J01 0010 #1. INTRODUCTION# IT HAS recently become practical to use the J01 0020 radio emission of the moon and planets as a new source of information J01 0030 about these bodies and their atmospheres. The results of present observations J01 0040 of the thermal radio emission of the moon are consistent with J01 0050 the very low thermal conductivity of the surface layer which was derived J01 0060 from the variation in the infrared emission during eclipses (e&g&, J01 0070 Garstung, 1958). When sufficiently accurate and complete measurements J01 0080 are available, it will be possible to set limits on the thermal J01 0090 and electrical characteristics of the surface and subsurface materials J01 0100 of the moon. Observations of the radio emission of a planet J01 0110 which has an extensive atmosphere will probe the atmosphere to a greater J01 0120 extent than those using shorter wave lengths and should in some cases J01 0130 give otherwise unobtainable information about the characteristics J01 0140 of the solid surface. Radio observations of Venus and Jupiter have J01 0150 already supplied unexpected experimental data on the physical conditions J01 0160 of these planets. The observed intensity of the radio emission of J01 0170 Venus is much higher than the expected thermal intensity, although the J01 0180 spectrum indicated by measurements at wave lengths near 3 ~cm and J01 0190 1o ~cm is like that of a black body at about 6oo` ~K. This result J01 0210 suggests a very high temperature at the solid surface of the planet, J01 0220 although there is the possibility that the observed radiation may be J01 0240 a combination of both thermal and non-thermal components and that the J01 0250 observed spectrum is that of a black body merely by coincidence. For J01 0260 the case of Jupiter, the radio emission spectrum is definitely not like J01 0270 the spectrum of a black-body radiator, and it seems very likely that J01 0280 the radiation reaching the earth is a combination of thermal radiation J01 0290 from the atmosphere and non-thermal components. Of the remaining J01 0300 planets, only Mars and Saturn have been observed as radio sources, J01 0310 and not very much information is available. Mars has been observed J01 0320 twice at about 3-~cm wave length, and the intensity of the observed J01 0330 radiation is in reasonable agreement with the thermal radiation which J01 0340 might be predicted on the basis of the known temperature of Mars. J01 0350 The low intensity of the radiation from Saturn has limited observations, J01 0360 but again the measured radiation seems to be consistent with a thermal J01 0370 origin. No attempts to measure the radio emission of the remaining J01 0380 planets have been reported, and, because of their distances, small J01 0390 diameters, or low temperatures, the thermal radiation at radio wave lengths J01 0400 reaching the earth from these sources is expected to be of very J01 0410 low intensity. In spite of this, the very large radio reflectors and J01 0420 improved amplifying techniques which are now becoming available should J01 0430 make it possible to observe the radio emission of most of the planets J01 0440 in a few years. The study of the radio emission of the moon J01 0450 and planets began with the detection of the thermal radiation of the moon J01 0460 at 1.25-~cm wave length by Dicke and Beringer (1946). This was J01 0470 followed by a comprehensive series of observations of the 1.25-~cm J01 0490 emission of the moon over three lunar cycles by Piddington and Minnett J01 0500 (1949). They deduced from their measurements that the radio emission J01 0510 from the whole disk of the moon varied during a lunation in a roughly J01 0520 sinusoidal fashion; that the amplitude of the variation was considerably J01 0530 less than the amplitude of the variation in the infrared emission J01 0540 as measured by Pettit and Nicholson (1930) and Pettit (1935); J01 0550 and that the maximum of the radio emission came about 3-1/2 days after J01 0560 Full J01 0570 Moon, which is again in contrast to the infrared emission, which reaches J01 0580 its maximum at Full Moon. Piddington and Minnett explained J01 0590 their observations by pointing out that rocklike materials which are likely J01 0600 to make up the surface of the moon would be partially transparent J01 0610 to radio waves, although opaque to infrared radiation. The infrared J01 0620 emission could then be assumed to originate at the surface of the moon, J01 0630 while the radio emission originates at some depth beneath the surface, J01 0640 where the temperature variation due to solar radiation is reduced J01 0650 in amplitude and shifted in phase. Since the absorption of radio waves J01 0660 in rocklike material varies with wave length, it should be possible J01 0670 to sample the temperature variation at different depths beneath the surface J01 0680 and possibly detect changes in the structure or composition of the J01 0690 lunar surface material. The radio emission of a planet was J01 0700 first detected in 1955, when Burke and Franklin (1955) identified the J01 0710 origin of interference-like radio noise on their records at about 15 J01 0720 meters wave length as emission from Jupiter. This sporadic type of J01 0730 planetary radiation is discussed by Burke (chap& 13) and Gallet (chap& J01 0740 14). Steady radiation which was presumably of thermal origin was J01 0750 observed from Venus at 3.15 and 9.4 ~cm, and from Mars and Jupiter J01 0760 at 3.15 ~cm in 1956 (Mayer, McCullough, and Sloanaker, 1958), and from Saturn at 3.75 ~cm in 1957 (Drake and Ewen, J01 0780 1958). In the relatively short time since these early observations, J01 0800 Venus has been observed at additional wave lengths in the range from J01 0810 0.8 to 10.2 ~cm, and Jupiter has been observed over the wave-length J01 0820 range from 3.03 to 68 ~cm. The observable characteristics of J01 0830 planetary radio radiation are the intensity, the polarization, and the J01 0840 direction of arrival of the waves. The maximum angular diameter of J01 0850 any planetary disk as observed from the earth is about 1 minute of arc. J01 0860 This is much smaller than the highest resolution of even the very J01 0870 large reflectors now under construction, and consequently the radio emission J01 0880 of different regions of the disk cannot be resolved. It should J01 0890 be possible, however, to put useful limits on the diameters of the radio J01 0900 sources by observing with large reflectors or with interferometers. J01 0910 Measurements of polarization are presently limited by apparatus sensitivity J01 0920 and will remain difficult because of the low intensity of the J01 0930 planetary radiation at the earth. There have been few measurements specifically J01 0940 for the determination of the polarization of planetary radiation. J01 0950 The measurements made with the ~NRL 50-foot reflector, J01 0960 which is altitude-azimuth-mounted, would have shown a systematic change J01 0970 with local hour angle in the measured intensities of Venus and Jupiter J01 0980 if a substantial part of the radiation had been linearly polarized. J01 0990 Recent interferometer measurements (Radhakrishnan and Roberts, J01 1000 1960) have shown the 960-~Mc emission of Jupiter to be partially J01 1010 polarized J01 1020 and to originate in a region of larger diameter than the visible J01 1030 disk. Other than this very significant result, most of the information J01 1040 now available about the radio emission of the planets is restricted J01 1050 to the intensity of the radiation. The concept of apparent J01 1060 black-body temperature is used to describe the radiation received from J01 1070 the moon and the planets. The received radiation is compared with the J01 1080 radiation from a hypothetical black body which subtends the same solid J01 1090 angle as the visible disk of the planet. The is the temperature which must be assumed for the J01 1110 black body in order that the intensity of its radiation should equal that J01 1120 of the observed radiation. The use of this concept does not specify J01 1130 the origin of the radiation, and only if the planet really radiates J01 1140 as a black body, will the apparent black-body temperature correspond J01 1150 to the physical temperature of the emitting material. The radio J01 1160 radiation of the sun which is reflected from the moon and planets should J01 1170 be negligible compared with their thermal emission at centimeter J01 1180 wave lengths, except possibly at times of exceptional outbursts of solar J01 1190 radio noise. The quiescent level of centimeter wave-length solar radiation J01 1200 would increase the average disk brightness temperature by less J01 1210 than 1` ~K. At meter wave lengths and increase of the order of J01 1220 10` ~K in the average disk temperatures of the nearer planets would J01 1240 be expected. Therefore, neglecting the extreme outbursts, reflected J01 1250 solar radiation is not expected to cause sizable errors in the measurements J01 1260 of planetary radiation in the centimeter- and decimeter-wave-length J01 1270 range. #2. THE MOON# _2.1 OBSERVATIONS_ Radio observations J01 1280 of the moon have been made over the range of wave lengths from 4.3 ~mm J01 1290 to 75 ~cm, and the results are summarized in Table 1. Observations J01 1300 have also been made at 1.5 ~mm using optical techniques (Sinton, J01 1310 1955, 1956,; see also chap& 11). Not all the observers have used J01 1320 the same procedures or made the same assumptions about the lunar brightness J01 1330 distribution when reducing the data, and this, together with J01 1340 differences in the methods of calibrating the antennae and receivers, J01 1350 must account for much of the disagreement in the measured radio brightness J01 1360 temperatures. In the observations at 4.3 ~mm (Coates, J01 1370 1959), the diameter of the antenna beam, 6'.7, was small enough J01 1380 to allow resolution of some of the larger features of the lunar surface, J01 1390 and contour diagrams have been made of the lunar brightness distribution J01 1400 at three lunar phases. These observations indicate that the lunar J01 1410 maria heat up more rapidly and also cool off more rapidly than do J01 1420 the mountainous regions. Mare Imbrium seems to be an exception and J01 1430 remains cooler than the regions which surround it. These contour diagrams J01 1440 also suggest a rather rapid falloff in the radio brightness with J01 1450 latitude. Very recently, observations have been made at 8-~mm J01 1460 wave length with a reflector 22 meters in diameter with a resultant J01 1470 beam width of only about 2' (Amenitskii, Noskova, and Salomonovich, J01 1480 1960). The constant-temperature contours are much smoother than those J01 1490 observed at 4.3 ~mm by Coates (1959), and apparently the emission J01 1500 at 8 ~mm is not nearly so sensitive to differences in surface J01 1510 features. Such high-resolution observations as these are needed at several J01 1520 wave lengths in order that the radio emission of the moon can J01 1530 be properly J01 1540 interpreted. The observations of Mayer, McCullough, J01 1550 and Sloanaker at 3.15 ~cm and of Sloanaker at 10.3 ~cm have not J01 1551 previously J01 1560 been published and will be briefly described. Measurements J01 1570 at 3.15 ~cm were obtained on 11 days spread over the interval May 3 J01 1580 to June 19, 1956, using the 50-foot reflector at the U& S& Naval J01 1590 Research Laboratory in Washington. The half-intensity diameter J01 1600 of the antenna beam was about 9', and the angle subtended by the moon J01 1610 included the entire main beam and part of the first side lobes. The J01 1620 antenna patterns and the power gain at the peak of the beam were both J01 1630 measured (Mayer, McCullough, and Sloanaker, 1958), so that J01 1640 the J01 1650 absolute power sensitivity of the antenna beam over the solid angle J01 1660 of the moon was known. The ratio of the measured antenna temperature J01 1670 change during a drift scan across the moon to the average brightness temperature J01 1680 of the moon over the antenna beam (assuming that the brightness J01 1690 temperature of the sky is negligible) was found, by graphical integration J01 1710 of the antenna directivity diagram, to be 0.85. The measured J01 1720 brightness temperature is a good approximation to the brightness temperature J01 1730 at the
because of the narrow antenna J01 1740 beam and because the temperature distribution over the central portion J01 1750 of the moon's disk is nearly uniform. The result of the observations J01 1760 is (in ` ~K) **f where the phase angle, |q, is measured J01 1770 in degrees from new moon and the probable errors include absolute J01 1780 as well as relative errors. This result is plotted along with the 8.6-~mm J01 1790 observations of Gibson (1958) in figure 1, . The variation J01 1810 in the 3-~cm emission of the moon during a lunation is very much J01 1820 less than the variation in the 8.6-~mm emission, as would be expected J01 1830 from the explanation of Piddington and Minnett (1949). In the discussion J01 1840 which follows, the time average of the radio emission will be J01 1850 referred to as the , and the superimposed periodic J01 1860 variation will be called the . The 10.3-~cm J01 1870 observation of Sloanaker was made on May 20, 1958, using the J01 1880 84-foot reflector at the Maryland Point Observatory of the U& J01 1890 S& Naval Research Laboratory. The age of the moon was about 2 J01 1900 days. The half-intensity diameter of the main lobe of the antenna was J01 1910 about 18'.5, and the brightness temperature was reduced by assuming J01 1920 a Gaussian shape for the antenna beam and a uniformly bright disk for J01 1930 the moon. J02 0010 #ABSTRACT# Experiments were made on an electric arc applying a porous J02 0020 graphite anode cooled by a transpiring gas (Argon). Thus, the J02 0030 energy transferred from the arc to the anode was partly fed back into J02 0040 the arc. It was shown that by proper anode design the net energy loss J02 0050 of the arc to the anode could be reduced to approximately 15% of the J02 0060 total arc energy A detailed energy balance of the anode was established. J02 0080 The anode ablation could be reduced to a negligible amount. The dependence J02 0090 of the arc voltage upon the mass flow velocity of the transpirating J02 0100 gas was investigated for various arc lengths and currents between J02 0110 100 ~Amp and 200 ~Amp. Qualitative observations were made and J02 0120 high-speed motion pictures were taken to study flow phenomena in the J02 0130 arc at various mass flow velocities. #INTRODUCTION# The high heat J02 0140 fluxes existing at the electrode surfaces of electric arcs necessitate J02 0150 extensive cooling to prevent electrode ablation. The cooling requirements J02 0160 are particularly severe at the anode. In free burning electric J02 0170 arcs, for instance, approximately 90% of the total arc power is transferred J02 0180 to the anode giving rise to local heat fluxes in excess of J02 0190 **f as measured by the authors- the exact value depending on the arc J02 0200 atmosphere. In plasma generators as currently commercially available J02 0210 for industrial use or as high temperature research tools often more than J02 0220 50% of the total energy input is being transferred to the co0ling J02 0230 medium of the anode. The higher heat transfer rates at the anode J02 0240 compared with those at the cathode can be explained by the physical J02 0250 phenomena occurring in free burning arcs. In plasma generators the J02 0260 superimposed forced convection may modify the picture somewhat. The heat J02 0270 transfer to the anode is due to the following effects: 1. Heat J02 0280 of condensation (work function) plus kinetic energy of the electrons impinging J02 0290 on the anode. This energy transfer depends on the current, the J02 0300 temperature in the arc column, the anode material, and the conditions J02 0310 in the anode sheath. 2. Heat transfer by molecular conduction as well J02 0320 as by radiation from the arc column. The heat transfer to J02 0330 the anode in free burning arcs is enhanced by a hot gas jet flowing from J02 0350 the cathode towards the anode with velocities up **f. This phenomenon J02 0360 has been experimentally investigated in detail by Maecker (Ref& J02 0370 1). The pressure gradient producing the jet is due to the nature of the J02 0380 magnetic field in the arc (rapid decrease of current density from cathode J02 0390 to the anode). Hence, the flow conditions at the anode of free J02 0400 burning arcs resemble those near a stagnation point. it is apparent J02 0410 from the above and from experimental evidence that the cooling requirements J02 0420 for the anode of free burning arcs are large compared with J02 0440 those for the cathode. The gas flow through a plasma generator will modify J02 0450 these conditions; however, the anode is still the part receiving J02 0460 the largest heat flux. An attempt to improve the life of the anodes J02 0470 or the efficiency of the plasma generators must, therefore, aim at J02 0480 a reduction of the anode loss. The following possibilities exist for J02 0490 achieving this: 1. The use of high voltages and low currents by proper J02 0500 design to reduce electron heat transfer to the anode for a given J02 0510 power output. 2. Continuous motion of the arc contact area at the anode J02 0530 by flow or magnetic forces. 3. Feed back of the energy transferred J02 0540 to the anode by applying gas transpiration through the anode. J02 0550 The third method was, to our knowledge, successfully applied for the J02 0560 first time by C& Sheer and co-workers (Ref& 2). The purpose of J02 0570 the present study is to study the thermal conditions and to establish J02 0580 an energy balance for a transpiration cooled anode as well as the effect J02 0590 of blowing on the arc voltage. Gas injection through a porous anode J02 0600 (transpiration cooling) not only feeds back the energy transferred J02 0610 to the anode by the above mentioned processes, but also modifies the conditions J02 0620 in the arc itself. A detailed study of this latter phenomenon J02 0630 was not attempted in this paper. Argon was used as a blowing gas to J02 0640 exclude any effects of dissociation or chemical reaction. The anode J02 0650 material was porous graphite. Sintered porous metals should be usable J02 0660 in principle. However, technical difficulties arise by melting at local J02 0670 hot spots. The experimental arrangement as described below is based J02 0680 on the geometry of free burning arcs. Thus, direct comparisons can J02 0690 be drawn with free burning arcs which have been studied in detail during J02 0700 the past years and decades by numerous investigators (Ref& 3). J02 0710 #EXPERIMENTAL APPARATUS# Figures 1 to 3 show photographic and schematic J02 0720 views of the test stand and of two different models of the anode J02 0730 holder. The cathode consisted of a 1/4'' diameter thoriated tungsten J02 0740 rod attached to a water cooled copper tube. This tube could be J02 0750 adjusted in its axial direction by an electric drive to establish the J02 0760 required electrode spacing. The anode in figure 2 was mounted by means J02 0770 of the anode holder which was attached to a steel plug and disk. The J02 0780 transpiring gas ejected from the anode formed a jet directed axially J02 0790 towards the cathode below. Inflow of air from the surrounding atmosphere J02 0800 was prevented by the two disks shown in figure 2. Argon was also J02 0810 blown at low velocities (mass flow rate **f) through a tube coaxial J02 0820 with J02 0830 the cathode as an additional precaution against contamination of the J02 0840 arc by air. The anode consisted of a 1/2 inch diameter porous graphite J02 0850 plug, 1/4 inch long. The graphite was National Carbon ~NC J02 0860 60, which has a porosity of 50% and an average pore size of 30 This J02 0870 small pore size was required to ensure uniformity of the flow leaving J02 0880 the anode. The anode plug (Figure 2) was inserted into a carbon J02 0890 anode holder. A shielded thermocouple was used to measure the upstream J02 0900 temperature of the transpiring gas. It was exposed to a high velocity J02 0910 gas jet. A plug and a tube with holes in its cylindrical walls divided J02 0920 the chamber above the porous plug into two parts. This arrangement J02 0930 had the purpose to prevent heated gas to reach the thermocouple by J02 0940 natural convection. Two pyrometers shown in figure 1 and 2 (Pyrometer J02 0950 Instrument Co& Model 95) served for simultaneous measurement of J02 0960 the anode surface temperature and the temperature distribution along J02 0970 the anode holder. Three thermocouples were placed at different locations J02 0980 in the aluminum disk surrounding the anode holder to determine its J02 0990 temperature. Another anode holder used in the experiments is shown J02 1000 in figure 3. In this design the anode holder is water cooled and J02 1010 the heat losses by conduction from the anode were determined by measuring J02 1020 the temperature rise of the coolant. To reduce heat transfer from J02 1030 the hot has to this anode holder outside the regime of the arc, a carbon J02 1040 shield was attached tothe surface providing an air gap of 1/16 J02 1050 inch between the plate and the surface of the anode holder. In addition, J02 1060 the inner surface of the carbon shield was covered with aluminum foil J02 1070 to reduce radiation. Temperatures of the shield and of the surface J02 1080 of the water-cooled anode holder were measured by thermocouples to account J02 1090 for heat received by the coolant but not originating from the anode J02 1100 plug. The argon flow from commercial bottles was regulated J02 1110 by a pressure