scale Step 2.<p/>
J77 228 <p_>Class 1 - a change in color equivalent to Gray Scale Step 1.<p/>
J77 229 <p_>10.2 As stated in Section 13.6, it is prudent to include 
J77 230 Control No. 2 (see Section 9.1) in the tests being made as a means 
J77 231 to establish that the tests have been made satisfactorily.<p/>
J77 232 <p_>10.3 When subjected to the four tests and the effect on the 
J77 233 color evaluated by comparison with the Gray Scale; Control No.2 
J77 234 should merit the following classification:<p/>
J77 235 <p_><O_>table<O/><p/>
J77 236 <h_><p_>11. Evaluation Method for Staining<p/><h/>
J77 237 <p_>11.1 In practical process bleaching with chlorine, no visible 
J77 238 staining is permitted; however, if desired in testing, staining may 
J77 239 be evaluated and classified by using multifiber test cloth (see 
J77 240 13.7) attached to the best specimens and classifying the staining 
J77 241 by comparison with the AATCC Chromatic Transference Scale or the 
J77 242 Gray Scale for Staining. The means used should be indicated when 
J77 243 reporting the test results (see 13.8).<p/>
J77 244 <p_>Class 5 - negligible or no staining.<p/>
J77 245 <p_>Class 4 - staining equivalent to Row 4 on the AATCC Chart or 
J77 246 Step 4 on the Gray Scale for Staining.<p/>
J77 247 <p_>Class 3 - staining equivalent to Row 3 on the AATCC Chart or 
J77 248 Step 3 on the Gray Scale for Staining.<p/>
J77 249 
J78   1 <#FROWN:J78\><p_>The new detector was a Hammamatsu 928R 'extended 
J78   2 red sensitivity' photomultiplier (PMT), pin-for-pin compatible with 
J78   3 the previous detector, except for a change in bias voltage. Thus, 
J78   4 the new detector was able to make use of the transimpedance 
J78   5 amplifier built into the base of the pre-existing detector mount. 
J78   6 To accommodate the single fibers used in the temperature monitor 
J78   7 system, two ST bulkhead connectors were mounted near the input end 
J78   8 of the PMT, angled so that the cones of light emitted by the fibers 
J78   9 fell on the first dynode of the PMT. Between the PMT and the ST 
J78  10 mounts was an optical path selector consisting of a stepper-motor 
J78  11 driven shutter that alternately blocks the path of light coming 
J78  12 from the sensor fiber or the 'reference fiber.' In the UV monitor, 
J78  13 the position of this selector was verified by two photoelectric 
J78  14 sensors; these had to be replaced with magnetic reed switches, 
J78  15 since the new PMT proved quite sensitive to the wavelength of 
J78  16 operation of the photoelectric sensors.<p/>
J78  17 <p_>The grating in the monochromator was replaced with a 930 
J78  18 grooves/mm holographic focusing grating blazed for operation at 750 
J78  19 nm. This grating has an effective dispersion of 8 nm/mm at the 
J78  20 output focus of the monochromator. The monochromator itself was 
J78  21 actually operated (without an output slit) as a spectrograph, with 
J78  22 two single optical fibers held at the output focus by a special 
J78  23 mounting system (Figure 2). The fibers were potted with TraCon 
J78  24 F-230 epoxy in 27 gauge hypodermic tubing inside 22 gauge tubing 
J78  25 and polished, then inserted into a 0.5" inch section of 0.5" 
J78  26 diameter aluminum rod having two holes parallel to the rod axis. 
J78  27 The rod was held in a 1.375" long section of .625" O.D. tubing that 
J78  28 slid into another tube directly attached to the monochromator body. 
J78  29 Because of this arrangement, light of two different wavelengths is 
J78  30 coupled into the two fibers; the spacing between the holes 
J78  31 determined the wavelength separation between the light coupled into 
J78  32 the two fibers. A slight adjustment in wavelength could also be 
J78  33 accomplished by rotating the cylindrical fiber mount. No difficulty 
J78  34 was encountered in precisely tuning the output to the two 
J78  35 wavelengths of importance to the temperature monitoring measurement 
J78  36 (828 and 856 nm  see Figure 3). Between the monochromator output 
J78  37 hole and the fibers was another shutter assembly acting as a 
J78  38 wavelength selector that could block either one, or both (to 
J78  39 provide dark current readings) of the fibers; this output shutter 
J78  40 assembly differs from the one used in the UV monitor.<p/>
J78  41 <p_>As a final improvement, a general reduction in dark currents 
J78  42 was achieved by making extensive use of baffling material in the 
J78  43 interior of the optics module. The custom analog circuit board 
J78  44 (incorporating the stepper motor driver, PMT power supply, and 
J78  45 programmable preamplifier) developed for the UV absorbance monitor 
J78  46 was used without modification.<p/>
J78  47 <p_>A commercial 2x2 fused fiber coupler was used to couple light 
J78  48 at both wavelengths to the temperature sensor fiber, and to the 
J78  49 reference fiber (see Figure 1). The coupler was chosen because of 
J78  50 its low temperature sensitivity. To further isolate the coupler 
J78  51 from warm-up effects, etc., it was mounted in a separate enclosure 
J78  52 attached to the outside of the main optical module housing. During 
J78  53 early experiments, considerable 'drift' and sensitivity to fiber 
J78  54 bending were observed. These effects appear to have been due to the 
J78  55 presence in the sensor fiber and coupler of light carried by 'leaky 
J78  56 modes.' In addition, the fiber lengths used in the apparatus are so 
J78  57 short that the equilibrium distribution of energy between true 
J78  58 guided modes, each of which has different bending loss sensitivity, 
J78  59 is never reached under normal transmission conditions. This problem 
J78  60 was essentially eliminated by the use of mode stripper/mode mixers 