regulator and measured with a gas flow rator. The power J02 1120 source was a commercial D& C& rectifier. At 100 ~Amp the J02 1130 360 cycle ripple was less than 0.5 ~V (peak to peak) with a resistive J02 1140 load. The current was regulated by means of a variable resistor and J02 1150 measured with a 50 ~mV shunt and millivoltmeter. The arc voltage J02 1160 was measured with a voltmeter whose terminals were connected to the anode J02 1170 and cathode holders. Because of the falling characteristic of the J02 1180 rectifier, no ballast resistor was required for stability of operation. J02 1190 A high frequency starter was used to start the arc. #EXPERIMENTAL J02 1200 PROCEDURE AND ERROR ANALYSIS# _1. TRANSPIRATION COOLED ANODE WITH J02 1210 CARBON ANODE HOLDER_ The anode holder shown in figure 2 was designed J02 1230 with two goals in mind. The heat losses of the holder were to be reduced J02 1240 as far as possible and they should be such that an accurate heat J02 1250 balance can be made. In order to reduce the number of variable parameters, J02 1260 all experiments were made with a constant arc length of 0.5'' J02 1270 and a current of 100 ~Amp. The argon flow through the porous anode J02 1280 was varied systematically between **f. and **f. The lower limit J02 1290 was determined by the fact that for smaller flow rates the arc started J02 1300 to strike to the anode holder instead of to the porous graphite plug J02 1310 and that it became highly unstable. The upper limit was determined by J02 1320 the difficulty of measuring the characteristic anode surface temperature J02 1330 (see below) since only a small region of the anode was struck by the J02 1340 arc. This region which had a higher temperature than the rest of the J02 1350 anode surface changed size and location continuously. For each J02 1360 mass flow rate the arc voltage was measured. To measure the surface J02 1370 temperature of the anode plug, the surface was scanned with a pyrometer. J02 1380 As it turned out, a very hot region occurred on the plug. Its temperature J02 1390 was denoted by **f. The size of this hot region was estimated J02 1400 by eye. The rest of the surface had a temperature which decreased towards J02 1410 the outer diameter of the plug. The mean temperature of this region J02 1420 was approximated by the temperature measured halfways between the J02 1430 edge of the hot spot and the rim of the plug. It was denoted by **f. J02 1440 The mean temperature of the surface was then computed according to J02 1450 the following relation: **f where ~x is the fraction of the plug area J02 1470 covered by the hot spot. Assuming thermal equilibrium between the J02 1480 anode surface and the transpiring argon, the gas enthalpy rise through J02 1490 the anode was calculated according to the relation **f whereby the specific J02 1500 heat of argon was taken as **f. This calculation results in J02 1505 an J02 1510 enthalpy rise which is somewhat high because it assumes a mass flow equally J02 1520 distributed over the plug cross section whereas in reality the mass J02 1530 velocity is expected to be smaller in the regions of higher temperatures. J02 1540 The upstream gas temperature measured with the thermocouple J02 1550 shown in figure 2 was **f. The **f values are listed in Table 1 J02 1560 together J02 1570 with the measured surface temperatures and arc voltages. Simultaneously J02 1580 with the anode surface temperature and voltage measurements pyrometer J02 1590 readings were taken along the cylindrical surface of the carbon anode J02 1600 holder as indicated on figure 2. Some of these temperatures are plotted J02 1610 in figure 4. They showed no marked dependence on the flow rate J02 1620 within the accuracy of these measurements. Thus, the dotted line shown J02 1630 in figure 4 was taken as typical for the temperature distribution for J02 1640 all blowing rates. The thermocouples in the aluminum disk shown J02 1650 in figure 2 indicated an equilibrium temperature of the surface of J02 1660 **f. This temperature was taken as environmental temperature to which J02 1670 the anode holder was exposed as far as radiation is concerned. It J02 1680 is sufficiently small compared with the surface temperature of the anode J02 1690 holder, to make the energy flux radiated from the environment toward J02 1700 the anode holder negligible within the accuracy of the present measurements. J02 1710 The reflection of radiation originating from the anode holder J02 1720 and reflected back to it by the surrounding metal surfaces should also J02 1730 be small because of the specular characteristic of the metal surfaces J02 1740 and of the specific geometry. The total heat loss through the anode J02 1750 holder included also the heat conducted through the base of the cylindrical J02 1760 piece into the adjacent metal parts. It was calculated from the J02 1770 temperature gradient **f at **f inch as **f. The total heat flux from J02 1780 the porous plug into the plug holder is thereby **f The temperature J02 1790 distribution of figure 4 gives **f for all blowing rates, assuming **f. J02 1800 The temperature dependent value of ~|e was taken from Ref& J02 1810 7. The radiation loss from the anode surface was computed according to J02 1820 **f where **f is the mean of the fourth powers of the temperatures **f J02 1830 and **f calculated analogously to equation (1). J03 0010 A band viscometer is shown in Figure 2. It consists of two blocks J03 0020 with flat surfaces held apart by shims. There is a small well in J03 0030 the top in which the fluid or paste to be tested is placed. A tape J03 0040 of cellulose acetate is pulled between the blocks and the tape pulls the J03 0050 fluid or paste with it between the parallel faces of the blocks. In J03 0070 normal use weights are hung on the end of the tape and allowed to pull J03 0080 the tape and the material to be tested between the blocks. After it J03 0090 has reached terminal velocity, the time for the tape to travel a known J03 0100 distance is recorded. By the use of various weights, data for a force-rate J03 0110 of shear graph can be obtained. The instrument used for this J03 0120 work was a slight modification of that previously described. In J03 0130 this test a **f tape was pulled between the blocks with a motor and J03 0140 pulley at a rate of **f with a clearance of 0.002'' on each side of J03 0150 the tape. This gives a rate of shear of **f. This, however, can only J03 0151 be considered J03 0160 approximate, as the diameter of the pulley was increased by the J03 0170 build-up of tape and the tape was occasionally removed from the pulley J03 0180 during the runs. The face of one block contained a hole 1/16'' J03 0181 in diameter which led to a J03 0190 manometer for the measurement of the normal pressure. Although J03 0200 there were only four fluids tested, it was apparent that there were J03 0210 two distinct types. Two of the fluids showed a high-positive normal pressure J03 0220 when undergoing shear, and two showed small negative pressures J03 0230 which were negligible in comparison with the amount of the positive pressures J03 0240 generated by the other two. Figure 3 shows the data on J03 0250 a silicone fluid, labeled 12,500 ~cps which gave a high positive normal J03 0260 pressure. Although the tape was run for over 1 hr&, a steady J03 0270 state was not reached, and it was concluded that the reason for this was J03 0280 that the back pressure of the manometer was built up from the material J03 0290 fed from between the blocks and this was available at a very slow J03 0300 rate. A system had to be used which did not depend upon the feeding of J03 0310 the fluid into the manometer if measurements of the normal pressure J03 0320 were to be made in a reasonable time. A back pressure was then introduced, J03 0330 and the rise or fall of the material in the manometer indicated J03 0340 which was greater, the normal pressure in the block or the back pressure. J03 0350 By this method it was determined that the normal pressure exerted J03 0360 by a sample of polybutene (molecular weight reported to be 770) was J03 0370 over half an atmosphere. The actual pressure was not determined because J03 0380 the pressure was beyond the upper limit of the apparatus on hand. J03 0390 The two fluids which gave the small negative pressures were polybutenes J03 0400 with molecular weights which were stated to be 520 and 300. J03 0410 These are fluids which one would expect to be less viscoelastic or more J03 0420 Newtonian because of their lower molecular weight. The maximum suction J03 0430 was 3.25'' of test fluid measured from the top of the block, J03 0440 and steady states were apparently reached with these fluids. It is presumed J03 0450 that this negative head was associated with some geometric factor J03 0460 of the assembly, since different readings were obtained with the same J03 0470 fluid and the only apparent difference was the assembly and disassembly J03 0480 of the apparatus. This negative pressure is not explained by the J03 0490 velocity head **f since this is not sufficient to explain the readings J03 0500 by several magnitudes. These experiments can be considered J03 0510 exploratory only. However, they do demonstrate the presence of large J03 0520 normal pressures in the presence of flat shear fields which were forecast J03 0530 by the theory in the first part of the paper. They also give information J03 0540 which will aid in the design of a more satisfactory instrument J03 0550 for the measurement of the normal pressures. Such an instrument would J03 0560 be useful for the characterization of many commercial materials as well J03 0570 as theoretical studies. The elasticity as a parameter of fluids J03 0571 which J03 0580 is not subject to simple measurement at present, and it is a parameter J03 0590 which is probably varying in an unknown manner with many commercial J03 0600 materials. Such an instrument is expected to be especially useful J03 0610 if it could be used to measure the elasticity of heavy pastes such as J03 0620 printing inks, paints, adhesives, molten plastics, and bread dough, for J03 0630 the elasticity is related to those various properties termed "length", J03 0650 "shortness", "spinnability", etc&, which are usually judged J03 0660 by subjective methods at present. The actual change **f J03 0670 caused by a shear field is calculated by multiplying the pressure differential J03 0680 times the volume, just as it is for any gravitational or osmotic J03 0690 pressure head. If the volume is the molal volume, then **f is obtained J03 0700 on a molal basis which is the customary terminology of the chemists. J03 0710 Although the **f calculation is obvious by analogy with that J03 0720 for gravitational field and osmotic pressure, it is interesting to confirm J03 0730 it by a method which can be generalized to include related effects. J03 0740 Consider a shear field with a height of ~ and a cross-sectional J03 0750 area of ~ opposed by a manometer with a height of ~ J03 0760 (referred to the same base as ~) and a cross-sectional area J03 0770 of ~. If **f is the change per unit volume in Gibbs function J03 0780 caused by the shear field at constant ~

and ~, and ~|r J03 0790 is the density of the fluid, then the total potential energy of J03 0800 the system above the reference height is **f. **f is the work necessary J03 0810 to fill the manometer column from the reference height to ~. J03 0820 The total volume of the system above the reference height is **f, and J03 0830 ~ can be eliminated to obtain an equation for the total potential J03 0840 energy of the system in terms of ~. The minimum total potential J03 0850 energy is found by taking the derivative with respect to ~ J03 0860 and equating to zero. This gives **f, which is the pressure. This J03 0870 is interesting for it combines both the thermodynamic concept of a minimum J03 0880 Gibbs function for equilibrium and minimum mechanical potential J03 0890 energy for equilibrium. This method can be extended to include the J03 0900 concentration differences caused by shear fields. The relation between J03 0910 osmotic pressure and the Gibbs function may also be developed in an J03 0920 analogous way. In the above development we have applied the thermodynamics J03 0930 of equilibrium (referred to by some as thermostatics) to J03 0940 the steady state. This can be justified thermodynamically in this case, J03 0950 and this will be done in a separate paper which is being prepared. J03 0960 This has an interesting analogy with the assumption stated by Philippoff J03 0970 that "the deformational mechanics of can be J03 0980 applied to flowing solutions". There is one exception to the above J03 0990 statement as has been pointed out, and that is that fluids can relax J03 1000 by flowing into fields of lower rates of shear, so the statement should J03 1010 be modified by stating that the mechanics are similar. If the mechanics J03 1020 are similar, we can also infer that the thermodynamics will also J03 1030 be similar. The concept of the strain energy as a Gibbs function J03 1040 difference **f and exerting a force normal to the shearing face is J03 1050 compatible with the information obtained from optical birefringence studies J03 1060 of fluids undergoing shear. Essentially these birefringence studies J03 1070 show that at low rates of shear a tension is present at 45` to J03 1080 the direction of shear, and as the rate of shear increases, the direction J03 1090 of the maximum tension moves asymptotically toward the direction J03 1100 of shear. According to Philippoff, the recoverable shear ~ is J03 1110 given by **f where ~|c is the angle of extinction. From this and J03 1120 the force of deformation it should be possible to calculate the elastic J03 1130 energy of deformation which should be equal to the **f calculated from J03 1140 the pressure normal to the shearing face. There is another J03 1150 means which should show the direction and relative value of the stresses J03 1160 in viscoelastic fluids that is not mentioned as such in the literature, J03 1170 and that is the shape of the suspended drops of low viscosity fluids J03 1180 in shear fields. These droplets are distorted by the normal forces J03 1190 just as a balloon would be pulled or pressed out of shape in one's J03 1200 hands. These droplets appear to be ellipsoids, and it is mathematically J03 1210 convenient to assume that they are. If they are not ellipsoids, J03 1220 the conclusions will be a reasonable approximation. The direction of J03 1230 the tension of minimum pressure is, of course, given by the direction J03 1240 of the major axis of the ellipsoids. Mason and Taylor both show that J03 1250 the major axis of the ellipsoids is at 45` at low rates of shear and J03 1260 that it approaches the direction of shear with increased rates of shear. J03 1270 (Some suspensions break up before they are near to the direction J03 1280 of shear, and some become asymptotic to it without breakup.) This is, J03 1290 of course, a similar type of behavior to that indicated by birefringence J03 1300 studies. The relative forces can be calculated from the various J03 1310 radii of curvature if we assume: () The surface tension is uniform J03 1320 on the surface of the drop. () That because of the low viscosity J03 1330 of the fluid, the internal pressure is the same in all directions. J03 1340 () The kinetic effects are negligible. () Since the J03 1350 shape of the drop conforms to the force field, it does not appreciably J03 1360 affect the distribution of forces in the fluid. These are reasonable J03 1370 assumptions with low viscosity fluids suspended in high viscosity J03 1380 fluids which are subjected to low rates of shear. Just as the pressure J03 1390 exerted by surface tension in a spherical drop is **f and the pressure J03 1400 exerted by surface tension on a cylindrical shape is **f, the J03 1410 pressure exerted by any curved surface is **f, where ~|g is the interfacial J03 1420 tension and **f and **f are the two radii of curvature. This J03 1430 formula is given by Rumscheidt and Mason. If ~ is the major J03 1440 axis of an ellipsoid and ~ and ~ are the other two axes, J03 1450 the radius of curvature in the ~ plane at the end of the axis J03 1460 is **f, and the difference in pressure along the ~ and ~ J03 1470 axes is **f. There are no data published in the literature on J03 1480 the shape of low viscosity drops to confirm the above formulas. However, J03 1490 there are photographs of suspended drops of cyclohexanol phthalate J03 1500 (viscosity 155 poises) suspended in corn syrup of 71 poises in a paper J03 1510 by Mason and Bartok. This viscosity of the material in the drops J03 1520 is, of course, not negligible. Measurements on the photograph in this J03 1530 paper give **f at the maximum rate of shear of **f. If it is assumed J03 1540 that the formula given by Lodge of **f, cosec 2~|c applies, the J03 1550 pressure difference along the major axes can be calculated from the angle J03 1560 of inclination of the major axis, and from this the interfacial tension J03 1570 can be calculated. Its value was **f from the above data. This J03 1580 appears to be high, as would be expected from the appreciable viscosity J03 1590 of the material in the drops. It is appropriate to call attention J03 1600 to certain thermodynamic properties of an ideal gas that are analogous J03 1610 to rubber-like deformation. The internal energy of an ideal J03 1620 gas depends on temperature only and is independent of pressure or volume. J03 1630 In other words, if an ideal gas is compressed and kept at constant J03 1640 temperature, the work done in compressing it is completely converted J03 1650 into heat and transferred to the surrounding heat sink. This means that J03 1660 work equals ~ which in turn equals **f. There is a J03 1670 well-known relationship between probability and entropy which states that J03 1680 **f, where ~\q is the probability that state (i&e&, volume J03 1690 for an ideal gas) could be reached by chance alone. this is known as J03 1700 conformational entropy. This conformational entropy is, in this case, J03 1710 equal to the usual entropy, for there are no other changes or other J03 1720 energies involved. Note that though the ideal gas itself contains no J03 1730 additional energy, the compressed gas does exert an increased pressure. J03 1740 The energy for any isothermal work done by the perfect gas must come J03 1750 as thermal energy from its surroundings. J04 0010 ## A proton magnetic resonance study of polycrystalline **f as a J04 0020 function of magnetic field and temperature is presented. **f is paramagnetic, J04 0030 and electron paramagnetic dipole as well as nuclear dipole effects J04 0040 lead to line broadening. The lines are asymmetric and over the J04 0050 range of field **f gauss and temperature **f the asymmetry increases with J04 0060 increasing **f and decreasing . An isotropic resonance shift J04 0070 of **f to lower applied fields indicates a weak isotropic hyperfine J04 0080 contact interaction. The general theory of resonance shifts is used to J04 0090 derive a general expression for the second moment **f of a polycrystalline J04 0100 paramagnetic sample and is specialized to **f. The theory predicts J04 0110 a linear dependence of **f on **f, where |j is the experimentally J04 0120 determined Curie-Weiss constant. The experimental second moment J04 0130 **f conforms to the relation **f in agreement with theory. Hence, the J04 0140 electron paramagnetic effects (slope) can be separated from the nuclear J04 0150 effects (intercept). The paramagnetic dipole effects provide some J04 0160 information on the particle shapes. The nuclear dipole effects provide J04 0170 some information on the motions of the hydrogen nuclei, but the symmetry J04 0180 of the **f bond in **f remains in doubt. #INTRODUCTION# THE J04 0200 magnetic moment of an unpaired electron associated nearby may have a J04 0210 tremendous influence on the magnetic resonance properties of nuclei. It J04 0220 is important to consider and experimentally verify this influence since J04 0230 quantitative nuclear resonance is becoming increasingly used in investigations J04 0240 of structure. **f appeared to be well suited for the study J04 0250 of these matters, since it is a normal paramagnet, with three unpaired J04 0260 electrons on the chromium, its crystal structure is very simple, J04 0270 and the unknown position of the hydrogen in the strong **f bond provides J04 0280 structural interest. We first discuss the **f bond in **f. J04 0290 We J04 0300 then outline the theory of the interaction of paramagnetic dipoles J04 0310 with nuclei and show that the theory is in excellent agreement with experiment. J04 0320 Indeed it is possible to separate electron paramagnetic from J04 0330 nuclear effects. The information provided by the electron paramagnetic J04 0340 effects is then discussed, and finally the nuclear effects are interpreted J04 0350 in terms of various motional-modified models of the **f bond J04 0360 in **f. #**F BOND IN **F# Theoretical studies of the hydrogen bond J04 0370 generally agree that the **f bond will be linear in the absence of J04 0380 peculiarities of packing in the solid. Moreover, it will be asymmetric J04 0390 until a certain critical **f distance is reached, below which it will J04 0400 become symmetric. There is ample evidence from many sources that the J04 0410 **f bond in **f is symmetric. The **f distance in **f is 2.26 ~A. J04 0420 There is evidence, though less convincing than for **f, that the **f J04 0430 bond in nickel dimethylglyoxime is symmetric. Here the **f distance J04 0440 is 2.44 ~A. A number of semiempirical estimates by various workers J04 0450 lead to the conclusion that the **f bond becomes symmetric when the