J78  61 spliced to the coupler. The stripper/mixers were composed of three 
J78  62 sections: 1 m of 50 <*_>mu<*/>m (core/125<*_>mu<*/>m (cladding) 
J78  63 step<?_>-<?/>index fiber, followed by 1 m of 50/120 graded index 
J78  64 fiber, followed by 1 m of 50/125 step index fiber, all wound inside 
J78  65 a 3" diameter holder.<p/>
J78  66 <p_><O_>figures&captions<O/><p/>
J78  67 <h_><p_>3.2 Fiber<p/><h/>
J78  68 <p_>Since the temperature measurement algorithm employed by the 
J78  69 system is based on changes in the intensity of optical absorbance 
J78  70 peaks (i.e., since the system must work in a high-loss region of 
J78  71 the fiber transmission curve), it is important to maximize the 
J78  72 amount of light transmitted by the fiber. To this end, a large-core 
J78  73 multimode fiber is preferred over the more common single mode 
J78  74 rare<?_>-<?/>earth doped fibers. The fiber used in this system was 
J78  75 a 50<*_>mu<*/>m core/125 <*_>mu<*/>m cladding graded index silica 
J78  76 structure with a numerical aperture of 0.24, and an effective index 
J78  77 difference <*_>DELTA<*/>n=0.02. The fiber was designed to give 
J78  78 optimum performance for spatially averaged temperature measurements 
J78  79 over a 12 meter path. Based on a conservative system operating 
J78  80 margin of 20 dB total loss, and on the known loss behavior of 
J78  81 Nd<sp_>3+<sp/> doped fibers, this means that a Nd<sp_>3+<sp/> 
J78  82 concentration of approximately 50 ppm was necessary to achieve the 
J78  83 desired performance. This concentration was obtained in a specially 
J78  84 prepared MCVD preform by using a carefully controlled 
J78  85 heated-ampoule system to deliver Nd<sp_>3+<sp/> during deposition 
J78  86 of the core region of the preform, and resulted in losses of 1.19 
J78  87 dB/meter at 828 nm and 1.55 dB/meter at 856 nm. The host glass in 
J78  88 the core was silica, containing 17% (wt) Al<sb_>2<sb/>O<sb_>3<sb/> 
J78  89 to raise the index of refraction. After collapse, the preform was 
J78  90 etched in hot hydrofluoric acid until the desired aspect ratio was 
J78  91 achieved. For use in the temperature monitoring system, the fiber 
J78  92 was drawn with a standard coating, and a 12 meter length was 
J78  93 terminated with ST style connectors.<p/>
J78  94 <h_><p_>3.3 Electronic module<p/><h/>
J78  95 <p_>The only modification required in the pre-existing (UV monitor) 
J78  96 electronics package was the replacement of the high-voltage lamp 
J78  97 power supply with a low-voltage, high current supply. Power 
J78  98 supplies to drive the stepper motor controller and DC-to-DC 
J78  99 converter (PMT power supply) in the optics module, together with 
J78 100 hardwired safety interlocks to prevent operation of the system of 
J78 101 the failure of cooling gas or opening of the lid of the optics 
J78 102 module or of the electronics module, were all left as originally 
J78 103 designed. The remote display unit of the UV monitor system was used 
J78 104 in the temperature monitoring system to display the calculated 
J78 105 average temperature. The main component of the electronics module 
J78 106 is a Pro-Log System 2 Model 10 single-board CPU, complete with 
J78 107 MS-DOS operating system that was re-programmed for the temperature 
J78 108 monitoring application.<p/>
J78 109 <h_><p_>3.4 Software<p/><h/>
J78 110 <p_>The software used in the distributed average temperature 
J78 111 monitoring system is directly descended from software developed for 
J78 112 the UV absorbance monitor. At any given time the program can be in 
J78 113 any of the fiber different modes: RUN, STANDBY, IDLE, AUTOZERO, or 
J78 114 TEST. Switching between modes is controlled by operator interaction 
J78 115 or by software detection of certain error conditions. The software 
J78 116 for each mode is responsible for determining any condition which 
J78 117 should cause that mode to exist. Upon exit from any mode, control 
J78 118 is returned to a dispatch routine, which determines what mode to 
J78 119 activate next. Figure 4 shows a diagram of the overall software 
J78 120 architecture used in the distributed temperature monitor.<p/>
J78 121 <p_><O_>figure&caption<O/><p/>
J78 122 <p_>On startup the main program enters an initialization routine 
J78 123 which initializes the display, the analog board, and the shutters, 
J78 124 turns on the lamp and high voltage to the photomultiplier tube, and 
J78 125 waits a specified time for the system to warm up. It also reads 
J78 126 some values from a parameter file that can be adjusted under 
J78 127 program control.<p/>
J78 128 <p_>When the initialization is done, the dispatch routine is 
J78 129 entered. This routine reads the digital status lines and the 
J78 130 operator switches and decides which mode to activate. When the 
J78 131 selected mode is terminated the dispatch routine starts again and 
J78 132 selects a new mode based on the same input or on newly generator 
J78 133 error codes.<p/>
J78 134 <p_>During normal operation the system uses RUN more to 
J78 135 continuously make measurements, calculate the temperature, and 
J78 136 output the results. STANDBY mode leaves the monitor in an inactive, 
J78 137 but ready state. IDLE mode is similar to STANDBY mode, except the 
J78 138 high voltage and the lamp are turned off. AUTOZERO mode is used to 
J78 139 automatically compute the calibration constant C for the 
J78 140 temperature calculation. This is done each time the system turned 
J78 141 on, after the normal warm-up period. Recalculation of C will also 
J78 142 be necessary when switching the monitor to a new fiber since the 
J78 143 coupling efficiencies for the fibers to the optics will be changed. 
J78 144 The 'AUTOZERO' calculation is done while holding the fiber at a 
J78 145 known temperature. TEST mode is an interactive diagnostic routine 
J78 146 which allows the operator to exercise all subsystems of the 
J78 147 monitor. The user communicates with TEST mode via a portable 
J78 148 terminal to move the shutters, read the photomultiplier, do an 
J78 149 A/D-D/A check, calculate the temperature, do an auto zero 
J78 150 calculation, change the calibration temperature used in the 
J78 151 AUTOZERO routine, or perform other operations.<p/>
J78 152 <p_>Embedded in the code for all five modes are routines which 
J78 153 continuously check the monitor for various error conditions. Each 
J78 154 error is assigned a unique error code which is displayed as a hex 
J78 155 digit on the lower display. If unexpectedly high or low PMT 
J78 156 readings are encountered, if the detector shutter is out of 
J78 157 position, or if the calculated temperature is out of the expected 
J78 158 range, only the error code is displayed. If the air flow to the 
J78 159 optics module is interrupted, or if the lamp and PMT supply 
J78 160 voltages are turned off, the system displays error codes and enters 
J78 161 IDLE mode. If the cover of the module is opened, the system goes 
J78 162 into STANDBY mode.<p/>
J78 163 <h_><p_>3.4.1 Data acquisition<p/><h/>
J78 164 <p_>In order to do a temperature calculation, six photocurrents 
J78 165 must be measured: the fiber current for both wavelengths, the 
J78 166 bypass current for both wavelengths, and the dark current for both 
J78 167 the fiber and the bypass. The data acquisition routines must 
J78 168 position the shutters to select the appropriate light path and read 
J78 169 the output of the photomultiplier tube. A layered software 
J78 170 structure has been designed to accomplish these tasks. The lowest 
J78 171 layer is the hardware specific routine which reads the analog to 
J78 172 digital converter. The highest level routine is the routine which 
J78 173 coordinates the measurement of all six different photocurrents.<p/>
J78 174 <p_>This highest level routine oversees the collection of all the 
J78 175 data for both the temperature determination and the autozero 
J78 176 function. Each call to this routine results in all six 
J78 177 photocurrents being measured once and the proper value for each 
J78 178 being assigned to its associated global variable, where it can be 
J78 179 accessed by the calculational routines. To do this, the routine 
J78 180 first initializes the integrating amplifier timer, then calls the 
J78 181 shutter positioning routine in the proper sequence for each of the 
J78 182 six photocurrents, waits for the shutters to come to rest, checks 
J78 183 for shutter positioning errors, and finally calls the next lower 
J78 184 acquisition routine, to get a value for the photocurrent.<p/>
J78 185 <p_>The second highest level data acquisition routine handles the 
J78 186 processing functions that are necessary to improve signal quality. 
J78 187 Five measurements are made for each photocurrent, sorted by the 
J78 188 routine, and the median three are summed for the final result, 
J78 189 which is then returned to the highest level routine.<p/>
J78 190 <p_>Each of these five measurements are made by a call to the next 
J78 191 lower level routine, which uses a TTL I/O board to put an 
J78 192 integrating amplifier through one complete charging cycle. The 
J78 193 integrating amplifier works by using the output voltage of the 
J78 194 photomultiplier base to charge a capacitor for an accurately known 
J78 195 time interval, through a fixed resistor and an operational 
J78 196 amplifier. The voltage developed across the capacitor is further 
J78 197 amplified by a second amplifier stage and presented to the analog 
J78 198 to digital converter, where it is read by the lowest level data 
J78 199 acquisition routine. To cycle the integrating amplifier and make a 
J78 200 measurement, the computer first issues a TTL signal to the JFET 
J78 201 switch on the optics module circuit board which, in turn, connects 
J78 202 a small resistor across the charging capacitor, causing it to 
J78 203 discharge. This switch is then opened and an accurately timed 
J78 204 signal is applied to another JFET switch which allows the capacitor 
J78 205 to begin charging. At the end of the time interval, this second 
J78 206 JFET switch is opened and the voltage is read by the lowest-level 
J78 207 routine.<p/>
J78 208 
J79   1 <#FROWN:J79\><h_><p_>Seven<p/>
J79   2 <p_>Nuclear Safety<p/><h/>
J79   3 <p_>Scientific, industrial, and political leaders involved with the 
J79   4 peaceful development of nuclear energy understood from the very 
J79   5 beginning that safety was essential to the success of the new 
J79   6 technology. While sound radiation protection standards were not 
J79   7 fully developed at the outset, the importance of isolating workers, 
J79   8 the public, and the environment from radioactive materials was 
J79   9 recognized. Further, it was clear that the peaceful benefits of 
J79  10 nuclear power should be shared among nations, and that technical 
J79  11 assistance with the development of civilian nuclear power programs 
J79  12 might be used as an incentive to accept international safeguards, 
J79  13 thus discouraging the spread of nuclear weapons. It was also known 
J79  14 that nuclear energy would have to be economically competitive for 
J79  15 any large-scale deployment to occur. However, the early developers 
J79  16 of nuclear energy were aware that they could not predict all the 