J04 0460 **f bond length is about 2.4 to 2.5 ~A, but aside from the possible J04 0480 example of nickel dimethylglyoxime there have been no convincing reports J04 0490 of symmetric **f bonds. Douglass has studied the crystal structure J04 0500 of **f by x-ray diffraction. He finds the structure contains an **f J04 0510 bond with the **f distance of **f. There is, then, the possibility that J04 0520 this **f bond is symmetric, although Douglass was unable to determine J04 0530 its symmetry from his x-ray data. Douglass found **f to be J04 0540 trigonal, Laue symmetry **f, with **f, **f. X-ray and experimental J04 0550 density showed one formula unit in the unit cell, corresponding to a paramagnetic J04 0560 ion density of **f. The x-ray data did not permit Douglass J04 0570 to determine uniquely the space group, but a negative test for piezoelectricity J04 0580 led him to assume a center of symmetry. Under this assumption J04 0590 the space group must be **f and the following are the positions J04 0600 of the atoms in the unit cell. **f. This space group requires the hydrogen J04 0610 bond to be symmetric. Douglass found powder intensity calculations J04 0620 and measurements to agree best for **f. These data lead to a structure J04 0630 in which sheets of ~Cr atoms lie between two sheets of ~O J04 0640 atoms. The ~O atoms in each sheet are close packed and each ~Cr J04 0650 atom is surrounded by a distorted octahedron of ~O atoms. The **f J04 0660 layers are stacked normal to the [111] axis with the lower oxygens J04 0670 of one layer directly above the upper oxygens of the neighboring lower J04 0680 layer, in such a manner that the repeat is every three layers. The J04 0690 separate layers are joined together by hydrogen bonds. A drawing of the J04 0700 structure is to be found in reference 6. The gross details J04 0710 of the structure appear reasonable. The structure appears to be unique J04 0720 among ~OOH compounds, but is the same as that assumed by J04 0730 **f. The bond angles and distances are all within the expected limits J04 0740 and the volume per oxygen is about normal. However, the possible absence J04 0750 of a center of symmetry not only moves the hydrogen atom off **f, J04 0760 but also allows the oxygen atoms to become nonequivalent, with **f at J04 0770 **f and **f at **f (space group **f), where **f represents the oxygens J04 0780 on one side of the **f layers and **f those on the other side. However, J04 0790 any oxygen nonequivalence would shorten either the already extremely J04 0800 short **f interlayer distance of 2.55 ~A or the non-hydrogen-bonded J04 0810 **f interlayer interactions which are already quite short at 2.58 J04 0820 ~A. Hence it is difficult to conceive of a packing of the atoms in J04 0830 this material in which the oxygen atoms are far from geometrical equivalence. J04 0840 The only effect of lack of a center would then be to release J04 0850 the hydrogen atoms to occupy general, rather than special, positions J04 0860 along the [111] axis. If the **f bond is linear then there J04 0870 are three reasonable positions for the hydrogen atoms: (1) The hydrogen J04 0880 atoms are centered and hence all lie on a sheet midway between the J04 0890 oxygen sheets; (2) all hydrogen atoms lie on a sheet, but the sheet J04 0900 is closer to one oxygen sheet than to the other; (3) hydrogen atoms J04 0910 are asymmetrically placed, either randomly or in an ordered way, so J04 0920 that some hydrogen atoms are closer to the upper oxygen atoms while others J04 0930 are closer to the lower oxygen atoms. Position (2) appears to us J04 0940 to be unlikely in view of the absence of a piezoelectric effect and on J04 0950 general chemical structural grounds. A randomization of "ups" and J04 0960 "downs" is more likely than ordered "ups" and "downs" in J04 0970 position (3) since the hydrogen atoms are well separated and so the J04 0980 position of one could hardly affect the position of another, and also J04 0990 since ordered "up" and "down" implies a larger unit cell, for J04 1000 which no evidence exists. Therefore, the only unknown structural feature J04 1010 would appear to be whether the hydrogen atoms are located symmetrically J04 1020 (1) or asymmetrically (3). #EXPERIMENTAL PROCEDURES# _SAMPLES_ J04 1030 Douglass prepared his sample of **f by thermal decomposition of J04 1040 aqueous chromic acid at 300-325`~C. Dr& Douglass was kind enough J04 1050 to lend us about 5 grams of his material. This material proved J04 1060 to be unsatisfactory, since we could not obtain reproducible results on J04 1070 various portions of the sample. Subsequently, we learned from Douglass J04 1080 that his sample contained a few percent **f impurity. Since **f J04 1090 is ferromagnetic, we felt that any results obtained from the magnetically J04 1100 contaminated **f would be suspect. Plane suggested another J04 1110 preparation of **f which we used here. 500 ~ml of 1~ aqueous J04 1111 **f J04 1120 with 1 ~g **f added are heated in a bomb at 170`~C for 48 hours. J04 1130 A very fine, gray solid (about 15 ~g) is formed, water-washed J04 1140 by centrifugation, and dried at 110`~C. Differential thermal J04 1150 analysis showed a very small endothermic reaction at 340`~C and J04 1160 a large endothermic reaction at 470`~C. This latter reaction is J04 1170 in accord with the reported decomposition of **f. Thermogravimetric analysis J04 1180 showed a weight loss of 1.8% centered at 337`~C and another J04 1200 weight loss of 10.8% at 463`~C. The expected weight loss for J04 1210 **f going to **f and **f is 10.6%. Mass spectrometric analysis of J04 1220 gases evolved upon heating to 410`~C indicated nitrogen oxides J04 1230 and water vapor. The small reaction occurring at 337`~C is probably J04 1240 caused by decomposition of occluded nitrates, and perhaps by a small J04 1250 amount of some hydrous material other than **f. All subsequent measurements J04 1260 were made on material which had been heated to 375`~C for J04 1270 one hour. Emission spectra indicated **f calcium and all other impurities J04 1280 much lower. Chromium analysis gave 58.8% ~Cr as compared J04 1300 with 61.2% theory. However, **f adsorbs water from the atmosphere and J04 1310 this may account for the low chromium analysis and high total weight J04 1320 loss. The x-ray diffraction pattern of the material, taken with J04 1330 ~CuK|a radiation, indicated the presence of no extra lines and J04 1340 was in good agreement with the pattern of Douglass. Magnetic analyses J04 1350 by R& G& Meisenheimer of this laboratory indicated no ferromagnetic J04 1360 impurities. **f was found to be paramagnetic with three unpaired J04 1370 electron per chromium atom and a molecular susceptibility of **f, J04 1380 where **f. For exactly three unpaired electrons the coefficient would J04 1390 be 3.10. An infrared spectrum, obtained by H& A& Benesi and J04 1400 R& G& Snyder of this laboratory, showed bands in the positions J04 1410 found by Jones. Electron microscopic examination of the **f J04 1420 sample showed it to be composed of nearly isotropic particles about 0.3|m J04 1430 in diameter. The particles appeared rough and undoubtedly the single-crystal J04 1440 domains are smaller than this. The x-ray data are consistent J04 1450 with particle sizes of 1000 ~A or greater. We found no obvious J04 1460 effects due to preferred orientation of the crystallites in this sample J04 1470 nor would we expect to on the basis of the shape found from electron J04 1480 microscopic examination. #NUCLEAR MAGNETIC RESONANCE (~NMR) J04 1490 MEASUREMENTS# J04 1500 The magnetic resonance absorption was detected by employing J04 1510 a Varian model **f broad line spectrometer and the associated 12-inch J04 1520 electromagnet system. One measurement at 40 ~Mc/sec was obtained J04 1530 with the Varian model **f unit. A bridged- type of bridge was J04 1540 used in the 10-16 ~Mc/sec range. The ~rf power level was maintained J04 1550 small enough at all times to prevent obvious line shape distortions J04 1560 by saturation effects. A modulation frequency of 40 ~cps with an J04 1570 amplitude as small as possible, commensurate with reasonably good signal-to-noise J04 1580 quality, was used. Background spectra were obtained in J04 1590 all cases. The spectrometer was adjusted to minimize the amount of dispersion J04 1600 mode mixed in with the absorption signal. A single value J04 1610 of the thermal relaxation time **f at room temperature was measured J04 1620 by the progressive saturation method. The value of **f estimated at J04 1630 470 gauss was **f microseconds. A single measurement of the spin-spin J04 1640 relaxation time **f was obtained at 10 ~Mc/sec by pulse methods. J04 1650 This measurement was obtained by W& Blumberg of the University of J04 1660 California, Berkeley, by observing the breadth of the free induction J04 1670 decay signal. The value derived was 16 microseconds. Field J04 1680 shifts were derived from the mean value of the resonance line, defined J04 1690 as the field about which the first moment is zero. Second moments J04 1700 of the spectra were computed by numerical integration. Corrections J04 1710 were applied for modulation broadening, apparatus background, and J04 1720 field shift. Spectra were obtained over the temperature range J04 1730 of 77-294`K. For the low-temperature measurements the sample was J04 1740 cooled J04 1750 by a cold nitrogen gas flow method similar to that of Andrew and J04 1760 Eades. The temperature was maintained to within about **f for the J04 1770 period of time required to make the measurement (usually about one hour). J04 1780 One sample, which had been exposed to the atmosphere after evacuation J04 1790 at 375`~C, showed the presence of adsorbed water (about 0.3 J04 1800 ~wt %) as evidenced by a weak resonance line which was very narrow J04 1810 at room temperature and which disappeared, due to broadening, at low J04 1820 temperature. The data reported here are either from spectra from which J04 1830 the adsorbed water resonance could easily be eliminated or from spectra J04 1840 of samples evacuated and sealed off at 375`~C which contain no J04 1850 adsorbed water. The measured powder density of the **f used J04 1860 here was about **f, approximately one-third that of the crystal density J04 1870 (**f). Such a density corresponds to a paramagnetic ion density of J04 1880 about **f. Spectra were obtained from a powdered sample having J04 1900 the shape of a right circular cylinder with a height-to-diameter ratio J04 1910 of 4:1. The top of the sample was nearly flat and the bottom hemispherical. J04 1920 Spectra were also obtained from a sample in a spherical container J04 1930 which was made by blowing a bubble on the end of a capillary glass J04 1940 tube. The bubble was filled to the top and special precautions were J04 1950 taken to prevent any sample from remaining in the capillary. Spectra J04 1960 were also obtained from a third sample of **f which had been diluted J04 1970 to three times its original volume with powdered, anhydrous alundum J04 1980 (**f). This sample was contained in a cylindrical container similar to J04 1990 that described above. J05 0010 Polyphosphates gave renewed life to soap products at a time when surfactants J05 0020 were a threat though expensive, and these same polyphosphates J05 0030 spelled the decline of soap usage when the synergism between polyphosphates J05 0040 and synthetic detergent actives was recognized and exploited. J05 0050 The market today for detergent builders is quite diverse. The best J05 0060 known field of application for builders is in heavy-duty, spray-dried J05 0070 detergent formulations for household use. These widely advertised J05 0080 products, which are used primarily for washing clothes, are based on J05 0085 high-sudsing, J05 0090 synthetic organic actives (sodium alkylbenzenesulfonates) J05 0100 and contain up to 50% by weight of sodium tripolyphosphate or a mixture J05 0110 of sodium tripolyphosphate and tetrasodium pyrophosphate. In the J05 0120 household market, there are also low-sudsing detergent formulations J05 0130 based on nonionic actives with about the same amount of phosphate builder; J05 0140 light-duty synthetic detergents with much less builder; and the J05 0150 dwindling built-soap powders as well as soap flakes and granules, none J05 0160 of which are now nationally advertised. A well-publicized entrant J05 0170 which has achieved success only recently is the built liquid detergent, J05 0180 with which the major problem today is incorporation of builder and J05 0190 active into a small volume using a sufficiently high builder/active J05 0200 ratio. Hard-surface cleaning in household application is J05 0210 represented by two classes of alkaline products: (1) the formulations J05 0220 made expressly for machine dishwashers, and (2) the general-purpose J05 0230 cleaners used for walls and woodwork. The better quality products in J05 0240 both of these lines contain phosphate builders. In addition, many of J05 0250 the hard-surface cleaners used for walls and woodwork had their genesis J05 0260 in trisodium orthophosphate, which is still the major ingredient of J05 0270 a number of such products. Many scouring powders now also contain phosphates. J05 0280 These hard-surface cleaners are discussed in Chapter 28. #THE J05 0290 CLEANING PROCESS# Cleaning or detergent action is entirely J05 0300 a matter of surfaces. Wet cleaning involves an aqueous medium, a solid J05 0310 substrate, soil to be removed, and the detergent or surface-active J05 0320 material. An oversimplified differentiation between soft- and hard-surface J05 0330 cleaning lies in the magnitude and kind of surface involved. One J05 0340 gram of cotton has been found to have a specific surface area of **f. J05 0350 In contrast, a metal coupon **f in size would have a magnitude from J05 0360 100,000 to a million less. Even here there is room for some variation, J05 0370 for metal surfaces vary in smoothness, absorptive capacity, and chemical J05 0380 reactivity. Spring used a Brush surface-analyzer in a metal-cleaning J05 0390 study and showed considerable differences in soil removal, depending J05 0400 upon surface roughness. There are considerable differences between J05 0410 the requirements for textile and hard-surface cleaning. Exclusive J05 0420 of esthetic values, such as high- or low-foam level, perfume content, J05 0430 etc&, the requirements for the organic active used in washing textiles J05 0440 are high. No matter how they are formulated, a large number of organic J05 0450 actives are simply not suitable for this application, since they J05 0460 do not give adequate soil removal. This is best demonstrated by practical J05 0470 washing tests in which cloth articles are repeatedly washed with J05 0480 the same detergent formulation. A good formulation will keep the clothes J05 0490 clean and white after many washings; whereas, with a poor formulation, J05 0500 the clothes exhibit a build-up of "tattle-tale grey" and dirty J05 0510 spots- sometimes with bad results even after the first wash. Since J05 0520 practical washing procedures are both lengthy and expensive, a number J05 0530 of laboratory tests have been developed for the numerical evaluation J05 0540 of detergents. Harris has indicated that two devices, the Launder-Ometer J05 0550 and Terg-O-Tometer are most widely used for rapid detergent J05 0560 testing, and he has listed the commercially available standard soiled J05 0570 fabrics. Also given are several laboratory wash procedures in general J05 0580 use. The soiled fabrics used for rapid testing of detergent formulations J05 0590 are made in such a way that only part of the soil is removed by J05 0600 even the best detergent formulation in a single wash. In this way, J05 0610 numerical values for the relative efficacy of various detergent formulations J05 0620 can be obtained by measuring the reflectance (whiteness) of the J05 0630 cloth swatches before and after washing. Soil redeposition is evaluated J05 0640 by washing clean swatches with the dirty ones. As is the case with J05 0650 the surface-active agent, the requirements for builders to be used in J05 0660 detergent compositions for washing textiles are also high. Large numbers J05 0670 of potential builders have been investigated, but none have been J05 0680 found to be as effective as the polyphosphates over the relatively wide J05 0690 range of conditions met in practice. The problems of hard-surface J05 0700 cleaning are not nearly as complex. In hard-surface cleaning, the J05 0710 inorganic salts are more important than the organic active. Indeed, J05 0720 when the proper inorganic constituents are employed, practically any J05 0730 wetting or surface-active agent will do a reasonably good job when present J05 0740 in sufficient amount in a hard-surface cleaning formulation. Hydroxides, J05 0750 orthophosphates, borates, carbonates, and silicates are important J05 0760 inorganic ingredients of hard-surface cleaners. In addition, the J05 0770 polyphosphates are also used, probably acting more as peptizing agents J05 0780 than anything else. The importance of the inorganic constituents in J05 0790 hard-surface cleaning has been emphasized in a number of papers. #PHYSICAL J05 0800 CHEMISTRY OF WASHING# Although there is no question J05 0810 but that the process of washing fabrics involves a number of phenomena J05 0820 which are related together in an extremely complicated way and that J05 0830 these phenomena and their interrelations are not well understood at the J05 0840 present, this section attempts to present briefly an up-to-date picture J05 0850 of the physical chemistry of washing either fabrics or hard surfaces. J05 0860 The purpose of washing is, obviously, to remove soils which are arbitrarily J05 0870 classed in the four major categories given below: _1._ J05 0880 Dirt, which is here defined as particulate material which is usually J05 0890 inorganic and is very often extremely finely divided so as to exhibit J05 0900 colloidal properties. _2._ Greasy soils, which are typified by J05 0910 hydrocarbons and fats (esters of glycerol with long-chain organic acids). J05 0920 _3._ Stains, which include the wide variety of nonparticulate J05 0930 materials which give color even when present in very low concentration J05 0940 on the soiled object. _4._ Miscellaneous soils, which primarily J05 0950 include sticky substances and colorless liquids which evaporate to leave J05 0960 a residue. The dirt on the soiled objects is mechanically J05 0970 held by surface irregularities to some extent. However, a major factor J05 0980 in binding dirt is the attraction between surfaces that goes under J05 0990 the name of van der Waal's forces. This is a theoretically complicated J05 1000 dipole interaction which causes any extremely small uncharged particle J05 1010 to agglomerate with other small uncharged particles, or to stick J05 1020 to an uncharged surface. Obviously, if colloidal particles bear charges J05 1030 of opposite sign or, if one kind is charged and the other kind is J05 1040 not, the attraction will be intensified and the tendency to agglomerate J05 1050 will be greatly reinforced. Likewise, a charged particle will tend J05 1060 to stick to an uncharged surface and , and a charged particle J05 1070 will be very strongly attracted to a surface exhibiting an opposite J05 1080 charge. In addition, dirt particles can be held onto a soiled surface J05 1090 by sticky substances or by the surface tension of liquids, including J05 1100 liquid greases. Greases, stains, and miscellaneous soils J05 1110 are usually sorbed onto the soiled surface. In most cases, these soils J05 1120 are taken up as liquids through capillary action. In an essentially J05 1130 static system, an oil cannot be replaced by water on a surface unless J05 1140 the interfacial tensions of the water phase are reduced by a surface-active J05 1150 agent. The washing process whereby soils are removed consists J05 1160 basically of applying mechanical action to loosen the dirt particles J05 1170 and dried matter in the presence of water which helps to float off J05 1180 the debris and acts, to some extent, as a dissolving and solvating J05 1190 agent. Greasy soils are hardly removed by washing in plain water; J05 1191 and J05 1200 natural waters, in addition, often contain impurities such as calcium J05 1210 salts which can react with soils to make them more difficult to remove. J05 1220 Therefore, detergents are used. The detergent active is that substance J05 1230 which primarily acts to remove greasy soils. The other constituents J05 1240 in a built detergent assist in this and in the removal of dirty stains J05 1250 and the hydrophilic sticky or dried soils. As is well known, J05 1260 detergent actives belong to the chemical class consisting of moderately J05 1270 high molecular weight and highly polar molecules which exhibit the J05 1280 property of forming micelles in solution. Physicochemical investigations J05 1290 of anionic surfactants, including the soaps, have shown that there J05 1300 is little polymerization or agglomeration of the chain anions below J05 1310 a certain region of concentration called the critical micelle concentration. J05 1320 (1) Below the critical micelle concentration, monomers and some J05 1330 dimers are present. (2) In the critical micelle region, there is J05 1340 a rapid agglomeration or polymerization to give the micelles, which have J05 1350 a degree of polymerization averaging around 60-80. (3) For anionics, J05 1360 these micelles appear to be roughly spherical assemblages in which J05 1370 the hydrocarbon tails come together so that the polar groups (the ionized J05 1380 ends) face outward towards the aqueous continuous phase. Obviously J05 1381 hydrophobic J05 1390 (oleophilic) substances such as greases, oils, or particles having J05 1400 a greasy or oily surface are more at home in the center of a micelle J05 1410 than in the aqueous phase. Micelles can imbibe and hold a considerable J05 1420 amount of oleophilic substances so that the micelle volume may be J05 1430 increased as much as approximately two-fold. Although the matter has J05 1440 not been unequivocally demonstrated, the available data show that micelles J05 1450 in themselves do not contribute significantly to the detergency process. J05 1460 Related to micelle formation is the technologically important J05 1470 ability of detergent actives to congregate at oil-water interfaces J05 1480 in such a manner that the polar (or ionized) end of the molecule is directed J05 1490 towards the aqueous phase and the hydrocarbon chain towards the J05 1500 oily phase. In the cleaning process, sorbed greasy soils become coated J05 1510 in this manner with an oriented film of surfactant. Then during washing, J05 1520 the greasy soil rolls back at the edges so that emulsified droplets J05 1530 can disengage themselves from the sorbed oil mass, with the aid of J05 1540 mechanical action, and enter the aqueous phase. Obviously, a substance J05 1550 which is permanently or temporarily sorbed on the surface in place of J05 1560 the soil will tend to accelerate this process and effectively push off J05 1570 the greasy soil. Substances other than detergent actives also J05 1580 tend to be strongly sorbed from aqueous media onto surfaces of other J05 1590 contiguous condensed phases. This is particularly true of highly charged J05 1600 ions, especially those ions which fall into the class of polyelectrolytes. J05 1610 Whereas the usual organic surface-active agent is strongly J05 1620 sorbed at oil-water interfaces, the highly charged ions are most strongly J05 1630 sorbed at interfaces between water and insoluble materials exhibiting J05 1640 an ionic structure (see Table 26-2 on p& 1678). Thus, for aqueous J05 1650 media, we can think of the idealized organic active as an oleophilic J05 1660 or hydrophobic surface-active agent, and of an idealized builder as J05 1670 a oleophobic or hydrophilic surface-active agent. From the equilibrium J05 1680 sorption data which are available, it seems logical to expect J05 1690 that polyphosphate ions would be strongly sorbed on the surface of J05 1700 the dirt (especially clay soils) so as to give it a greatly increased J05 1710 negative charge. The charged particles then repel each other and are J05 1720 also repelled from the charged surface, which almost invariably bears J05 1730 a negative charge under washing conditions. The negatively charged dirt J05 1740 particles then leave the surface and go into the aqueous phase. This J05 1750 hypothesis is evolved in analogy to the demonstrated action of organic J05 1760 actives in detergency. It does not consider the kinetic effects J05 1770 of the phosphate builders on sorption-desorption phenomena which will J05 1780 be discussed later (see pp& 1746-1748). The crude picture of J05 1790 the detergency process thus far developed can be represented as: **f J05 1800 The influence of mechanical action on the particles of free soil may J05 1810 be compared to that of kinetic energy on a molecular scale. Freed soil J05 1820 must be dispersed and protected against flocculation. Cleaned cloth J05 1830 must be protected against the redeposition of dispersed soil. It is J05 1840 evident that the requirements imposed by these effects upon any one J05 1850 detergent constituent acting alone are severe. Upon consideration J05 1860 of the variety of soils and fabrics normally encountered in the washing J05 1870 process, it is little wonder that the use of a number of detergent J05 1880 constituents having "synergistic" properties has gained widespread J05 1890 acceptance. In the over-all process, it is difficult to assign a J05 1900 "pure" role to each constituent of a built-detergent formulation; J05 1910 and, indeed, there is no more reason to separate the interrelated roles J05 1920 of the active, builder, antiredeposition agent, etc& than there J05 1930 is to assign individual actions to each of the numerous isomers making J05 1940 up a given commercial organic active. J06 0010 ## The thermal exchange of chlorine between **f and liquid **f is J06 0020 readily measurable at temperatures in the range of 180` and above. The J06 0030 photochemical exchange occurs with a quantum yield of the order of J06 0040 unity in the liquid phase at 65` using light absorbed only by the **f. J06 0050 In the gas phase, with **f of **f and **f of **f, quantum yields J06 0051 of the J06 0060 order of **f have been observed at 85`. Despite extensive attempts J06 0070 to obtain highly pure reagents, serious difficulty was experienced in J06 0080 obtaining reproducible rates of reaction. It appears possible to set J06 0090 a lower limit of about **f for the activation energy of the abstraction J06 0100 of a chlorine atom from a carbon tetrachloride molecule by a chlorine J06 0110 atom to form **f radical. The rate of the gas phase exchange reaction J06 0120 appears to be proportional to the first power of the absorbed light J06 0130 intensity indicating that the radical intermediates are removed at J06 0140 the walls or by reaction with an impurity rather than by bimolecular J06 0150 radical combination reactions. #INTRODUCTION# Because of the simplicity J06 0160 of the molecules, isotopic exchange reactions between elemental J06 0170 halogens and the corresponding carbon tetrahalides would appear to offer J06 0180 particularly fruitful possibilities for obtaining unambiguous basic J06 0190 kinetic data. It would appear that it should be possible to determine J06 0200 unique mechanisms for the thermal and photochemical reactions in both J06 0210 the liquid and gas phases and to determine values for activation energies J06 0220 of some of the intermediate reactions of atoms and free radicals, J06 0230 as well as information on the heat of dissociation of the carbon-halogen J06 0240 bond. The reaction of chlorine with carbon tetrachloride seemed J06 0250 particularly suited for such studies. It should be possible to prepare J06 0260 very pure chlorine by oxidation of inorganic chlorides on a vacuum J06 0270 system followed by multiple distillation of the liquid. It should be J06 0280 possible to free carbon tetrachloride of any interfering substances by J06 0290 the usual purification methods followed by prechlorination prior to J06 0300 addition of radioactive chlorine. Furthermore, the exchange would not J06 0310 be expected to be sensitive to trace amounts of impurities because it J06 0320 would not be apt to be a chain reaction since the activation energy for J06 0330 abstraction of chlorine by a chlorine atom would be expected to be J06 0340 too high; also it would be expected that **f would compete very effectively J06 0350 with any impurities as a scavenger for **f radicals. Contrary J06 0360 to these expectations we have found it impossible to obtain the degree J06 0370 of reproducibility one would wish, even with extensive efforts to prepare J06 0380 especially pure reagents. We are reporting these investigations J06 0390 here briefly because of their relevancy to problems of the study of apparently J06 0400 simple exchange reactions of chlorine and because the results J06 0410 furnish some information on the activation energy for abstraction of J06 0420 chlorine atoms from carbon tetrachloride. #EXPERIMENTAL# _REAGENTS._- J06 0430 Matheson highest purity tank chlorine was passed through a J06 0440 tube of resublimed **f into an evacuated Pyrex system where it was condensed J06 0450 with liquid air. It was then distilled at least three times J06 0460 from a trap at -78` to a liquid air trap with only a small middle fraction J06 0470 being retained in each distillation. The purified product was J06 0480 stored at -78` in a tube equipped with a break seal. Of several J06 0490 methods employed for tagging chlorine with radiochlorine, the exchange J06 0500 of inactive chlorine with tagged aluminum chloride at room temperature J06 0510 was found to be the most satisfactory. To prepare the latter, J06 0520 silver chloride was precipitated from a solution containing **f obtained J06 0530 from the Oak Ridge National Laboratory. The silver chloride was J06 0540 fused under vacuum in the presence of aluminum chips with the resultant J06 0550 product of **f which was sublimed into a flask on the vacuum line. J06 0560 Previously purified chlorine was subsequently admitted and the exchange J06 0570 was allowed to take place. The radiochlorine was stored at -78` J06 0580 in a tube equipped with a break seal. Liter quantities of Mallinckrodt, J06 0590 low sulfur, reagent grade carbon tetrachloride were saturated J06 0600 with **f and **f and illuminated for about 50 hours with a 1000 watt J06 0610 tungsten lamp at a distance of a few inches. The mixture was then extracted J06 0620 with alkali and with water following which the carbon tetrachloride J06 0630 was distilled on a Vigreux column, a 25% center cut being retained J06 0640 which was then degassed under vacuum in the presence of **f. Purified J06 0650 inactive chlorine was then added from one of the tubes described J06 0660 above and the mixture frozen out and sealed off in a flask equipped with J06 0670 a break seal. This chlorine-carbon tetrachloride solution was illuminated J06 0680 for a day following which the flask was resealed onto a vacuum J06 0690 system and the excess chlorine distilled off. The required amount of J06 0700 carbon tetrachloride was distilled into a series of reaction cells on J06 0710 a manifold on a vacuum line. The desired amounts of inactive chlorine J06 0720 and radioactive chlorine were likewise condensed in these cells on J06 0730 the vacuum line following which they were frozen down and the manifold J06 0740 as a whole was sealed off. The contents of the manifold for liquid phase J06 0750 experiments were then mixed by shaking, redistributed to the reaction J06 0760 tubes, frozen down, and each tube was then sealed off. The reactants J06 0770 for the gas phase experiments were first frozen out in a side-arm J06 0780 attached to the manifold and then allowed to distil slowly into the manifold J06 0790 of pre-cooled reaction cells before sealing off. This method J06 0800 in general solved the problem of obtaining fairly equal concentrations J06 0810 of reactants in each of the six cells from a set. _REACTION CONDITIONS J06 0820 AND ANALYSIS._- The samples for liquid phase thermal reaction J06 0830 studies were prepared in Pyrex capillary tubing 2.5 mm& i&d& and J06 0840 about 15 cm& long. In a few experiments the tubes were made from J06 0850 standard 6 mm& i&d& Pyrex tubing of 1 mm& wall thickness. Both J06 0860 types of tube withstood the pressure of approximately 20 atmospheres J06 0870 exerted by the carbon tetrachloride at 220`. The photochemical reaction J06 0880 cells consisted of 10 mm& i&d& Pyrex tubing, 5.5 cm& J06 0890 long, diffraction effects being minimized by the fact that the light passed J06 0900 through only liquid-glass interfaces and not gas-glass interfaces. J06 0910 These cells were used rather than square Pyrex tubing because J06 0920 of the tendency of the latter to shatter when thawing frozen carbon J06 0930 tetrachloride. The round cells were reproducibly positioned in the J06 0940 light beam which entered the thermostated mineral oil-bath through a window. J06 0950 Two types of light source were used, a thousand watt projection J06 0960 lamp and an ~AH6 high pressure mercury arc. The light was filtered J06 0970 by the soft glass window of the thermostat thus ensuring that J06 0980 only light absorbed by the chlorine and not by the carbon tetrachloride J06 0990 could enter the reaction cell. Relative incident light intensities J06 1000 were measured with a thermopile potentiometer system. Changes of intensity J06 1010 on the cell were achieved by use of a wire screen and by varying J06 1020 the distance of the light source from the cell. Following reaction J06 1030 the cells were scratched with a file and opened under a 20% aqueous J06 1040 sodium iodide solution. Carrier **f was added and the aqueous and J06 1050 organic phases were separated (cells containing gaseous reactants were J06 1060 immersed in liquid air before opening under sodium iodide). After J06 1070 titration of the liberated **f with **f, aliquots of the aqueous and J06 1071 of the organic J06 1080 phase were counted in a solution-type Geiger tube. In the liquid J06 1090 phase runs the amount of carbon tetrachloride in each reaction tube was J06 1100 determined by weighing the tube before opening and weighing the fragments J06 1110 after emptying. The fraction of exchange was determined as the J06 1120 ratio of the counts/minute observed in the carbon tetrachloride to the J06 1130 counts/minute calculated for the carbon tetrachloride fractions for J06 1140 equilibrium distribution of the activity between the chlorine and carbon J06 1150 tetrachloride, empirically determined correction being made for the J06 1160 difference in counting efficiency of **f in **f and **f. #RESULTS# J06 1170 _THE THERMAL REACTION._- In studying the liquid phase thermal J06 1180 reaction, some 70 tubes from 12 different manifold fillings were prepared J06 1190 and analyzed. Experiments were done at 180, 200, 210, 220`. Following J06 1200 observation of the fact that the reaction rates of supposedly J06 1210 identical reaction mixtures prepared on the same filling manifold and J06 1220 exposed under identical conditions often differed by several hundred per J06 1230 cent&, a systematic series of experiments was undertaken to see whether J06 1240 the difficulty could be ascribed to the method of preparing the chlorine, J06 1250 to the effects of oxygen or moisture or to the effect of surface J06 1260 to volume ratio in the reaction tubes. In addition to the method J06 1270 described in the section above, chlorine and radiochlorine were prepared J06 1280 by the electrolysis of a **f eutectic on the vacuum line, and by exchange J06 1290 of **f with molten **f. Calcium hydride was substituted for **f J06 1300 as a drying agent for carbon tetrachloride. No correlation between J06 1310 these variables and the irreproducibility of the results was found. J06 1320 The reaction rates observed at 200` ranged from **f of the chlorine J06 1330 exchanged per hour to 0.7 exchanged per hour. In most cases the J06 1331 chlorine J06 1340 concentration was about **f. Sets of reaction tubes containing 0.2 of J06 1350 an atmosphere of added oxygen in one case and added moisture in another, J06 1360 both gave reaction rates in the range of 0.1 to 0.4 of the chlorine J06 1370 exchanged per hour. No detectable reaction was found at room temperature J06 1380 for reaction mixtures allowed to stand up to 5 hours. _THE LIQUID J06 1390 PHASE PHOTOCHEMICAL REACTION._- The liquid phase photochemical J06 1400 exchange between chlorine and carbon tetrachloride was more reproducible J06 1410 than the thermal exchange, although still erratic. The improvement J06 1420 was most noticeable in the greater consistency among reaction cells J06 1430 prepared as a group on the same manifold. Rather large differences were J06 1440 still found between reaction cells from different manifold fillings. J06 1450 Some 80 reaction tubes from 13 manifold fillings were illuminated in J06 1460 the temperature range from 40 to 85` in a further endeavor to determine J06 1470 the cause of the irreproducibility and to obtain information on J06 1480 the activation energy and the effect of light intensity. In all cases J06 1490 there was readily measurable exchange after as little as one hour of J06 1500 illumination. By comparing reaction cells sealed from the same manifold J06 1510 temperature dependency corresponding to activation energies ranging J06 1520 from 11 to 18 **f was observed while dependence on the first power of J06 1530 the light intensity seemed to be indicated in most cases. It J06 1540 was possible to make estimates of the quantum yield by observing the extent J06 1550 of reduction of a uranyl oxalate actinometer solution illuminated J06 1560 for a known time in a typical reaction cell and making appropriate conversions J06 1570 based on the differences in the absorption spectra of uranyl J06 1580 oxalate and of chlorine, and considering the spectral distribution of J06 1590 the light source. These estimates indicated that the quantum yield J06 1600 for the exchange of chlorine with liquid carbon tetrachloride at 65` J06 1610 is of the order of magnitude of unity. When typical reaction J06 1620 cells to which 0.3 of an atmosphere of oxygen had been added were illuminated, J06 1630 chlorine and phosgene were produced. Exchange was also observed J06 1640 in these cells, which had chlorine present at **f. _THE PHOTOCHEMICAL J06 1650 EXCHANGE IN THE GAS PHASE._- Although there was some variation J06 1660 in results which must be attributed either to trace impurities or J06 1670 to variation in wall effects, the photochemical exchange in the gas phase J06 1680 was sufficiently reproducible so that it seemed meaningful to compare J06 1690 the reaction rates in different series of reaction tubes for the purpose J06 1700 of obtaining information on the effect of chlorine concentration J06 1710 and of carbon tetrachloride concentration on the reaction rate. Data J06 1720 on such comparisons together with data on the effect of light intensity J06 1730 are given in Table /1., In series /1, the relative light J06 1740 intensity was varied by varying the distance of the lamp from the J06 1750 reaction cell over the range from 14.7 to 29.2 cm&. The last column J06 1760 shows the rate of exchange that would have been oserved at a relative J06 1770 intensity of 4 (14.7 cm& distance) calculated on the assumptions that J06 1780 the incident light intensity is inversely proportional to the square J06 1790 of the distance of the lamp from the cell and that the rate is directly J06 1800 proportional to the incident light intensity. Direct proportionality J06 1810 of the rate to the incident intensity has also been assumed in obtaining J06 1820 the value in the last column for the fourth sample of series /2, J06 1830 where the light intensity was reduced by use of a screen. J07 0010 The Poynting-Robertson effect (Robertson, 1937; Wyatt and Whipple, J07 0020 1950), which is a retardation of the orbital motion of particles J07 0030 by the relativistic aberration of the repulsive force of the impinging J07 0040 solar radiation, causes the dust to spiral into the sun in times much J07 0050 shorter than the age of the Earth. The radial velocity varies inversely J07 0060 as the particle size- a 1000-~|m-diameter particle near the J07 0070 orbit of Mars would reach the sun in about 60 million years. Whipple J07 0080 (1955) extends the effects to include the solar-corpuscular-radiation J07 0090 pressure, which increases both the minimum particle size and the drag. J07 0100 Further, the corpuscular radiation, , the solar-wind protons, J07 0110 must sputter away the surface atoms of the dust and cause a slow J07 0120 diminution in size, with a resultant increase in both the Poynting-Robertson J07 0130 effect and the ratio of the repulsive force to the gravitational J07 0140 force. The Poynting-Robertson effect causes the semi-major J07 0150 axis of orbits to diminish more rapidly than the semi-minor axis, J07 0160 with a consequent tendency toward circular orbits as the particles move J07 0170 toward the sun. Also, planetary gravitational attraction increases J07 0180 the dust concentration near the plane of the ecliptic as the sun is J07 0190 approached. At one astronomical unit from the sun (the Earth's distance) J07 0200 the dust orbits are probably nearly circular. If such is the case, J07 0210 the particles within a distance of about **f ~km of the Earth J07 0211 will J07 0220 have, relative to the Earth, a kinetic energy less than their potential J07 0230 energy and they will be captured into orbits about the Earth. De J07 0240 Jager (1955) has calculated the times required for these particles J07 0250 to reach the atmosphere under the influence of the Poynting-Robertson J07 0260 effect, which in this case causes the orbits to become more and more J07 0261 eccentric J07 0270 without changing the semi-major axis. This effect can give rise to J07 0280 a blanket of micrometeorites around the Earth. Since there is J07 0290 a continual loss of micrometeoritic material in space because of the J07 0300 radiation effects, there must be a continual replenishment: otherwise, J07 0310 micrometeorites would have disappeared from interplanetary space. There J07 0320 are several possible sources. According to Whipple (1955), cometary J07 0330 debris is sufficient to replenish the material spiraling into the J07 0340 sun, maintaining a fairly steady state. Asteroidal collisions are also J07 0350 thought to contribute material. It is also possible that some of J07 0360 the dust in the vicinity of the Earth originated from meteoritic impacts J07 0370 upon the moon. #5.3 DIRECT MEASUREMENTS OF MICROMETEORITE FLUX# J07 0380 One cannot make a very satisfactory guess about the micrometeorite J07 0390 flux in space. Even in the neighborhood of the Earth, where information J07 0400 has been obtained both directly and indirectly, the derived flux J07 0410 values vary by at least four orders of magnitude. This large discrepancy J07 0420 demonstrates the inadequacies of the experimental methods and the J07 0430 lack of understanding of the various phenomena involved. Beyond a J07 0440 few million kilometers from the Earth, but still in the region of the J07 0450 Earth's orbit, a prediction of the flux of dust is