J79  17 problems the budding technology eventually would face.<p/>
J79  18 <p_>One of those problems has turned out to be public concern over 
J79  19 nuclear energy - a technology that scientists see as safe, 
J79  20 nonpolluting, and capable of enriching the lives of people in many 
J79  21 areas of the world.<p/>
J79  22 <p_>President Eisenhower's 'Atoms for Peace' speech on December 8, 
J79  23 1953, opened the door to domestic and international development of 
J79  24 nuclear energy. By that time, a large amount of data was already 
J79  25 available from programs on nuclear safety sponsored by the handful 
J79  26 of nations with active development programs. The United Nations 
J79  27 sponsored its first conference on the <quote_>"Peaceful Uses of 
J79  28 Atomic Energy"<quote/> in Geneva in 1955. No less than 200 (out of 
J79  29 a total of 1132) papers on nuclear safety and protection of the 
J79  30 environment, and a comparable number of papers on medical uses of 
J79  31 radiation, were presented at the conference.<p/>
J79  32 <p_><O_>graph&caption<O/><p/>
J79  33 <h|>Radiation
J79  34 <p_>Any concern over nuclear safety is based on the potential for 
J79  35 release of radiation or radioactive materials. The design and 
J79  36 operation of nuclear power plants is intended to prevent harmful 
J79  37 releases under all circumstances, from normal operation to highly 
J79  38 improbable accidents. Nevertheless, radiation is an inevitable 
J79  39 by-product of nuclear power as well as a natural component of our 
J79  40 environment. The fraction of our annual radiation exposure that 
J79  41 comes from the generation of electricity by nuclear power is 
J79  42 approximately 0.1%, which is insignificant relative to even the 
J79  43 variations in the background of natural radiation.<p/>
J79  44 <p_>Radiation and its effects on man continue to be the subjects of 
J79  45 study by researchers and review by prestigious scientific panels. 
J79  46 The annual average exposure from natural radiation for a typical 
J79  47 American was estimated to be about 100 millirem per year until 
J79  48 1987, when it was revised upward to 360 millirem because of a new 
J79  49 appreciation for the contribution from naturally occurring radon 
J79  50 gas. Of the 360 millirem, 18% comes from man-made radiation, 
J79  51 primarily from voluntary exposure associated with medical 
J79  52 procedures. Consumer products such as smoke detectors and luminous 
J79  53 watch dials contribute about 3% of the exposure. Fallout from 
J79  54 atmospheric testing of nuclear weapons accounts for less than 0.3%. 
J79  55 The natural radioactivity in our own bodies contributes 
J79  56 approximately the same amount that we receive from medical x rays. 
J79  57 Cosmic radiation, streaming in from outer space, averages 8% of the 
J79  58 total.<p/>
J79  59 <p_>Individual radiation doses are unevenly distributed, depending 
J79  60 on where we live, types of houses and work buildings, types of 
J79  61 medical treatment, frequency of high-altitude flights, and other 
J79  62 factors. The 0.1% of the average exposure due to the nuclear fuel 
J79  63 cycle is received almost entirely by workers in the industry; the 
J79  64 rest of the population gets effectively nothing from the generation 
J79  65 of nuclear power.<p/>
J79  66 <p_>Most data on the adverse health effects of radiation have come 
J79  67 from studies of the survivors of the atomic bombs dropped on 
J79  68 Hiroshima and Nagasaki. Individuals receiving short-term exposure 
J79  69 to radiation on the order of 100 rem (100,000 millirem) are subject 
J79  70 to acute illness. Acute exposures of 500 rem are sufficient to kill 
J79  71 a substantial fraction of individuals within weeks. But there is 
J79  72 controversy in how to extrapolate back by a factor of 1000 or more 
J79  73 to the very low dose rates associated with normal living, medical 
J79  74 treatment, and occupational exposure. One theory is that the effect 
J79  75 is linear, allowing a simple extrapolation to be done. A second 
J79  76 theory is that there is a threshold below which there is 
J79  77 effectively no damage, or the damage is such that it can be 
J79  78 repaired by the body. A small minority holds the view that low 
J79  79 radiation doses actually cause proportionately more damage. 
J79  80 Regardless of which theory is correct, the radiation emitted from 
J79  81 operation of a nuclear plant is far too insignificant to have any 
J79  82 impact on public safety.<p/>
J79  83 <p_>It might be expected that because there is such a large 
J79  84 variation in state-to-state natural radiation exposure, the 
J79  85 importance of low radiation doses could be inferred from 
J79  86 state-to-state variations in the cancer rate. But the states with 
J79  87 the highest radiation exposures happen to have the lowest cancer 
J79  88 rates. The risk of cancer from normal radiation exposure is simply 
J79  89 insignificant compared to such other causes as smoking, industrial 
J79  90 pollution, and life-style.<p/>
J79  91 <h_><p_>Reactor Safety<p/><h/>
J79  92 <p_>In the United States, the government sponsored aggressive 
J79  93 reactor safety experiments prior to the start of commercialization 
J79  94 activities. Approximately 900 square miles of isolated desert land 
J79  95 in Idaho were selected to be the site for the National Reactor 
J79  96 Testing Station. One reason for selection of this remote location 
J79  97 was so that any accidental release of radioactive materials from 
J79  98 tests to study reactor accidents would not affect the public. 