even more unreliable. J07 0460 At greater distances from the sun, the situation is still less J07 0470 certain. There are several sources of evidence on the micrometeorite J07 0480 environment. Direct information has been obtained from rockets J07 0490 and satellites equipped with impact sensors. In addition, the size J07 0500 distribution obtained from visual and radar observations of meteors may J07 0510 be extrapolated to the micrometeorite domain. From the brightness of J07 0520 the ~F component of the solar corona and the brightness of the zodiacal J07 0530 light, an estimate of the particle sizes, concentrations, and spatial J07 0540 distribution can be derived for regions of space near the ecliptic J07 0550 plane. Another important source of evidence only recently receiving J07 0560 much attention is the analysis of atmospheric dust for a meteoritic J07 0570 component. The cores of deep-sea sediments and content of collectors J07 0580 in remote regions are valuable in this category. The data provide a J07 0590 measure of the total mass of cosmic material incident upon the Earth. J07 0600 The direct evidence on the micrometeorite environment near the J07 0601 Earth is J07 0610 obtained from piezoelectric sensors (essentially microphones) J07 0620 and from wire gages; these instruments are installed on rockets, satellites, J07 0630 and space probes. Statistically, the most significant data have J07 0640 been collected from the sensors on 1958 Alpha (Explorer /1,), J07 0650 1958 Delta 2 (Sputnik /3,), and 1959 Eta (Vanguard /3,). These J07 0660 vehicles, with large sensitive areas, have collected data for long enough J07 0670 times to give reliable impact rates for the periods of exposure. J07 0680 Many other vehicles with smaller sensitive-area exposure-time products J07 0690 contribute some information. The impact rate on 1958 Alpha J07 0700 for 153 events was **f for particles of mass greater than **f (Dubin, J07 0710 1960); this mass threshold was derived from the detector calibration J07 0720 and an assumed impact velocity of **f. The data show daily and diurnal J07 0730 variations. Ninety per cent of the 153 recorded impacts occurred J07 0740 between midnight and noon, and from day to day the variation of the rate J07 0750 was as much as an order of magnitude. One may conclude that most J07 0760 of the detected micrometeoritic material is concentrated in orbital streams J07 0770 which intersect the Earth's orbit. There have been contradictory J07 0780 reports from 1958 Delta 2, and the data quoted here are believed J07 0790 to be the more reliable. On May 15, a very large increase occurred J07 0800 with **f of mass between **f and **f; for the next two days, J07 0810 the impact rate was **f; and for the next nine days, the impact rate J07 0820 was less than **f (Nazarova, 1960). The data for the first day indicate J07 0830 a meteor stream with a very high concentration of particles and may J07 0840 have led to the high estimates of micrometeorite flux. Preliminary J07 0850 data from 1959 Eta give an average impact rate of **f for masses J07 0860 larger than **f for about 1000 events in a 22-day period (LaGow J07 0870 and Alexander, 1960). The day-to-day rate varied by less than a factor J07 0880 of 4.5. The data have not yet been analyzed for diurnal variations. J07 0890 Note that the mass threshold is four times that of 1958 Alpha and J07 0900 that the flux is one fifth as large. If one assumes that the average J07 0910 flux did not change between measurements, a mass-distribution curve is J07 0920 obtained which relates the flux of particles larger than a given radius J07 0930 to the inverse 7/2 power of the radius. Space probes have J07 0940 yielded little information. Pioneer /1, recorded a decrease in flux J07 0950 with distance from the Earth on the basis of 11 counts in 9 hours. With J07 0951 detectors J07 0960 sensitive to three mass intervals and based on a few counts, J07 0970 the second and third Russian space probes indicate that the flux J07 0980 of the smallest particles detected is less than that of larger ones. J07 0990 Being based on so few events, these results are of dubious validity. J07 1000 The calibration of piezoelectric sensors in terms of the particle J07 1010 parameters is very uncertain. Many workers believe that the response J07 1020 is proportional to the incident momentum of the particles, a relation J07 1030 deduced from laboratory results linearly extrapolated to meteoritic J07 1040 velocities. However, one must expect that vaporization and ejection J07 1050 of material by hypervelocity impacts would cause a deviation from a linear J07 1060 relationship. In the United States, most of the sensors are calibrated J07 1070 by dropping small spheres on their sensitive surfaces. The J07 1080 Russian experimenters claim that only a small fraction of the impulse J07 1090 from the sensors is caused by the incident momentum with the remainder J07 1100 being momentum of ejected material from the sensor. This "ejection" J07 1110 momentum is linearly related to the particle energy. They quote J07 1120 about the same mass threshold as that of the U&S& apparatus, but J07 1130 a momentum threshold about 40 times greater. There is a difference J07 1140 in the experimental arrangement, in that the U&S& microphones are J07 1150 attached directly to the vehicle skin while the Russian instruments J07 1160 are isolated from the skin. The threshold mass is derived from the J07 1170 momentum threshold with the assumption of a mean impact velocity of **f J07 1171 in the U&S& work and **f in the J07 1180 U&S&S&R& work. The threshold J07 1190 mass of about **f corresponds to a 10-~|m-diameter sphere of J07 1200 density **f. However, the conversion from mass to size is unreliable, J07 1210 since many photographic meteors give evidence of a fluffy, loosely bound J07 1220 meteorite structure with densities as low as **f. To what extent J07 1230 such low density applies to micrometeorites is unknown. The velocity J07 1240 value used is also open to some question; if a substantial fraction J07 1250 of the dust is orbiting about the Earth, only about one third the above-mentioned J07 1260 average velocity should be used in deriving the mass. Zodiacal J07 1270 light and the give some evidence for such a dust J07 1280 blanket, a phenomenon also to be expected if the dust before capture J07 1290 is in circular orbits about the sun, as indicated by the trend of the J07 1300 smaller visible meteors. The diurnal variation in the observed flux J07 1310 may be partly due to the dependence of the detector sensitivity on the J07 1320 incident velocity. The flux of micrometeorites in the neighborhood J07 1330 of the Earth can be estimated by extrapolation from radar and J07 1340 visual meteor data. A summary of meteorite data, prepared by Whipple J07 1350 (1958) on the basis of photographic, visual, and radar evidence, J07 1360 is given in Table 5-1. From an estimated mass of 25 ~g for a J07 1370 zero-magnitude meteorite, the other masses are derived with the assumption J07 1380 of a mass decrease by a factor of 2.512 for each unit increase in J07 1390 magnitude. The radius is calculated from the mass by assuming spheres J07 1400 of density **f except for the smallest particles, which must have a J07 1410 higher mass density to remain in the solar system in the presence of J07 1420 solar-radiation pressure. The flux values are for all particles with J07 1430 masses greater than the given mass and are based on an estimate of the J07 1440 numbers of visual meteors. It is assumed that the flux values increase J07 1450 by a factor of 2.512 per magnitude, in accordance with the opinion J07 1460 that the total mass flux in each unit range in magnitude is constant. J07 1470 The values agree with the data from 1958 Alpha and 1959 Eta. The figures J07 1480 in the next-to-last column are derived with the assumption of 50 J07 1490 per cent shielding by the Earth; hence, these figures apply immediately J07 1500 above the Earth's atmosphere. The unshielded flux is given J07 1510 in the last column; these figures constitute the best estimate for the J07 1520 flux in interplanetary space near the Earth. Of course, if there J07 1530 is a dust blanket around the Earth, the fluxes in interplanetary space J07 1540 should be less than the figures given here. Note that the mass J07 1550 scale is one to two orders of magnitude greater than some previously J07 1560 used; for example, Jacchia (1948) derived a scale of 0.15 ~g for J07 1570 a **f, zero-magnitude meteorite. The older scales were based on theoretical J07 1580 estimates of the conversion efficiency of kinetic energy into J07 1590 light. The mass scale used in Table 5-1 was derived on the assumption J07 1600 that the motion of the glowing trail is related to the momentum J07 1610 transfer to the trail by the meteorite, permitting the calculation of J07 1620 the mass if the velocity is known (Cook and Whipple, 1958). J07 1630 A concentration distribution has been derived from radar observations J07 1640 sensitive to the fifteenth magnitude (Manning and Eshleman, 1959). J07 1650 Extrapolation of this relationship through the thirtieth magnitude covers J07 1660 the range of micrometeorites. The approximate equation is **f, J07 1661 where ~ J07 1670 is the number of **f with electron line-density greater than J07 1680 or equal to **f, and ~ is proportional to the mass of the meteorite. J07 1690 Therefore, ~ is inversely proportional to the radius cubed J07 1700 and in fair agreement with the inverse 7/2 power derived from 1958 Alpha J07 1710 and 1959 Eta data. At the fifteenth magnitude, **f, and at the twenty-fifth J07 1720 magnitude, **f. These extrapolated fluxes are about an order J07 1730 of magnitude less than the values from the satellite data and the J07 1740 figures in Whipple's table. The extrapolation may be in error for J07 1750 several reasons. The observational data determining the concentration J07 1760 distribution have a range of error which is magnified in the extension J07 1770 into the micrometeorite region. The solar-electromagnetic- and J07 1775 corpuscular-radiation J07 1780 pressure and the associated Poynting-Robertson effect J07 1790 increase in effectiveness as the particle size decreases and modify J07 1800 the distribution and limit sizes to larger than a few microns. Also, J07 1810 it has been suggested that the source of all or part of the dust may J07 1820 not be the same as that for visual or radar meteorites (Best, 1960), J07 1830 and the same distribution would not be expected. #5.4. INDIRECT INDICATIONS J07 1840 OF MICROMETEORITE FLUX# A measure of the total mass accretion J07 1850 of meteoritic material by the Earth is obtained from analyses of J07 1860 deep-sea sediments and dust collected in remote regions (Pettersson, J07 1861 1960). J07 1870 Most meteoritic material, by the time it reaches the Earth's J07 1880 surface, has been reduced to dust or to spherules of ablated material J07 1890 in its passage through the atmosphere. For all meteorites, the average J07 1900 nickel content is about 2.5 per cent. This is much higher than the J07 1910 nickel content of terrestrial dusts and sediments and provides a basis J07 1920 for the determination of the meteoritic mass influx. Present data J07 1930 indicate an accretion of about **f tons per year over the entire globe, J07 1940 or about **f. J08 0010 #BIOLOGICAL WARFARE# Biological warfare is the intentional use of J08 0020 living microorganisms or their toxic products for the purpose of destroying J08 0030 or reducing the military effectiveness of man. It is the exploitation J08 0040 of the inherent potential of infectious disease agents by scientific J08 0050 research and development, resulting in the production of ~BW J08 0060 weapons systems. Man may also be injured secondarily by damage to J08 0070 his food crops or domestic animals. Biological warfare is considered J08 0080 to be primarily a strategic weapon. The major reason for this J08 0090 is that it has no quick-kill effect. The incubation period of infectious J08 0100 disease, plus a variable period of illness even before a lethal effect, J08 0110 render this weapon unsuitable for hand-to-hand encounter. A man J08 0130 can be an effective fighting machine throughout the incubation period J08 0140 of most infectious diseases. Thus, an enemy would probably use this weapon J08 0150 for attack on static population centers such as large cities. J08 0160 An important operational procedure in ~BW for an enemy would J08 0170 be to create an areosol or cloud of agent over the target area. This J08 0180 concept has stimulated much basic research concerning the behavior of J08 0190 particulate biological materials, the pathogenesis of respiratory infections, J08 0200 the medical management of such diseases and defense against their J08 0210 occurrence. The biological and physical properties of infectious J08 0220 particles have been studied intensively during the past fifteen J08 0230 years. Much new equipment and many unique techniques have been developed J08 0240 for the quantitative exposure of experimental animals to aerosols J08 0250 of infectious agents contained in particles of specified dimensional J08 0260 characteristics. Much information has been gathered relative to quantitative J08 0270 sampling and assesment techniques. Much of the older experimental J08 0280 work on respiratory infections was accomplished by very artificial J08 0290 procedures. The intranasal instillation of a fluid suspension of infectious J08 0300 agent in an anesthetized animal is far different from exposure, J08 0310 through natural respiration, to aerosolized organisms. The J08 0320 importance of particle size in such aerosols has been thoroughly demonstrated. J08 0330 The natural anatomical and physiological defensive features J08 0340 of the upper respiratory tract, such as the turbinates of the nose and J08 0350 the cilia of the trachea and larger bronchi, are capable of impinging J08 0360 out the larger particles to which we are ordinarily exposed in our daily J08 0370 existence. Very small particles, however, in a size range of 1 to J08 0380 4 microns in diameter are capable of passing these impinging barriers J08 0390 and entering the alveolar bed of the lungs. This area is highly susceptible J08 0400 to infection. The entrance and retention of infectious particles J08 0410 in the alveoli amounts almost to an intratissue inoculation. The J08 0420 relationship between particle size and infectious dose is illustrated J08 0430 in Table 1. In considering ~BW defense, it must be recognized J08 0440 that a number of critical meterological parameters must be met for J08 0450 an aerosol to exhibit optimum effect. For example, bright sunlight J08 0460 is rapidly destructive for living microorganisms suspended in air. There J08 0470 are optimal humidity requirements for various agents when airborne. J08 0480 Neutral or inversion meteorological conditions are necessary for a J08 0490 cloud to travel along the surface. It will rise during lapse conditions. J08 0500 There are, of course, certain times during the 24-hour daily cycle J08 0510 when most of these conditions will be met. Certain other properties J08 0520 of small particles, in addition to those already mentioned in J08 0530 connection with penetration of the respiratory tract, are noteworthy J08 0540 in defense considerations. The smaller the particle the further it will J08 0550 travel downwind before settling out. An aerosol of such small particles. J08 0560 moreover, diffuses through structures in much the same manner as J08 0570 a gas. There may be a number of secondary effects resulting from diffusion J08 0580 through buildings such as widespread contamination of kitchens, J08 0590 restaurants, food stores, hospitals, etc&. Depending on the organism, J08 0600 there may be multiplication in some food or beverage products, i&e&, J08 0610 in milk for example. The secondary consequences from this could J08 0620 be very serious and must be taken into consideration in planning for J08 0630 defense. Something of the behavior of clouds of small particles J08 0640 can be illustrated by the following field trials: In the J08 0650 first trial an inert substance was disseminated from a boat travelling J08 0660 some ten miles off shore under appropriately selected meteorological J08 0670 conditions. Zinc cadmium sulfide in particles of 2 microns in size were J08 0680 disseminated. This material fluoresces under ultraviolet light which J08 0690 facilitates its sampling and assessment. Four hundred and fifty pounds J08 0700 was disseminated while the ship was traveling a distance of 156 J08 0710 miles. Figure 1 describes the results obtained in this trial. J08 0720 The particles traveled a maximum detected distance of some 450 miles. J08 0730 From these dosage isopleths it can be seen that an area of over 34,000 J08 0740 square miles was covered. These dosages could have been increased J08 0750 by increasing the source strength which was small in this case. J08 0760 The behavior of a biological aerosol, on a much smaller scale, is illustrated J08 0770 by a specific field trial conducted with a non-pathogenic organism. J08 0780 An aqueous suspension of the spores of , generally known as , was aerosolized J08 0800 using commercially available nozzles. A satisfactory cloud was produced J08 0810 even though these nozzles were only about 5 per cent efficient in J08 0820 producing an initial cloud in the size range of 1 to 5 microns. In this J08 0830 test, 130 gallons of a suspension, having a count of **f organisms J08 0840 per ~ml, or a total of approximately **f spores, was aerosolized. The J08 0850 spraying operation was conducted from the rear deck of a small Naval J08 0860 vessel, cruising two miles off-shore and vertical to an on-sure breeze. J08 0870 Spraying continued along a two-mile course. This operation J08 0880 was started at 5:00 p&m& and lasted for 29 minutes. There was J08 0890 a slight lapse condition, a moderate fog, and 100 per cent relative J08 0900 humidity. A network of sampling stations had been set up on shore. These J08 0910 were located at the homes of Government employees, in Government J08 0920 Offices, buildings and reservations within the trial area. A rough J08 0930 attempt was made to characterize the vertical profile of the cloud by J08 0940 taking samples from outside the windows on the first, ninth, and fifteenth J08 0950 floors of a Government office building. All samplers were J08 0960 operated for a period of two hours except one, which was operated J08 0970 for four hours. In this instance, there was a dosage of 562 during the J08 0980 first two hours and a total dosage of 1980 for the four-hour period, J08 0990 a four-fold increase. This suggests that the sampling period, particularly J08 1000 at the more distant locations, should have been increased. J08 1010 As can be seen from Figure 2, an extensive area was covered by this J08 1020 aerosol. The maximum distance sampled was 23 miles from the source. J08 1030 As can be seen from these dosage isopleths, approximately 100 square J08 1040 miles was covered within the area sampled. It is quite likely that J08 1050 an even greater area was covered, particularly downwind. The dosages J08 1060 in the three levels of the vertical profile were: **f This was J08 1070 not, of course, enough sampling to give a satisfactory description J08 1080 of the vertical diffusion of the aerosol. A number of unique medical J08 1090 problems might be created when man is exposed to an infectious J08 1100 agent through the respiratory route rather than by the natural portal J08 1105 of entry. J08 1110 Some agents have been shown to be much more toxic or infectious J08 1120 to experimental animals when exposed to aerosols of optimum particle J08 1130 size than by the natural portal. Botulinal toxin, for example, is several J08 1140 thousand-fold more toxic by this route than when given per os. J08 1150 In some instances a different clinical disease picture may result from J08 1160 this route of exposure, making diagnosis difficult. In tularemia produced J08 1170 by aerosol exposure, one would not expect to find the classical J08 1180 ulcer of "rabbit fever" on a finger. An enemy would obviously J08 1190 choose an agent that is believed to be highly infectious. Agents J08 1200 that are known to cause frequent infections among laboratory workers J08 1210 such as those causing ~Q fever, tularemia, brucellosis, glanders, J08 1220 coccidioidomycosis, etc&, belong in this category. An agent J08 1221 would J08 1230 likely be selected which would possess sufficient viability and virulence J08 1240 stability to meet realistic minimal logistic requirements. It J08 1250 is, obviously, a proper goal of research to improve on this property. J08 1260 In this connection it should be capable of being disseminated without J08 1270 excessive destruction. Moreover, it should not be so fastidious in J08 1280 its growth requirements as to make production on a militarily significant J08 1290 scale improbable. An aggressor would use an agent against J08 1300 which there was a minimal naturally acquired or artificially induced J08 1310 immunity in a target population. A solid immunity is the one effective J08 1320 circumstance whereby attack by a specific agent can be neutralized. J08 1330 It must be remembered, however, that there are many agents for which J08 1340 there is no solid immunity and a partial or low-grade immunity may be J08 1350 broken by an appropriate dose of agent. There is a broad spectrum J08 1360 of organisms from which selection for a specified military purpose J08 1370 might be made. An enemy might choose an acutely debilitating microorganism, J08 1380 a chronic disease producer or one causing a high rate of lethality. J08 1390 It is possible