J79  99 Safety testing continued well after the commercial nuclear power 
J79 100 era began, often with international partners. Other Western nations 
J79 101 recognized the imperative of safe operation of nuclear power plants 
J79 102 and conducted independent reactor safety experiments. The safety 
J79 103 philosophy that evolved in the former Soviet Union and Eastern 
J79 104 European nations was apparently less conservative, but there is a 
J79 105 current initiative to 'upgrade' some Soviet-built reactors to 
J79 106 Western operating and design standards. Nevertheless, some 
J79 107 Soviet-built PWRs such as those in Finland and Hungary have 
J79 108 excellent records for operating efficiency.<p/>
J79 109 <p_>The early development period in the United States was 
J79 110 characterized by a broad-based AEC program that included uranium 
J79 111 exploration, enrichment, power reactors, space propulsion, waste 
J79 112 management, biology, medicine, and peaceful applications of nuclear 
J79 113 explosions. The parallel naval reactors program focused on 
J79 114 production of nuclear propulsion systems. Development of safety 
J79 115 technology was a key focus of the U.S. Atomic Energy Commission's 
J79 116 (AEC's) civilian and naval reactor programs. Radiation-effects 
J79 117 biology programs were carried out; fundamental and applied nuclear 
J79 118 data were generated; a number of special safety-experiment reactors 
J79 119 were built and operated; and several series of major reactor safety 
J79 120 experiments were carried out. Fundamental radiation standards for 
J79 121 all radiation application were developed.<p/>
J79 122 <p_>From the very beginning, reactor designers understood that a 
J79 123 nuclear power plant could not explode like a nuclear bomb - the 
J79 124 hazard was from the 'ashes' of the chain reaction, i.e., the 
J79 125 fission products. Reactor safety was based on containment of any 
J79 126 credible release of radioactive material. The concept of 'defense 
J79 127 in depth' became standard practice to meet the general nuclear 
J79 128 safety objective, which is to protect individuals, society, and the 
J79 129 environment by establishing and maintaining in nuclear power plants 
J79 130 an effective defense against radiological hazard. First and 
J79 131 foremost, defense in depth emphasizes the importance of preventing 
J79 132 accidents. However, in the event of an accident, defense in depth 
J79 133 emphasizes mitigation of damage and doing everything possible to 
J79 134 minimize injuries to workers and the public. This philosophy has 
J79 135 continued to evolve over the years into internationally accepted 
J79 136 basic safety principles.<p/>
J79 137 <p_><O_>figure&caption<O/><p/>
J79 138 <p_>In 1957 the first bounding estimates of the consequences of a 
J79 139 large nuclear accident, based on an arbitrarily large release of 
J79 140 fission products, were published by the AEC in a landmark report 
J79 141 called WASH-740. It was not until 1975, when WASH-1400 (better 
J79 142 known as the <tf_>Reactor Safety Study<tf/>, or Rasmussen report, 
J79 143 after MIT Professor Norman Rasmussen who headed the study) was 
J79 144 issued, that a truly quantitative estimate was available for the 
J79 145 probability of a major reactor accident in a U.S. nuclear plant. 
J79 146 Over the years, the Reactor Saftey Study has been challenged by a 
J79 147 number of critics, and new safety issues requiring investigation 
J79 148 have arisen, but nothing has happened to change the basic 
J79 149 conclusions of the report.<p/>
J79 150 <p_>In any type of risk analysis, consequences become more severe 
J79 151 as more and more improbable circumstances and events are 
J79 152 postulated. For most reactor accidents, WASH-1400 showed that the 
J79 153 most probable result would be property damage to the plant, but no 
J79 154 deaths or acute illnesses due to radiation exposure of workers or 
J79 155 the public.<p/>
J79 156 <p_>The worst type of reactor accident is the so-called reactor 
J79 157 'meltdown,' which might be expected to happen once in 20,000 years 
J79 158 of reactor operation. The study showed that there would be no 
J79 159 detectable deaths in 98 out of 100 reactor meltdowns, over 100 
J79 160 detectable deaths in only 1 out of 500 meltdowns, and 3500 
J79 161 detectable fatalities in only 1 out of 100,000 meltdowns. In 
J79 162 addition to deaths immediately attributable to the accident, the 
J79 163 cloud of radioactive material released in some cases would expose a 
J79 164 large population to small doses of radiation. Using the 
J79 165 conservative linear extrapolation model for radiological effects, 
J79 166 some small fraction of the population would be expected to develop 
J79 167 cancer. The average impact would be 400 fatalities over several 
J79 168 decades. For the worst meltdown accident considered, there would be 
J79 169 an estimate 45,000 additional cancer deaths in an affected 
J79 170 population of ten million people. This corresponds to an increase 
J79 171 in the probability of an individual's dying from cancer by about 
J79 172 0.5%, which is significantly less than the state-to-state variation 
J79 173 in the normal cancer mortality rate. If there were a reactor 
J79 174 meltdown every five days, the effect would be comparable to the 
J79 175 estimated 30,000 deaths in the U.S. each year as a result of 
J79 176 pollution from burning coal<p/>
J79 177 <p_>Antinuclear activists often talk only of the most severe 
J79 178 postulated accident, the 1 case in 100,000 meltdown accidents, 
J79 179 leaving the impression that all major reactor accidents would 
J79 180 result in disaster. Clearly, with fewer than 500 nuclear power 
J79 181 plants operating worldwide, there are not going to be 100,000 
J79 182 reactor meltdown accidents, or even 100. The equivalent cannot be 
J79 183 said of other energy technologies. There have been incidents such 
J79 184 as dam failures and excessive pollution that have caused a large 