that certain mutational forms may be produced J08 1400 such as antibiotic resistant strains. Mutants may also be developed J08 1410 with changes in biochemical properties that are of importance in J08 1420 identification. All of these considerations are of critical importance J08 1430 in considering defense and medical management. Biological agents J08 1440 are, of course, highly host-specific. They do not destroy physical J08 1450 structures as is true of high explosives. This may be of overriding J08 1460 importance in considering military objectives. The question J08 1470 of epidemic disease merits some discussion. Only a limited effort has J08 1480 been devoted to this problem. Some of those who question the value J08 1490 of ~BW have assumed that the potential would be in the establishment J08 1500 of epidemics. They then point out that with our present lack J08 1510 of knowledge of all the factors concerned in the rise and fall J08 1520 of epidemics, it is unlikely that a planned episode could be initiated. J08 1530 They argue further (and somewhat contradictorily) that our knowledge J08 1540 and resources in preventive medicine would make it possible to control J08 1550 such an outbreak of disease. this is why this approach to ~BW J08 1560 defense has not been given major attention. Our major problem J08 1570 is what an enemy might accomplish in an initial attack on a target. This, J08 1580 of course, does not eliminate from consideration for this purpose J08 1590 agents that are associated naturally with epidemic disease. A hypothetical J08 1600 example will illustrate this point. Let us assume that it would J08 1610 be possible for an enemy to create an aerosol of the causative agent J08 1620 of epidemic typhus () over City ~A and J08 1630 that a large number of cases of typhus fever resulted therefrom. No epidemic J08 1640 was initiated nor was one expected because the population in City J08 1650 ~A was not lousy. Lousiness is a prerequisite for epidemic typhus. J08 1660 In this case, then, the military objective was accomplished with J08 1670 an epidemic agent solely through the results secured in the initial J08 1680 attack. This was done with full knowledge that there would be no epidemic. J08 1690 On the other hand, a similar attack might have been made on City J08 1700 ~B whose population was known to be lousy. One might expect some J08 1710 spread of the disease in this case resulting in increased effectiveness J08 1720 of the attack. The major defensive problems are concerned J08 1730 with the possibility of overt military delivery of biological agents from J08 1740 appropriate disseminating devices. It should be no more difficult J08 1750 to deliver such devices than other weapons. The same delivery vehicles- J08 1760 whether they be airplanes, submarines or guided missiles- should J08 1770 be usable. If it is possible for an enemy to put an atomic bomb on J08 1780 a city, it should be equally possible to put a cloud of biological agent J08 1790 over that city. Biological agents are, moreover, suitable J08 1800 for delivery through enemy sabotage which imposes many problems in defense. J08 1810 A few obvious target areas of great importance might be mentioned. J08 1820 The air conditioning and ventilating systems of large buildings are J08 1830 subject to attack. America is rapidly becoming a nation that uses J08 1840 processed, precooked and even predigested foods. This is an enormous J08 1850 industry that is subject to sabotage. One must include the preparation J08 1860 of soft drinks and the processing of milk and milk products. Huge J08 1870 industries are involved also in the production of biological products, J08 1880 drugs and cosmetics which are liable to this type of attack. J09 0010 A variety of techniques have been directed toward the isolation J09 0020 and study of blood group antibodies. These include low-temperature J09 0030 ethanol (Cohn) fractionation, electrophoresis, ultracentrifugation and J09 0040 column chromatography on ion exchange celluloses. Modifications of J09 0050 the last technique have been applied by several groups of investigators. J09 0060 Abelson and Rawson, using a stepwise elution scheme, fractionated J09 0070 whole sera containing ~ABO and ~Rh antibodies on diethylaminoethyl J09 0080 ~DEAE cellulose and carboxymethyl cellulose. Speer J09 0090 and coworkers, in a similar study of blood group antibodies of whole J09 0100 sera, used a series of gradients for elution from ~DEAE-cellulose. J09 0110 Fahey and Morrison used a single, continuous gradient at constant J09 0120 ~pH for the fractionation of anti-~A and anti-~B agglutinins J09 0130 from preisolated ~|g-globulin samples. In the J09 0140 present work whole sera have been fractionated by chromatography on J09 0145 ~DEAE-cellulose J09 0150 using single gradients similar to those described J09 0160 by Sober and Peterson, and certain chemical and serological properties J09 0170 of the fractions containing antibodies of the ~ABO and ~Rh J09 0180 systems have been described. #MATERIALS AND METHODS# _SAMPLES._ J09 0190 Serum samples were obtained from normal group ~A, group ~B J09 0200 and group ~O donors. Three of the anti-~Rh sera used were taken J09 0210 from recently sensitized individuals. One contained complete antibody J09 0220 and had a titer of 1:512 in saline. The second contained incomplete J09 0230 antibody and showed titers of 1:256 in albumin and 1:2048 by J09 0240 the indirect Coombs test. The third, containing the mixed type of complete J09 0250 and incomplete antibodies, had titers of 1:256 in saline, 1:512 J09 0260 in albumin and 1:1024 by the indirect Coombs test. In addition J09 0270 one serum was obtained from a donor (R& E&) who had been sensitized J09 0280 6 years previously. This serum exhibited titers of 1:16 in albumin J09 0290 and 1:256 by the indirect Coombs test. These antibody titers J09 0300 were determined by reaction with homozygous **f red cells. _SEROLOGICAL J09 0310 TECHNIQUE._ Anti-~A and anti-~B activities were determined J09 0320 in fractions from the sera of group ~A, group ~B or group ~O J09 0330 donors by the following tube agglutination methods. One drop of each J09 0340 sample was added to one drop of a 2% suspension of group **f or J09 0350 group ~B red cells in a small **f test tube. In several instances J09 0360 group ~O cells were also used as controls. The red cells were used J09 0370 within 2 days after donation and were washed with large amounts of saline J09 0380 before use. The mixtures of sample plus cell suspension were allowed J09 0390 to stand at room temperature for 1 ~hr. the tubes were then J09 0400 centrifuged at 1000 ~rpm for 1 ~min and examined macroscopically for J09 0410 agglutination. For the albumin method, equal volumes of 30% bovine J09 0420 albumin, sample and 2% cells suspended in saline were allowed to J09 0430 stand at room temperature for 1 ~hr and then were centrifuged at 1000 J09 0440 ~rpm for 1 ~min. All samples were tested by both the saline and J09 0450 albumin methods. The activities of fractions of sera containing ~Rh J09 0460 antibodies were tested by the saline, albumin and indirect Coombs J09 0470 techniques. Homozygous and heterozygous **f cells, **f and homozygous J09 0480 and heterozygous **f cells were used to test each sample; however, J09 0481 in the J09 0490 interest of clarity and conciseness only the results obtained with J09 0500 homozygous **f and homozygous **f cells will be presented here. J09 0510 The saline and albumin tests were performed as described for the ~ABO J09 0520 samples except that the mixture was incubated for 1 ~hr at 37`~C J09 0530 before centrifugation. The saline tubes were saved and used J09 0531 for J09 0540 the indirect Coombs test in the following manner. The cells were washed J09 0550 three times with saline, anti-human serum was added, the cells were J09 0560 resuspended, and the mixture was centrifuged at 1000 ~rpm for 1 ~min J09 0570 and examined for agglutination. The anti-human sera used were prepared J09 0580 by injecting whole human serum into rabbits. Those antisera shown J09 0590 by immunoelectrophoresis to be of the "broad spectrum" type were J09 0600 selected for used in the present study. The red cells for the J09 0610 ~Rh antibody tests were used within 3 days after drawing except J09 0620 for the **f cells, which had been glycerolized and stored at -20`~C J09 0630 for approximately 1 year. These cells were thawed at 37`~C for 30 J09 0640 ~min and were deglycerolized by alternately centrifuging and mixing J09 0650 with descending concentrations of glycerol solutions (20, 18, 10, 8, 4 J09 0660 and 2%). The cells were then washed three times with saline and resuspended J09 0670 to 2% in saline. _CHROMATOGRAPHY._ Blood samples were J09 0680 allowed to clot at room temperature for 3 ~hr, centrifuged and the J09 0681 serum J09 0690 was removed. The serum was measured volumetrically and subsequently J09 0700 dialyzed in the cold for at least 24 ~hr against three to four changes, J09 0710 approximately 750 ~ml each, of "starting buffer". This J09 0720 buffer, ~pH 8.6, was 0.005 ~M in **f and 0.039 ~M in J09 0725 tris(hydroxymethyl)-aminomethane J09 0730 (Tris). After dialysis the sample was centrifuged J09 0740 and the supernatant placed on a **f ~cm column of ~EEAE-cellulose J09 0750 equilibrated with starting buffer. The ~DEAE-cellulose, J09 0760 containing 0.78 ~mEq of ~N/g, was prepared in our laboratory J09 0770 by the method of Peterson and Sober (7) from powdered cellulose, 100-230 J09 0780 mesh. The small amount of insoluble material which precipitated J09 0790 during dialysis was suspended in approximately 5 ~ml of starting buffer, J09 0800 centrifuged, resuspended in 2.5 ~ml of isotonic saline and tested J09 0810 for antibody activity. The chromatography was done at 6`~C J09 0820 using gradient elution, essentially according to Sober and Peterson. J09 0830 The deep concave gradient employed (fig& 2) was obtained with J09 0840 a nine-chambered gradient elution device ("Varigrad", reference J09 0850 (8)) and has been described elsewhere. the other, a shallow concave J09 0860 gradient (Fig& 1), was produced with a so-called "cone-sphere" J09 0870 apparatus, the "cone" being a 2-liter Erlenmeyer flask J09 0880 and the "sphere," a 2-liter round-bottom flask. Each initially contained J09 0890 1700 ~ml of buffer; in the sphere was starting buffer and J09 0900 in the cone was final buffer, 0.50 ~M in both **f and Tris, ~pH J09 0901 4.1. J09 0910 A flow rate of 72 **f was used and 12 ~ml fractions were collected. J09 0920 Approximately 165 fractions were obtained from each column. J09 0930 These were read at 280 ~m|m in a Beckman model ~DU spectrophotometer J09 0940 and tested for antibody activity as described above. _PAPER J09 0950 ELECTROPHORESIS._ For protein identification, fractions from the J09 0960 column were concentrated by pervaporation against a stream of air at 5`~C J09 0970 or by negative pressure dialysis in an apparatus which permitted J09 0980 simultaneous concentration of the protein and dialysis against isotonic J09 0990 saline. During the latter procedure the temperature was maintained J09 1000 at 2`~C by surrounding the apparatus with ice. Because negative J09 1001 pressure J09 1010 dialysis gave better recovery of proteins, permitted detection J09 1020 of proteins concentrated from very dilute solutions and was a gentler J09 1030 procedure, it was used in all but the earliest experiments. Paper J09 1040 electrophoresis was carried out on the concentrated samples in a Spinco J09 1050 model ~R cell using barbital buffer, ~pH 8.6, ionic strength J09 1060 0.075, at room temperature on Whatman ~3MM filter paper. Five J09 1070 milliamperes/cell were applied for 18 ~hr, after which the strips J09 1080 were stained with bromphenol blue and densitometry was carried out using J09 1090 a Spinco Analytrol. When paper electrophoresis was to be J09 1100 used for preparation, eight strips of a whole serum sample or a chromatographic J09 1110 fraction concentrated by negative pressure dialysis were run/chamber J09 1120 under the conditions described above. At the end of the run, J09 1130 the strips in the third and sixth positions in each chamber were dried, J09 1140 stained for 1 ~hr, washed and dried, while the other strips were J09 1150 maintained in a horizontal position at 1`~C. The unstained strips J09 1151 were J09 1160 then marked, using the stained ones as a guide, and cut transversely J09 1170 so as to separate the various protein bands. The strip sections containing J09 1180 a given protein were pooled, eluted with 0.5 ~ml of isotonic J09 1190 saline, and the eluates were tested for antibody activity. _ULTRACENTRIFUGATION._ J09 1200 Fractions from the column which were to be subjected J09 1210 to analytical ultracentrifugation were concentrated by negative pressure J09 1220 dialysis and dialyzed for 16 ~hr in the cold against at least 500 J09 1230 volumes of phosphate-buffered saline, ~pH 7.2, ionic strength 0.154. J09 1240 They were then centrifuged at 59,780 ~rpm for 35 to 80 ~min J09 1250 at 20`~C in a Spinco model ~E ultracentrifuge at a protein concentration J09 1260 of 1.00 to 1.25%. Sedimentation coefficients were computed J09 1270 as **f values and relative amounts of the various components were calculated J09 1280 from the Schlieren patterns. For preparative ultracentrifugation, J09 1290 fractions from the column were concentrated by negative pressure J09 1300 dialysis to volumes of 1 ~ml or less, transferred to cellulose J09 1310 tubes and diluted to 12 ~ml with isotonic saline. Ultracentrifugation J09 1320 was then carried out in a Spinco model ~L ultracentrifuge at J09 1330 40,000 ~rpm for 125 to 150 ~min, refrigeration being used throughout J09 1340 the run. Successive 1-~ml fractions were then drawn off with a J09 1350 hypodermic syringe, starting at the top of the tube, and tested for agglutinin J09 1360 activity. Other methods will be described below. J09 1370 #EXPERIMENTAL AND RESULTS# The insoluble material which precipitated J09 1380 during dialysis against starting buffer always showed intense agglutinin J09 1390 activity, regardless of the blood group of the donor. With either J09 1400 of the gradients described, chromatography on ~DEAE-cellulose J09 1410 separated agglutinins of the ~ABO series into at least three regions J09 1420 (Figs& 1 and 2): one of extremely low anionic binding capacity, J09 1430 one of low anionic binding capacity and one of high anionic binding J09 1440 capacity. These have been labeled Regions 1, 2, and 4, respectively, J09 1450 in Fig& 1. When the early part of the gradient was flattened, J09 1460 either by using the gradient shown in Fig& 2 or by allowing the "cone-sphere" J09 1470 gradient to become established more slowly, Region 2 activity J09 1480 could sometimes be separated into two areas (donors P& J& J09 1490 and R& S&, Fig& 1 and E& M&, Fig& 2). The latter J09 1500 procedure gave rise to a small active protein peak (Region 1a) between J09 1510 Regions 1 and 2. In 2 of 15 experiments on whole serum a region of J09 1520 agglutinin activity with intermediate anionic binding capacity was detected J09 1530 (Region 3, Fig& 1). Moreover, after concentration using negative J09 1540 pressure dialysis, agglutinin activity could sometimes be detected J09 1550 in the region designated 2a (donors P& J&, D& A&, and J09 1560 J& F&, Fig& 1). Not all these regions exhibited equal J09 1570 agglutinating activity, as evidenced by titer and the extent of the J09 1580 active areas. In all cases, most of the activity lay in the region of J09 1590 high anionic binding capacity. This was particularly noticeable in group J09 1600 ~A and group ~B sera, in which cases activity in Regions 1 J09 1610 and 2 was usually not detectable without prior concentration and occasionally J09 1620 could not be detected at all. There appeared to be no difference J09 1630 in the distribution of anti-~A and anti-~B activity in group J09 1640 ~O serum, though in two group ~O donors (J& F& and E& J09 1650 M&) only one type of agglutinin was found in the regions of low anionic J09 1660 binding capacity (Figs& 1 and 2). Several samples of J09 1670 citrated plasma were fractionated in our laboratory by Method 6 of Cohn J09 1680 &. These fractions were tested for ~ABO agglutinin J09 1690 activity, using fractions from group ~AB plasma as a control. J09 1700 As expected, most of the activity was found in Fraction **f, with J09 1710 slight activity seen in Fraction /4,-1. A sample of Fraction **f J09 1720 from group ~O plasma was dissolved in starting buffer, dialyzed against J09 1730 this buffer and subjected to chromatography using the gradient shown J09 1740 in Fig& 2. Once again, both anti-~A and anti-~B activities J09 1750 were found in the insoluble material precipitated during dialysis. J09 1760 Similarly, both types of antibodies were found in three regions of the J09 1770 chromatographic eluate, having extremely low, low, and high anionic J09 1780 binding capacity, respectively (Fig& 3). Chromatography of J09 1790 whole sera revealed that the areas of ~Rh antibody activity were generally J09 1800 continuous and wide. The incomplete antibody activity appeared J09 1810 in the early part of the chromatogram; the complete, in the latter J09 1820 part. The serum containing the mixed type of complete and incomplete J09 1830 antibodies showed activity in both regions (Fig& 1). In all cases J09 1840 the activity against **f cells was spread over a wider area than that J09 1850 with **f cells, regardless of the type of test (saline, albumin, indirect J09 1860 Coombs) used for comparison. The insoluble material resulting J09 1870 from dialysis against starting buffer always showed strong activity. In J09 1880 fact agglutination of **f cells in saline could be produced by the J09 1890 insoluble material from sera containing "only" incomplete antibody J09 1900 activity. This was later known to be the result of concentrating the J09 1910 minute amount of complete antibody found in these sera; when the insoluble J09 1920 fraction was suspended in a volume of saline equal to that of J09 1930 the original serum sample, no complete antibody activity could be detected. J10 0010 Apart from the honeybee, practically all bees and bumblebees J10 0020 hibernate in a state of torpor. Occasionally, you may come across one J10 0030 or two bumblebees in the cold season, when you are turning over sods J10 0040 in your garden, but you have to be a really keen observer to see them J10 0050 at all. They keep their wings and feet pressed tightly against their J10 0060 bodies, and in spite of their often colorful attire you may very well J10 0070 mistake them for lumps of dirt. I must add at once that these animals J10 0080 are what we call "queens", young females that have mated in the previous J10 0090 summer or autumn. It is on them alone that the future of their J10 0100 race depends, for all their relatives (mothers, husbands, brothers, J10 0110 and unmated sisters) have perished with the arrival of the cold weather. J10 0120 Even some of the queens will die before the winter is over, falling J10 0130 prey to enemies or disease. The survivors emerge on some nice, sunny J10 0140 day in March or April, when the temperature is close to 50` ~F J10 0150 and there is not too much wind. Now the thing for us to do is to find J10 0160 ourselves a couple of those wonderful flowering currants such as the J10 0170 red of our Pacific Northwest, or otherwise a J10 0180 good sloe tree, or perhaps some nice pussy willow in bloom, preferably J10 0190 one with male or staminate catkins. The blooms of and of J10 0200 the willow and sloe are the places where large numbers of our early insects J10 0210 will assemble: honeybees, bumblebees, and other wild bees, and J10 0220 also various kinds of flies. It is a happy, buzzing crowd. Each J10 0230 male willow catkin is composed of a large number of small flowers. J10 0240 It is not difficult to see that the stamens of the catkin are always J10 0250 arranged in pairs, and that each individual flower is nothing but one J10 0260 such pair standing on a green, black-tipped little scale. By scrutinizing J10 0270 the flowers, one can also notice that the scale bears one or two J10 0280 tiny warts. Those are the nectaries or honey glands (Fig& 26, page J10 0290 74). The staminate willow catkins, then, provide their visitors with J10 0300 both nectar and pollen; a marvelous arrangement, for it provides J10 0310 exactly what the bee queens need to make their beebread, a combination J10 0320 of honey and pollen with which the young of all species are fed. The J10 0330 only exception to this is certain bees that have become parasites. I J10 0340 will deal with these later on. Quite often, honeybees form a J10 0350 majority on the willow catkins. As we have already seen in the first J10 0360 chapter, bumblebees are bigger, hairier, and much more colorful than honeybees, J10 0370 exhibiting various combinations of black, yellow, white and J10 0380 orange. Let us not try to key them out at this stage of the game, and J10 0390 let us just call them ; there must be several dozen species J10 0400 in the J10 0410 United States alone. If you really insist on knowing their names, J10 0420 an excellent book on the North American species is by O& E& Plath. If we manage to keep track J10 0440 of a queen after she has left her feeding place, we may J10 0450 discover the snug little hideout which she has fixed up for herself J10 0460 when she woke up from her winter sleep. As befits a queen, a bumblebee J10 0470 female is rather choosy and may spend considerable time searching for J10 0480 a suitable nesting place. Most species seem to prefer a ready-made J10 0490 hollow such as a deserted mouse nest, a bird house, or the hole made J10 0500 by a woodpecker; some show