J79 185 number of fatalities. Perhaps the best known incident happened in 
J79 186 1952, when pollution from coal burning under unusual atmospheric 
J79 187 conditions in London caused 3500 fatalities within a few days.<p/>
J79 188 <p_>People are subject to all types of risks, which can best be 
J79 189 understood in relative terms. For example, a person would have a 
J79 190 20,000 times greater chance of being killed by lightning than by 
J79 191 the largest reactor accident described above. If all electricity in 
J79 192 the U.S. were generated by nuclear power, it would represent the 
J79 193 same risk as a regular smoker indulging in an extra cigarette once 
J79 194 every 15 years, as an overweight person putting on an extra 0.012 
J79 195 ounce, or increasing the highway speed limit from 55 to 55.006 
J79 196 miles per hour. For any reactor accident, the probability of 
J79 197 occurence is much less than other man<?_>-<?/>made or natural 
J79 198 accidents with similar consequences. The relative risk of nuclear 
J79 199 power, to either workers or the public, is simply quite small.<p/>
J79 200 <p_>The type of analysis that went into WASH-1400 has continued to 
J79 201 be refined. The U.S, Nuclear Regulatory Commission (NRC) now 
J79 202 encourages all nuclear utilities to conduct probabilistic risk 
J79 203 assessments (PRAs) that are plant<?_>-<?/>specific. The largest 
J79 204 benefit from these expensive and lengthy studies has been the 
J79 205 ability to identify the systems or operations that pose the most 
J79 206 risk for bringing about an accident. Money for modifications and 
J79 207 maintenance can then be effectively directed, resulting in real 
J79 208 safety improvements. As a result, today's plants, even older ones, 
J79 209 pose less risk than the plant used in the Reactor Safety Study.<p/>
J79 210 <h_><p_>Reactor Accidents<p/><h/>
J79 211 <p_>There have been two major accidents in nuclear electrical 
J79 212 generating stations plus a major accident at a large 
J79 213 plutonium-production reactor. There have also been a number of 
J79 214 lesser accidents with no off-site consequences, a substantial 
J79 215 number of accident 'precursors' - events that could lead to an 
J79 216 accident if corrective action were not taken, and a few serious 
J79 217 accidents at government-owned nuclear facilities.
J79 218 
J80   1 <#FROWN:J80\>Floodlighting had its merits for early warning, but 
J80   2 the rotating beam had two enormous advantages: there is a greater 
J80   3 concentration of energy, and plan position indicators (PPIs) could 
J80   4 be employed. The advantage of PPI display had been appreciated in 
J80   5 both Germany and Britain since 1935; but it was only practical at 
J80   6 much higher frequencies with a rotating beam system. The time-base 
J80   7 of the PPI radiates from the centre of the screen in 
J80   8 synchronization with the beam. The target appears as a spot of 
J80   9 light in the direction of the echo at a distance from the centre 
J80  10 that represents the range of the echo, as in Fig. 11.5. When the 
J80  11 immediate priority of an early-warning system was satisfied, 
J80  12 efforts in ground radar turned to CHL (chain home low), GCI, and 
J80  13 gunlaying systems.<p/>
J80  14 <p_>Narrow beams required antenna arrays large in relation to 
J80  15 wavelength. At the CH frequencies (and also those used by the 
J80  16 German system <tf|>Freya), vertical antenna arrays, 70 m and more 
J80  17 in height, were required to obtain the necessary discrimination - 
J80  18 in particular to avoid the swamping of the picture by ground 
J80  19 returns. Something quite different was required for ship borne 
J80  20 radar, to say nothing of aircraft equipment. An October 1935 
J80  21 statement of the operational requirement for naval radar specified 
J80  22 <tf|>microwave equipment, not only to reduce the size of the ship's 
J80  23 antenna, but to avoid the ship's radar becoming a homing beacon for 
J80  24 enemy bombers. The technology to home on to microwave transmissions 
J80  25 came only a few years later.<p/>
J80  26 <p_><O_>figure&caption<O/><p/>
J80  27 <p_>There was nothing new about VHF: the original Hertz oscillator 
J80  28 probably transmitted on a wavelength of about 4 metres, had he the 
J80  29 means to measure it. In the 1920s it had been thought that ordinary 
J80  30 thermionic valves could not operate on centimetric wavelengths, 
J80  31 because the transit time of the electrons from cathode to anode was 
J80  32 too long. The real, unrecognized, problem was the stability of the 
J80  33 transit time. Several exotic microwave transmitting devices 
J80  34 appeared, some of them producing a fraction of a watt. In 1936 the 
J80  35 16 cm obstacle detector on the <tf|>Normandie produced 10 
J80  36 <tf|>watts. As many <tf|>kilowatts were sought. One important 
J80  37 development was the <tf|>magnetron, a term used since 1921 to 
J80  38 describe a vacuum electron tube (usually a cylindrical diode) in 
J80  39 which plate current is controlled by magnetic fields. In the early 
J80  40 1930s Philips of Holland produced a magnetron which gave 80 watts 
J80  41 on 13 cm continuous wave. A Philips magnetron was delivered to the 
J80  42 German navy in 1933.<p/>
J80  43 <p_>The difficulties due to the inability to produce power on 
J80  44 centimetric wavelengths, and therefore to discriminate with small 
J80  45 antenna arrays, are clearly seen in early British aircraft 
J80  46 interception (AI) radar operating on 1.5 metres. The transmitting 
J80  47 array was in the nose, two quarter-wavelength antennas on a wing 
J80  48 acted as elevation antennas, and a half-wavelength dipole with 
J80  49 director on each wing provided the azimuth array. The polar diagram 
J80  50 is illustrated in Fig. 11.6, the display in Fig. 11.7. The signal 
J80  51 received from the elevation antennas (after amplification) is fed 
J80  52 to either side of the vertical display; and, similarly, the signals 
J80  53 from the azimuth arrays to either side of the horizontal display. 
J80  54 Thus the orientation of the target is indicated by the imbalance of 
J80  55 the blip, about 20<*_>degree<*/> below and 30-40<*_>degree<*/> to 
J80  56 the left in the illustration. There was no range scale, nor any 
J80  57 need for one, because the ground return swamped the screen at all 
J80  58 ranges greater than the aircraft height, which it sharply 
J80  59 defined.<p/>
J80  60 <p_>AI MK IV described above (and installed in RAF Beaufighters in 
J80  61 1940) is interesting also because it created a human requirement in 
J80  62 terms of spatial visualization and quick thinking 
J80  63 <}_><-|>unparalled<+|>unparalleled<}/> in the history of 
J80  64 navigation. As the armament was fixed forward, the object of the 
J80  65 navigation was to get on the target's tail. If the target's range 
J80  66 is allowed to exceed aircraft height, it is lost. The target's 
J80  67 course can be inferred indirectly from the motion of the 'blip' 
J80  68 down the time-base and the change in its shape. Assume that the 
J80  69 Beaufighter is heading south. If the target is heading east, a 
J80  70 sharp turn to the left is required at mximum power before the 
J80  71 target gets lost in the ground return. If the target is heading 
J80  72 west, the only hope is to throttle right back, drop the 
J80  73 undercarriage to increase drag, and turn right, losing the blip 
J80  74 temporarily, and hoping to come out of the turn behind the target 
J80  75 and not in front of it. There are only a few seconds to decide, 
J80  76 and, when the correct decision is taken, the enemy unkindly changes 
J80  77 course! Only a few had the knack of it.<p/>
J80  78 <p_><O_>figure&caption<O/><p/>
J80  79 <p_>The desperate need for powerful microwave transmitters was met 
J80  80 by the invention of the multi-cavity magnetron at Birmingham 
J80  81 University by Henry A. Boot and John T. Randall at the beginning of 
J80  82 1940. The university had been given a contract by the Admiralty to 
J80  83 research microwave transmission, and work had concentrated on 
J80  84 developing a high-power version of the klystron invented at 
J80  85 Stanford University, California. Randall and Boot were assigned the 
J80  86 less promising task of trying to do something with the magnetron. 
J80  87 Apparently they shared the research philosophy of Watson Watt and 
J80  88 Wilkins, for in 1976 they were to write: <quote_>"Fortunately we 
J80  89 did not have the time to survey all the published papers on 
J80  90 magnetrons or we would have been completely confused by the 
J80  91 multiplicity of theories of operation."<quote/><p/>
J80  92 <p_>The story is related that Randall went back to the original 
J80  93 experiments of Hertz and, in his mind, extended the Hertz resonant 
J80  94 ring into a cylinder with a slit in it, as in Fig. 11.8. He then 
J80  95 saw how this could be developed into the six-cavity figure 
J80  96 illustrated. Early in 1940 the laboratory model produced over 1 kw 
J80  97 pulse power at a wavelength of about 10 cm. The first production 
J80  98 model generated 10 kw, which was soon increased to 100 kw. At the 
J80  99 end of the war there was megawatt power at that wavelength, and 
J80 100 wavelengths down to 3 cm could be transmitted at less power.<p/>
J80 101 <p_><O_>figure&caption<O/><p/>
J80 102 <p_>That was the beginning of microwave radar as we now know it. 
J80 103 The Royal Navy seized on the magnetron (and on related work on the 
J80 104 klystron to provide a local oscillator for centimetric receivers) 
J80 105 to produce the first fully operational centimetric radar in the 
J80 106 world. From its formation early in 1941, the Admiralty Signals 
J80 107 Establishment made major contributions to coastal and naval radar. 
J80 108 Perhaps the improvement in AI is as dramatic an illustration as any 
J80 109 of the potency of the multi-cavity magnetron. Ground returns could 
J80 110 be put where they belonged, and any of the three displays shown in 
J80 111 Fig. 11.9 were at the AI designer's disposal. In Fig. 11.9(a) the 
J80 112 display shows the target as the eye sees it, in correct azimuth and 
J80 113 elevation, but with no indication of range, since a 2D display 
J80 114 cannot show three independent variables. This can be supported by a 
J80 115 second display in which range is shown against either azimuth or 
J80 116 elevation, as illustrated in Figs. 11.9(b) and 11.9(c).<p/>
J80 117 <p_><O_>figure&caption<O/><p/>
J80 118 <p_>A scarcely less dramatic outcome of the magnetron was 
J80 119 terrain-mapping radar, in the form of H<sb_>2<sb/>S and later 
J80 120 derivatives. In the early years of the war metric naval radar and 
J80 121 ASV (aircraft to surface vessel radar) displayed coastlines, but no 
J80 122 metric radar could effectively distinguish the features of terrain. 
J80 123 Ten-centimetre H<sb_>2<sb/>S enabled the bomber to identify cities 
J80 124 and some topographical features of enemy territory by night or 
J80 125 through cloud. Later 3 cm equipment gave even greater detail. 