a definite liking for making their nest in J10 0510 moss. Once she has made up her mind, the queen starts out by constructing, J10 0520 in her chosen abode, a small "floor" of dried grass or some J10 0530 woolly material. On this, she builds an "egg compartment" or "egg J10 0550 cell" which is filled with that famous pollen-and-nectar mixture J10 0560 called beebread. She also builds one or two waxen cups which she fills J10 0570 with honey. Then, a group of eggs is deposited in a cavity in the J10 0580 beebread loaf and the egg compartment is closed. The queen afterward J10 0590 keeps incubating and guarding her eggs like a mother hen, taking a sip J10 0600 from time to time from the rather liquid honey in her honey pots. When J10 0610 the larvae hatch, they feed on the beebread, although they also receive J10 0620 extra honey meals from their mother. She continues to add to the J10 0630 pollen supply as needed. The larvae, kept warm by the queen, J10 0640 are full grown in about ten days. Each now makes a tough, papery cocoon J10 0650 and pupates. After another two weeks, the first young emerge, four J10 0660 to eight small daughters that begin to play the role of worker bees, J10 0670 collecting pollen and nectar in the field and caring for the new young J10 0680 generation while the queen retires to a life of egg laying. The first J10 0690 worker bees do not mate or lay eggs; males and mating females do not J10 0700 emerge until later in the season. The broods of workers that appear J10 0710 later tend to be bigger than the first ones, probably because they are J10 0720 better fed. By the middle of the summer, many of the larvae apparently J10 0730 receive such a good diet that it is "optimal", and it is then J10 0740 that young queens begin to appear. Simultaneously, males or drones are J10 0750 produced, mostly from the unfertilized eggs of workers, although a J10 0760 few may be produced by the queen. The young queens and drones leave the J10 0770 nest and mate, and after a short period of freedom, the fertilized J10 0780 young J10 0790 queens will begin to dig in for the winter. It is an amazing fact that J10 0800 in some species this will happen while the summer is still in full J10 0810 swing, for instance, in August. The temperature then is still very J10 0820 high. At the old nest, the queen will in the early fall cease to lay J10 0830 the fertilized eggs that will produce females. As a result, the proportion J10 0840 of males (which leave the nest) increases, and eventually the old J10 0850 colony will die out completely. The nest itself, the structure that J10 0860 in some cases housed about 2,000 individuals when the season was at its J10 0870 peak, is now rapidly destroyed by the scavenging larvae of certain J10 0880 beetles and moths. Not always, though, does the development of J10 0890 a bumblebee colony take place in the smooth fashion we have just described. J10 0900 Some members of the bee family have become idlers, social parasites J10 0910 that live at the expense of their hardworking relatives. Bumblebees J10 0920 can thus suffer severely from the onslaughts of , the J10 0930 "cuckoo-bumblebee" as it is called in some European countries. J10 0940 Female individuals of look deceptively like the workers J10 0950 and queens of the bumblebees they victimize. The one sure way to tell J10 0960 victim and villain apart is to examine the hind legs which in the J10 0970 case of the idler, , lack the pollen baskets- naturally! J10 0990 The female parasite spends much time in her efforts to find a nest J10 1000 of her host. When she succeeds, she usually manages to slip in unobtrusively, J10 1010 to deposit an egg on a completed loaf of beebread before the J10 1020 bumblebees seal the egg compartment. The hosts never seem to recognize J10 1030 that something is amiss, so that the compartment afterward is sealed J10 1040 normally. Thus, the larvae of the intruder can develop at the expense J10 1050 of the rightful inhabitants and the store of beebread. Later on, they J10 1060 and the mother are fed by the workers. J10 1070 Worse still, in a number of cases it has been claimed that the J10 1080 female kills off the queen. But let us return, J10 1090 after this gruesome interlude, to our willow catkins in the spring; J10 1100 there are other wild bees that command our attention. It J10 1110 is almost certain that some of these, usually a trifle smaller than the J10 1120 honeybees, are andrenas or mining bees. There are about 200 different J10 1130 kinds of in Europe alone. One of my favorites is , a species very common in England, where it is sometimes J10 1150 referred to as the lawn bee. The females like to burrow in the short J10 1160 turf of well-kept lawns, where their little mounds of earth often appear J10 1170 by the hundreds. Almost equal in size to a honeybee. J10 1180 is much more beautiful in color, at least in the female of the species: J10 1190 a rich, velvety, rusty red. The males are much duller. J10 1200 After having mated, an female digs a hole straight down J10 1210 into the ground, forming a burrow about the size of a lead pencil. J10 1220 The bottom part of a burrow has a number of side tunnels or "cells", J10 1230 each of which is provided with an egg plus a store of beebread. The J10 1240 development of the larvae is very rapid, so that by the J10 1250 end of spring they have already pupated and become adults. But they J10 1260 are still enclosed in their larval cells and remain there throughout J10 1270 the summer, fall, and winter. Their appearance, next spring, coincides J10 1280 in an almost uncanny way with the flowering of their host plants. J10 1290 In the Sacramento valley in California, for instance, it has been observed J10 1300 that there was not one day's difference between the emergence J10 1310 of the andrenas and the opening of the willow catkins. This must be J10 1320 due to a completely identical response to the weather, in the plant and J10 1330 the animal. After the male and female andrenas have mated, J10 1340 the cycle is repeated. Although is gregarious, so that we J10 1350 may find hundreds and hundreds of burrows together, we must still call J10 1360 it a solitary bee. Its life history is much simpler than that of the J10 1370 truly colonial bumblebees and can serve as an example of the life J10 1380 cycle of many other species. After all, social life in the group of J10 1390 the bees is by no means general, although it certainly is a striking J10 1400 feature. On the basis of its life history, we like to think that J10 1410 is more primitive than the bumblebees. The way in which it transports J10 1420 its pollen is not so perfect, either. It lacks pollen baskets J10 1430 and possesses only a large number of long, branched hairs on its legs, J10 1440 on which the pollen grains will collect. Still will J10 1450 do a reasonably good job, so that an animal with a full pollen load looks J10 1460 like a gay little piece of yellow down floating in the wind. J10 1470 Closely related to the andrenas are the nomias or alkali bees. can be found in tremendous numbers in certain parts of J10 1490 the United States west of the Great Plains, for example, in Utah J10 1500 and central Washington. In the United States Department of Agriculture's J10 1510 , which is devoted entirely J10 1520 to insects, George E& Bohart mentions a site in Utah which J10 1530 was estimated to contain 200,000 nesting females. Often the burrows J10 1540 are only an inch or two apart, and the bee cities cover several acres. J10 1550 The life history of the alkali bee is similar to that of , J10 1560 but the first activity of the adults does not take place until summer, J10 1570 and the individuals hibernate in the prepupal stage. In most places, J10 1580 there are two generations a year, a second brood of adults appearing J10 1590 late in the summer. I must plead guilty to a special sympathy J10 1600 for nomias. This may just be pride in my adopted State of Washington, J10 1610 but certainly I love to visit their mound cities near Yakima and J10 1620 Prosser in July or August, when the bees are in their most active J10 1630 period. The name "alkali bee" indicates that one has to look for J10 1640 them in rather inhospitable places. Sometimes, although by no means J10 1650 always, these are indeed alkaline. The thing is that these bees love J10 1670 a fine-grained soil that is moist; yet the water in the ground should J10 1680 not be stagnant either. They dislike dense vegetation. Where does J10 1690 one find such conditions? The best chance, of course, is offered by J10 1700 gently sloping terrain where the water remains close to the surface and J10 1710 where the air is dry, so that a high evaporation leaves salty deposits J10 1720 which permit only sparse plant growth. J11 0010 Many other (probably nearly all) snakes at maturity are already more J11 0020 than half their final length. Laurence M& Klauber put length at maturity J11 0030 at two thirds the ultimate length for some rattlesnakes, and Charles J11 0040 C& Carpenter's data on Michigan garter and ribbon snakes J11 0050 () show that the smallest gravid females are more than J11 0060 half as long as the biggest adults. Felix Kopstein states that "when J11 0070 the snake reaches its maturity it has already reached about its maximal J11 0080 length", but goes on to cite the reticulate python as an exception, J11 0090 with maximum length approximately three times that at maturity. J11 0100 It is hard to understand how he concluded that most snakes do not grow J11 0110 appreciably after attaining maturity; he was working with species J11 0120 of Java, so perhaps some tropical snakes are unusual in this respect. J11 0130 Certain individual giants recorded later did fail to show a reasonable J11 0140 difference after maturity, but it is impossible to know whether this J11 0150 is due to captive conditions. Additional records of slow growth have J11 0160 been omitted. It is possible to make a few generalizations about J11 0170 the six giants themselves. There seems to be a rough correlation J11 0180 between the initial and ultimate lengths, starting with the smallest J11 0190 (boa constrictor) and ending with the largest (anaconda). Data on the J11 0200 former are scanty, but there can be little doubt that the latter is sometimes J11 0210 born at a length greater than that of any of the others, thereby J11 0220 lending support to the belief that the anaconda does, indeed, attain J11 0230 the greatest length. For four of the six (the anaconda and the amethystine J11 0240 python cannot be included for lack of data) there is also a correlation J11 0250 between size at maturity and maximum length, the boa constrictor J11 0260 being the smallest and the Indian python the next in size at the J11 0270 former stage. Let us speculate a little on the maximum size J11 0280 of the anaconda. If, in a certain part of the range, it starts life 1 J11 0290 foot longer than do any of the other (relatively large) giants, and reaches J11 0300 maturity at, let us guess, 18 inches longer than the others, a J11 0310 quadrupling of the maturity length would result in a maximum of (nearly) J11 0320 40 feet. When it comes to rate of early growth, the Indian J11 0330 python leads with a figure of about 3 feet 6 inches per year for the J11 0340 first two years, more or less. The African rock python, a close second, J11 0350 is followed in turn by the reticulate python. There are few data J11 0360 on the boa constrictor, those for the anaconda are unconvincing, and J11 0370 there is nothing at all on the amethystine python. It seems likely that J11 0380 the Indian python comes out ahead because records of its growth have J11 0390 been made more carefully and frequently; it responds exceptionally J11 0400 well to captivity and does not reach proportions that make it hard to J11 0410 keep. I cannot make sense out of the figures for post maturity J11 0420 growth; at best the annual increase appears to be a matter of inches J11 0430 rather than feet. Until better records have been kept over longer J11 0440 periods of time and much more is known about the maximum dimensions, J11 0450 it will be wise to refrain from drawing conclusions. It is often J11 0451 stated J11 0460 that the largest snakes require five years to attain maturity, but J11 0470 this apparently is an overestimation. The best way to determine the J11 0480 correct figure (in captives) is by direct observation of pairs isolated J11 0490 from birth, a method that produced surprising results: maturing of J11 0500 a male Indian python in less than two years, his mate in less than three; J11 0510 data on the boa constrictor about match this. Another approach J11 0520 is to estimate from the rate of growth and the smallest size at J11 0530 maturity. Results from this approach amply confirm the direct observations: J11 0540 about three years are required, there being a possible slight J11 0550 difference between males and females in the time required. Only the J11 0560 amethystine python and the anaconda must be excluded for lack or paucity J11 0570 of data. The following information on snakes varying greatly J11 0580 in size (but all with less than a 10-foot maximum) shows, when considered J11 0590 with the foregoing, that there is probably no correlation between J11 0600 the length of a snake and the time required for it to mature. Oliver, J11 0610 in his summary of the habits of the snakes of the United States, J11 0620 could supply data on the maturing period for only three species in addition J11 0630 to the rattlers, which I shall consider separately. These three J11 0640 were much alike: lined snake (), one year and J11 0650 nine months; red-bellied snake (), two years; cottonmouth J11 0660 (), two years. Klauber investigated the rattlesnakes J11 0670 carefully himself and also summarized what others have found. He J11 0680 concluded that in the southern species, which are rapidly growing types, J11 0690 females mate at the age of two and a half and bear the first young J11 0700 when they are three. Other herpetologists have ascertained that in J11 0710 the northern United States the prairie rattlesnake may not give first J11 0720 birth until it is four or even five years old, and that the young may J11 0730 be born every other year, rather than annually. Carpenter's study J11 0740 showed that female common garter and ribbon snakes of Michigan mature J11 0750 at about the age of two. #MAXIMUM LENGTH# Oversized monsters are J11 0760 never brought home either alive or preserved, and field measurements J11 0770 are obviously open to doubt because of the universal tendency to exaggerate J11 0780 dimensions. Measurements of skins are of little value; every J11 0790 snake hide is noticeably longer than its carcass and intentional stretching J11 0800 presents no difficulty to the unscrupulous explorer. In J11 0810 spite of all the pitfalls, there is a certain amount of agreement on J11 0820 some of the giants. The anaconda proves to be the fly in the ointment, J11 0830 but the reason for this is not clear; the relatively wild conditions J11 0840 still found in tropical South America might be responsible. J11 0850 There are three levels on which to treat the subject. The first is J11 0860 the strictly scientific, which demands concrete proof and therefore may J11 0870 err on the conservative side by waiting for evidence in the flesh. This J11 0880 approach rejects virtually all field measurements. The next level J11 0890 attempts to weigh varied evidence and come to a balanced, sensible conclusion; J11 0900 field measurements by experienced explorers are not rejected, J11 0910 and even reports of a less scientific nature are duly evaluated. J11 0920 The third level leans on a belief that a lot of smoke means some fire. J11 0930 The argument against this last approach is comparable to that which J11 0940 rejects stories about hoop snakes, about snakes that break themselves J11 0950 into many pieces and join up again, or even of ghosts that chase people J11 0960 out of graveyards; the mere piling up of testimony does not prove, J11 0970 to the scientific mind, the existence of hoop snakes, joint snakes, J11 0980 or ghosts. Oliver has recently used the second-level approach J11 0990 with the largest snakes, and has come to these conclusions: the anaconda J11 1000 reaches a length of at least 37 feet, the reticulate python 33, J11 1010 the African rock python 25, the amethystine python at least 22, the Indian J11 1020 python 20, and the boa constrictor 18-1/2. Bernard Heuvelmans J11 1030 also treats of the largest snakes, but on the third level, and J11 1040 is chiefly concerned with the anaconda. He reasons that as anacondas J11 1050 30 feet long are often found, some might be 38, and occasional "monstrous J11 1060 freaks" over 50. He rejects dimensions of 70 feet and more. J11 1070 His thirteenth chapter includes many exciting accounts of huge serpents J11 1080 with prodigious strength, but these seem to be given to complete his J11 1090 picture, not to be believed. Detailed information on record J11 1100 lengths of the giants is given in the section that follows. #GROWTH J11 1110 OF THE SIX GIANTS# Discussions of the giants one by one will include, J11 1120 as far as possible, data on these aspects of growth: size at which J11 1130 life is started and at which sexual maturity is reached; time required J11 1140 to reach maturity; rate of growth both before and after this crucial J11 1150 stage; and maximum length, with confirmation or amplification J11 1160 of Oliver's figures. Definite information on the growth of senile J11 1170 individuals is lacking. _ANACONDA:_ At birth, this species varies J11 1180 considerably in size. A brood of twenty-eight born at Brookfield J11 1190 Zoo, near Chicago, ranged in length from 22 to 33-1/2 inches and averaged J11 1200 29 inches. Lawrence E& Griffin gives measurements of nineteen J11 1210 young anacondas, presumably members of a brood, from "South America"; J11 1220 the extreme measurements of these fall between the lower limit J11 1230 of the Brookfield brood and its average. Raymond L& Ditmars J11 1240 had J11 1250 two broods that averaged 27 inches. R& R& Mole and F& W& J11 1260 Urich give approximately 20 inches as the average length of a brood J11 1270 of thirty from the region of the Orinoco estuaries. William Beebe J11 1280 reports 26 inches and 2.4 ounces (this snake must have been emaciated) J11 1290 for the length and the weight of a young anaconda from British Guiana. J11 1300 In contrast, Ditmars recorded the average length of seventy-two J11 1310 young of a 19-foot female as 38 inches, and four young were born in London J11 1320 at a length of 35 or 36 inches and a weight of from 14 to 16 ounces. J11 1330 Beebe had a 3-foot anaconda that weighed only 9.8 ounces. A difference J11 1340 between subspecies might explain the great range in size. J11 1350 I have little information on the anaconda's rate of growth. Hans J11 1370 Schweizer had one that increased from 19-1/2 inches to 5 feet 3 inches J11 1380 in five years, and J& J& Quelch records a growth of from less J11 1390 than 4 feet to nearly 10 in about six years. It is very unlikely that J11 1400 either of these anacondas was growing at a normal rate. In 1948, J11 1410 Afranio do Amaral, the noted Brazilian herpetologist, wrote a J11 1420 technical paper on the giant snakes. He concluded that the anaconda's J11 1430 maximum length is 12 or 13 (perhaps 14) meters, which would approximate J11 1440 from 39 to 42 feet (14 meters is slightly less that 46 feet). Thus, J11 1450 his estimate lies between Oliver's suggestion of at least 37 feet J11 1460 and the 50-foot "monstrous freaks" intimated by Heuvelmans. J11 1470 The most convincing recent measurement of an anaconda was made in J11 1480 eastern Colombia by Roberto Lamon, a petroleum geologist of the Richmond J11 1490 Oil Company, and reported in 1944 by Emmett R& Dunn. However, J11 1500 as a field measurement, it is open to question. Oliver's 37-1/2 J11 1510 feet is partly based on this report and can be accepted as probable. J11 1520 However, many herpetologists remain skeptical and would prefer J11 1530 a tentative maximum of about 30 feet. It is possible that especially J11 1540 large anacondas will prove to belong to subspecies limited to J11 1550 a small area. In snakes difference in size is a common characteristic J11 1560 of subspecies. _BOA CONSTRICTOR:_ A Colombian female's brood J11 1570 of sixteen boa constrictors born in the Staten Island Zoo averaged J11 1580 20 inches. This birth length seems to be typical. When some thirteen J11 1590 records of newly and recently born individuals are collated, little J11 1600 or no correlation between length and distribution can be detected. The J11 1610 range is from 14 to 25 inches; the former figure is based on a somewhat J11 1620 unusual birth of four by a Central American female (see chapter J11 1630 on Laying, Brooding, Hatching, and Birth), the latter on a "normal" J11 1640 newly born individual. However, as so many of the records are J11 1650 not certainly based on newborn snakes, these data must be taken tentatively; J11 1660 final conclusions will have to await the measurements of broods J11 1670 from definite localities. Alphonse R& Hoge's measurements J11 1680 of several very young specimens from Brazil suggest that at birth the J11 1690 female is slightly larger than the male. I have surprisingly little J11 1700 information on the size and age at maturity. Carl Kauffeld has J11 1710 written to me of sexual activity in February 1943 of young born in March J11 1720 1940. One female, collected on an island off the coast of Nicaragua, J11 1730 was gravid and measured 4 feet 8 inches from J11 1740 (her tail should be between 6 and 7 inches long). The female from Central J11 1750 America which gave birth