J80 126 Accurate altitude above terrain for precision bombing was also 
J80 127 provided.<p/>
J80 128 <p_>Shortly after the achievement of Boot and Randall all 
J80 129 resistance to Hitler on the continent of Europe ceased. In the 
J80 130 opinion of many, not least the US ambassador to Britain, the defeat 
J80 131 of Britain by Germany was imminent. Certainly Britain lacked the 
J80 132 production resources its situation needed. The USA was not to 
J80 133 become (by courtesy of Japan) an ally for another year and a half. 
J80 134 Churchill chose this moment to do a curious thing. On 8 July 1940 
J80 135 President Roosevelt received a letter from the British ambassador 
J80 136 to Washington offering to disclose all Britain's technical secrets 
J80 137 to the American government without reciprocal undertakings from the 
J80 138 US; but there was an implied quid pro quo. The letter concluded: 
J80 139 <quote_>"We for our part are probably more anxious to be permitted 
J80 140 to employ the full resources of the radio industry in your country 
J80 141 with a view to obtaining the greater power possible for the 
J80 142 emission of ultra short waves than anything else."<quote/><p/>
J80 143 <p_>The timing was perfect. Eleven days earlier Roosevelt had 
J80 144 created the National Defence Research Council (NDRC), and one of 
J80 145 its first acts was to establish a microwave committee. A British 
J80 146 mission led by Tizard (Sir Henry at that date) departed on 30 
J80 147 August for Washington bearing, <tf_>inter alia<tf/>, the 
J80 148 multi-cavity magnetron, described in 1946 by one enthusiastic 
J80 149 American scientist as <quote_>"the most valuable cargo ever brought 
J80 150 to our shores"<quote/>.<p/>
J80 151 <p_>The word 'magnificent' appears infrequently in this book; but 
J80 152 the American response <tf|>was magnificent. In October the 
J80 153 Radiation Laboratory was founded at the Massachusetts Institute of 
J80 154 Technology (MIT), and eminent American scientists flocked to it. 
J80 155 The Laboratory's given priorities, agreed between the Tizard 
J80 156 mission and the NDRC, were in order:<p/>
J80 157 <p_>1. microwave AI;<p/>
J80 158 <p_>2. precision gunlaying radar; and<p/>
J80 159 <p_>3. a fixing system requiring no response from the ship or 
J80 160 aircraft (see Chapter 12).<p/>
J80 161 <p_>In the same month the first contracts were being settled with 
J80 162 Bell Laboratories, General Electric, Sperry, Bendix, RCA, and 
J80 163 Westinghouse.<p/>
J80 164 <p_>In December 1940, for the first time ever, radar was fitted to 
J80 165 an American aircraft. It was a 1.5 m pre-magnetron British ASV Mk 
J80 166 II (see below), fitted to a US Navy PBY. Only three months later an 
J80 167 American-designed and built 10 cm radar employing magnetron 
J80 168 technology was flying in a US B18. At that precise date (10 March 
J80 169 1941) the staff of the Radiation Laboratory had already reached 
J80 170 140. In effect, American aircraft overflew pre-magnetron radar. 
J80 171 When the US finally became a belligerent in December 1941, its 
J80 172 leadership in the field was assured.<p/>
J80 173 <p_>No small group of people ever win a major war; but sometimes 
J80 174 quite small groups can prevent it being lost. It might be said that 
J80 175 the group associated with ASV (aircraft to surface vessel) were in 
J80 176 that category. ASV worked on similar principles to AI Mk IV except 
J80 177 that only a horizontal display was required and the sea return, 
J80 178 unlike the ground return, did not swamp the picture. The equipment 
J80 179 did not require the special aptitude and skill required by Mk IV 
J80 180 AI, but did require intense concentration. The early 
J80 181 unsuccessfulness of the Mk I ASV in anti-U-boat operations has been 
J80 182 variously attributed to the equipment itself, poor training or 
J80 183 unsuitability of aircrew, and defects of aircraft and weaponry. In 
J80 184 the quarter ending with February 1941 96 Allied ships were sunk by 
J80 185 U-boats without loss. If that rate had continued, Britain would 
J80 186 have quickly lost the war by attrition.<p/>
J80 187 <p_><O_>figure&caption<O/><p/>
J80 188 <p_>Figure 11.10 (based on Figure 6.1 of Bowen 1987) shows the 
J80 189 effect of the introduction of ASV Mk II, which had the same 7 kW 
J80 190 pulse output as ASV Mk I, but was better engineered and had a 
J80 191 longer pulse and a lower PRF. Presumably improvements in aircrew, 
J80 192 aircraft, and weaponry also played their part. The rise in Allied 
J80 193 shipping losses in early 1942 seen in the figure has been 
J80 194 attributed in part to the rich pickings for U-boats in American 
J80 195 waters immediately after the USA entered the war, but was also 
J80 196 partly due to the German development of ASV detectors and other 
J80 197 U-boat counter-measures. The signal received at the target is of 
J80 198 course several orders stronger than the echo signal received back 
J80 199 at the radar transmitter. The range of receivers designed to give 
J80 200 warning of radar surveillance may therefore exceed the range of the 
J80 201 radar itself. German equipment to warn submarines of ASV and night 
J80 202 bombers of AI became a technology in its own right.<p/>
J80 203 <p_>After the introduction in March 1943 of microwave ASV Mk III, 
J80 204 an H<sb_>2<sb/>S derivative, the U-boat became an ineffective 
J80 205 weapon and the coffin of its crew.
J80 206 
J80 207 