to four was only 3 feet 11 inches long. J11 1760 What data there are on growth indicate considerable variation J11 1770 in rate; unfortunately, no one has kept complete records of one individual, J11 1780 whereas many have been made for a very short period of time. J11 1790 The results are too varied to allow generalization. J12 0010 The bronchus and pulmonary artery in this lung type maintain a close J12 0020 relationship throughout. The pulmonary vein, however, without the limiting J12 0030 supportive tissue septa as in type /1,, follows a more direct J12 0031 path J12 0040 to the hilum and does not maintain this close relationship (figs& 8, J12 0050 22). Another marked difference is noted here. The pulmonary artery, J12 0060 in addition to supplying the distal portion of the respiratory bronchiole, J12 0070 the alveolar duct, and the alveoli, continues on and directly supplies J12 0080 the thin pleura (fig& 8). The bronchial artery, except for a J12 0090 small number of short branches in the hilum, contributes none of the J12 0100 pleural blood supply. It does, as in type /1,, supply the hilar lymph J12 0110 nodes, the pulmonary artery, the pulmonary vein, the bronchi, and the J12 0120 bronchioles- terminating in a common capillary bed with the pulmonary J12 0130 artery at the level of the respiratory bronchiole. No bronchial artery-pulmonary J12 0140 artery anastomoses were noted in this group. Lung J12 0150 type /3, (fig& 3) is to some degree a composite of types /1, J12 0160 and /2,. It is characterized by the presence of incompletely developed J12 0170 secondary lobules; well defined, but haphazardly arranged, interlobular J12 0180 septa and a thick, remarkably vascular pleura (fig& 9). The J12 0190 most distal airways are similar to those found in type /1,, being J12 0200 composed of numerous, apparently true terminal bronchioles and occasional, J12 0210 poorly developed respiratory bronchioles (figs& 14, 15). In this J12 0220 instance, because of incomplete septation, the secondary lobule does J12 0230 not constitute in itself what appears to be a small individual lung J12 0240 as in type /1,. Air-drifts from one area to another are, therefore, J12 0250 conceivable. Distally the bronchus is situated between a pulmonary artery J12 0260 on one side and a pulmonary vein on the other, as in type /1, J12 0270 (fig& 24). This relationship, however, is not maintained centrally. J12 0280 Here the pulmonary vein, as in type /2,, is noted to draw away from J12 0290 the bronchus, and to follow a more direct, independent course to the J12 0300 hilum (figs& 23, 24). The bronchial artery in its course and distribution J12 0310 differs somewhat from that found in other mammals. As seen in J12 0320 types /1, and /2,, it supplies the hilar lymph nodes, vasa vasorum J12 0330 to the pulmonary artery and vein, the bronchi and the terminal bronchioles. J12 0340 As in type /1,, it provides arterial blood to the interlobular J12 0350 septa, and an extremely rich anastomotic pleural supply is seen (figs& J12 0360 9, 10). This pleural supply is derived both from hilar and interlobular J12 0370 bronchial artery branches. Such a dual derivation was strikingly J12 0380 demonstrated during the injection process where initial filling J12 0390 would be noted to occur in several isolated pleural vessels at once. Some J12 0400 of these were obviously filling from interlobular branches of the J12 0410 bronchial arteries while others were filling from direct hilar branches J12 0420 following along the pleural surface. With completion of filling, net-like J12 0430 anastomoses were noted to be present between these separately J12 0440 derived branches. An unusual increase in the number of bronchial arteries J12 0450 present within the substance of the lung was noted. This was accounted J12 0460 for primarily by the presence of a bronchial artery closely following J12 0470 the pulmonary artery. The diameter of this bronchial artery was J12 0480 much too large for it to be a mere vasa vasorum (figs& 16, 23, 24). J12 0490 In distal regions its diameter would be one-fourth to one-fifth that J12 0500 of the pulmonary artery. This vessel could be followed to the parenchyma J12 0510 where it directly provided bronchial arterial blood to the alveolar J12 0520 capillary bed (figs& 17, 18). Also three other direct pathways J12 0530 of alveolar bronchial arterial supply were noted: via the pleura; J12 0540 through the interlobular septa; and along the terminal bronchiole (figs& J12 0550 14, 17, 18, 19). One bronchial arteriolar-pulmonary arteriolar J12 0560 anastomosis was noted at the terminal bronchiolar level (fig& 26). J12 0570 #DISCUSSION# It is evident that many marked and striking differences J12 0580 exist between lungs when an inter-species comparison is made. The J12 0590 significance of these differences has not been studied nor has the existence J12 0600 of corresponding physiologic differences been determined. However, J12 0610 the dynamics of airflow, from morphologic considerations alone, J12 0620 may conceivably be different in the monkey than in the horse. The volume J12 0630 and, perhaps, even the characteristics of bronchial arterial blood J12 0640 flow might be different in the dog than in the horse. Also, interlobular J12 0650 air drifts may be all but nonexistent in the cow; probably occur J12 0660 in the horse much as in the human being; and, in contrast are present J12 0670 to a relatively immense degree on a segmental basis in the dog where J12 0680 lobules are absent (Van Allen and Lindskog, '31). A reason J12 0690 for such wide variation in the pulmonary morphology is entirely lacking J12 0700 at present. Within certain wide limits anatomy dictates function J12 0710 and, if one is permitted to speculate, potential pathology should J12 0720 be included in this statement as well. For example, the marked susceptibility J12 0730 of the monkey to respiratory infection might be related to its J12 0740 delicate, long alveolar ducts and short, large bronchioles situated J12 0750 within a parenchyma entirely lacking in protective supportive tissue J12 0760 barriers such as those found in types /1, and /3,. One might also J12 0770 wonder if monkeys are capable of developing bronchiolitis as we know J12 0780 it in man or the horse. In addition, it would be difficult to imagine J12 0790 chronic generalized emphysema occurring in a cow, considering its marked J12 0800 lobular development but, conversely, not difficult to imagine this J12 0810 occurring in the horse or the dog. Anatomically, the horse lung J12 0820 appears to be remarkably like that of man, insofar as this can be ascertained J12 0830 from comparison of our findings in the horse with those of J12 0840 others (Birnbaum, '54) in the human being. The only area in which J12 0850 one might find major disagreement in this matter is in regard to the alveolar J12 0860 distribution of the bronchial arteries. As early as 1858, Le J12 0870 Fort claimed an alveolar distribution of the bronchial arteries in human J12 0880 beings. In 1951, this was reaffirmed by Cudkowicz. The opposition J12 0890 to this point of view has its staunchest support in the work of Miller J12 0900 ('50). Apparently, however, Miller has relied heavily on the J12 0910 anatomy in dogs and cats, and he has been criticized for using pathologic J12 0920 human material in his normal study (Loosli, '38). Although Miller J12 0930 noted in 1907 that a difference in the pleural blood supply existed J12 0940 between animals, nowhere in his published works is it found that he J12 0950 did a comparative study of the intrapulmonary features of various mammalian J12 0960 lungs other than in the dog and cat (Miller, '13; '25). J12 0970 The meaning of this variation in distribution of the bronchial J12 0980 artery as found in the horse is not clear. However, this artery is known J12 0990 to be a nutrient vessel with a distribution primarily to the proximal J12 1000 airways and supportive tissues of the lung. The alveoli and respiratory J12 1010 bronchioles are primarily diffusing tissues. Theoretically, they J12 1020 are capable of extracting their required oxygen either from the surrounding J12 1030 air (Ghoreyeb and Karsner, '13) or from pulmonary arterial J12 1040 blood (Comroe, '58). Therefore, an explanation of this alveolar J12 1050 bronchial artery supply might be the nutritive requirement of an increased J12 1060 amount of supportive tissue, not primarily diffusing in nature, J12 1070 in the region of the alveolus. If this be true, the possibility exists J12 1090 that an occlusive lesion of the bronchial arteries might cause widespread J12 1100 degeneration of supportive tissue similar to that seen in generalized J12 1110 emphysema. One would not expect such an event to occur in animals J12 1120 possessing lungs of types /1, or /2,. The presence of normally J12 1130 occurring bronchial artery-pulmonary artery anastomoses was first J12 1140 noted in 1721 by Ruysch, and thereafter by many others. Nakamura J12 1150 ('58), Verloop ('48), Marchand, Gilroy and Watson ('50), von J12 1160 Hayek ('53), and Tobin ('52) have all claimed their normal but J12 1170 relatively nonfunctional existence in the human being. Miller ('50) J12 1180 is the principal antagonist of this viewpoint. In criticism of the latter's J12 1190 views, his conclusions were based upon dog lung injection studies J12 1200 in which all of the vascular channels were first filled with a solution J12 1210 under pressure and then were injected with various sized colored J12 1220 particles designed to stop at the arteriolar level. As early as 1913 J12 1230 Ghoreyeb and Karsner demonstrated with perfusion studies in dogs J12 1240 that bronchial artery flow would remain constant at a certain low level J12 1250 when pressure was maintained in the pulmonary artery and vein, but that J12 1260 increases in bronchial artery flow would occur in response to a relative J12 1270 drop in pulmonary artery pressure. Berry, Brailsford and Daly J12 1280 in 1931 and Nakamura in 1958 reaffirmed this. Our own studies in which J12 1290 bronchial artery-pulmonary artery anastomoses were demonstrated, J12 1300 were accomplished by injecting the bronchial artery first with no pressure J12 1310 on the pulmonary artery or vein, and then by injecting the pulmonary J12 1320 artery and vein afterwards. It is distinctly possible, therefore, J12 1330 that simultaneous pressures in all three vessels would have rendered J12 1331 the shunts inoperable and hence, uninjectable. This viewpoint is further J12 1340 supported by Verloop's ('48) demonstration of thickened bronchial J12 1350 artery and arteriolar muscular coats which are capable of acting J12 1360 as valves. In other words, the anastomoses between the bronchial artery J12 1370 and pulmonary artery should be considered as or J12 1380 shunts. In addition, little work has been done on a comparative J12 1390 basis in regard to the normal existence of bronchial artery-pulmonary J12 1400 artery anastomoses. Verloop ('48; '49) found these shunts J12 1410 in the human being but was unable to find them in rats. Ellis, Grindlay J12 1420 and Edwards ('52) also were unable to find them in rats. Nakamura J12 1430 ('58) was unable to demonstrate their existence, either by anatomic J12 1440 or physiologic methods, in dogs. The possibility that the absence J12 1460 or presence of these shunts is species-dependent is therefore inferred. J12 1470 Certainly, the mere fact of failing to demonstrate them in one J12 1480 or another species does not conclusively deny their existence in that J12 1490 species. It is, however, highly suggestive and agrees well with our own J12 1500 findings in which we also failed to demonstrate normally occurring J12 1510 bronchial artery-pulmonary artery shunts in certain species, especially J12 1520 the dog. In conclusion, these findings suggest the need for J12 1530 a comparative physiology, pathology, and histology of mammalian lungs. J12 1540 In addition, a detailed interspecies survey of the incidence of generalized J12 1550 pulmonary emphysema in mammals would be interesting and pertinent. J12 1560 Also, for the present, great caution should be exercised in the J12 1570 choice of an experimental animal for pulmonary studies if they are to J12 1580 be applied to man. This is especially so if the dog, cat or monkey are J12 1590 to be used, in view of their marked anatomical differences from man. J12 1600 Finally, it is suggested that in many respects the horse lung may be J12 1610 anatomically more comparable to that of the human than any other presently J12 1620 known species. #SUMMARY# The main subgross anatomical features J12 1630 of the lungs of various mammals are presented. A tabulation of these J12 1650 features permits the lungs to be grouped into three distinctive subgross J12 1660 types. Type /1, is represented by the cow, sheep, and pig; J12 1670 type /2,, by the dog, cat, and monkey; type /3,, by the horse. J12 1680 Lobularity is extremely well developed in type /1,; absent in type J12 1690 /2,; imperfectly developed in type /3,. The pleura and interlobular J12 1700 septa are thick in types /1, and /3,. The pleura is extremely J12 1710 thin in type /2, and septa are absent. Arterial supply to the pleura J12 1720 in types /1, and /3, is provided by the bronchial artery, and J12 1730 in type /2,, by the pulmonary artery. In types /1,, /2, and /3, J12 1740 the bronchial artery terminates in a capillary bed shared in common J12 1750 with the pulmonary artery at the level of the distal bronchiole. In J12 1760 type /3, the bronchial artery also provides blood directly to the J12 1770 alveolar capillary bed. True terminal bronchioles comprise the most frequent J12 1780 form taken by the distal airways in types /1, and /3,, although J12 1790 small numbers of poorly developed respiratory bronchioles are present. J12 1800 Well developed respiratory bronchioles, on the other hand, appear J12 1810 to be the only form taken by the distal airways in type /2,. In J12 1820 type /1, the pulmonary vein closely follows the course of the bronchus J12 1830 and the pulmonary artery from the periphery to the hilum. This maybe J12 1840 due to the heavy interlobular connective tissue barriers present. In J12 1850 type /3, this general relationship is maintained peripherally but J12 1860 not centrally where the pulmonary vein follows a more independent path J12 1870 to the hilum as is the case throughout the lung in type /2,. J13 0010 Some of the features of the top portions of Figure 1 and Figure J13 0020 2 were mentioned in discussing Table 1. First, the Onset Profile J13 0030 spreads across approximately 12 years for boys and 10 years for girls. J13 0040 In contrast, 20 of the 21 lines in the Completion Profile (excluding J13 0050 center 5 for boys and 4 for girls) are bunched and extend over a J13 0060 much shorter period, approximately 30 months for boys and 40 months for J13 0070 girls. The Maturity Chart for each sex demonstrates clearly that J13 0080 Onset is a phenomenon of infancy and early childhood whereas Completion J13 0090 is a phenomenon of the later portion of adolescence. Second, for J13 0100 both sexes, the 21 transverse lines in the Onset Profile vary more J13 0110 in individual spread than those in the Completion Profile. Although J13 0120 the standard deviation values on which spread of the lines are based J13 0130 are larger for those centers which begin to ossify early J13 0140 (Table 1), there are considerable differences in this value between J13 0160 centers having the closely timed Onsets. Third, the process of calcification J13 0170 is seen to begin later and to continue much longer for these J13 0180 boys than for the girls, a fact which confirms data for other groups of J13 0190 children. The Onset Profile and Completion Profile are constructed J13 0200 to serve as norms for children. It is convenient to classify J13 0210 a child's onset ages and completion ages as "advanced", "moderate" J13 0220 (modal), or "delayed" according to whether the child's J13 0230 age equivalent "dots" appeared to the of, , or J13 0240 to the of the appropriate short transverse line. When a dot J13 0250 appears close to the end of the transverse line, the "moderate" J13 0260 rating may be further classified according to the position of the dot J13 0270 with respect to the vertical marking denoting the mean age. Such classifications J13 0280 may be called "somewhat advanced" or "somewhat delayed", J13 0290 as the case may be, reserving "moderate" for dots upon or close J13 0300 to the mean. In the lower portion of each Chart, the Skeletal J13 0310 Age (Hand) of boy 34 and girl 2 may be similarly classified. J13 0320 There the middle one of the three curves denotes "mean Skeletal Age" J13 0330 for the Maturity Series boys and girls. The upper curve denotes J13 0340 the mean plus one standard deviation, and the lower curve represents J13 0350 the mean minus one standard deviation. Thus, a child's Skeletal J13 0360 Age "dots" may be classified as "advanced" when they appear above J13 0370 the middle curve, "moderate" when they appear immediately above J13 0380 or below the middle curve, and "delayed" when they appear below J13 0390 the lower curve. To summarize the purpose of the Skeletal Maturity J13 0400 Chart: each contains two kinds of skeletal maturity norms which J13 0410 show two quite different methods of depicting developmental level J13 0420 of growth centers. First, the upper portion requires series of films J13 0430 for every child, consisting of those from Hand, Elbow, Shoulder, Knee, J13 0440 and Foot. The lower portion necessitates only films of Hand. J13 0450 Second, the upper portion permits comparison of maturity levels of an J13 0460 equal number of growth centers from the long, short, and round bones J13 0470 of the five regions. The lower portion permits comparison of maturity J13 0480 levels of short and round bones predominantly, since only two long bones J13 0490 are included in Hand and Wrist as a region. Third, the upper portion J13 0500 deals with only two indicators of developmental level, Onset and J13 0510 Completion. The lower portion utilizes the full complement of intermediate J13 0520 maturity indicators of each Hand center as well as their Onset J13 0530 and Completion. Fourth, the two indicators are for the most part J13 0540 widely separated chronologically, with the extensive age gap occurring J13 0550 during childhood for all but one growth center. The lower portion provides J13 0560 a rating at any stage between infancy and adulthood. Onsets, J13 0570 Completions, and Skeletal Ages (Hand) of boy 34 and girl 2 J13 0580 may be directly compared and classified, using only those Skeletal Ages J13 0590 which appear immediately below the Onset Profile and the Completion J13 0600 Profile. It may be assumed that differences in ratings due to selection J13 0610 of growth centers from specific regions of the body will be small, J13 0620 according to existing tables of onset age and completion age for J13 0630 centers throughout the body. Accordingly, maturity level ratings by J13 0640 means of the upper portion and lower portion of the Chart, respectively, J13 0650 should be somewhat similar since Skeletal Age assessments are dependent J13 0660 upon Onsets during infancy and upon Completions during adolescence. J13 0670 It is clear that there are some differences in the ratings, but J13 0680 there is substantial agreement. Since a Skeletal Age rating can J13 0690 be made at any age during growth, from Elbow, Shoulder, Knee, or Foot J13 0700 as well as Hand, it seems to be the method of choice when one wishes J13 0710 to study most aspects of skeletal developmental progress during childhood. J13 0720 As stated earlier in the paper, Onsets and Completions- J13 0730 particularly the former- provide a different tool or indicator of expectancy J13 0740 in osseous development, each within a limited age period. Such J13 0750 an indicator, or indicators, are needed as means of recognizing specific J13 0760 periods of delay in skeletal developmental progress. It J13 0770 was stated earlier that one purpose of this study was to extend the analysis J13 0780 of variability of Onset and Completion in each of the 21 growth J13 0790 centers somewhat beyond that provided by the data in Tables 1 and J13 0800 2. As one approach to doing this, Figures 3 and 4 have been constructed J13 0810 from the mean ages and the individual onset and completion ages for J13 0820 boy 34 and girl 2. The differences between onset age and completion age J13 0830 with respect to the corresponding mean age have been brought into juxtaposition J13 0840 by means of a series of arrows. The data for boy 34 appear J13 0850 in Figure 3, and for girl 2 in Figure 4. The numbering system used J13 0860 in Tables 1 and 2 and Figures 1 and 2 was continued for the 21 growth J13 0870 centers. The "dot" on one end of each arrow indicates J13 0880 extent of difference in months between the child's onset age and the J13 0890 corresponding mean age for the growth center. The "tip" of the J13 0900 arrow represents extent of difference between the child's completion J13 0910 age and the corresponding mean age for the growth center. Thus, the J13 0920 alignment of the "dots" and "tips", respectively, indicate individual J13 0930 variability of the 21 growth centers of each child with respect J13 0940 to the mean values for these boys and girls. The direction in which J13 0950 the arrow points shows how the maturity level of the growth center was J13 0960 changed at Completion from the level at Onset. When the "dot" J13 0970 and "tip" coincide, the classification used in this paper is "same J13 0980 schedule". The length of the arrow indicates amount of slowing or J13 0990 acceleration at Completion over that at Onset, and the difference J13 1000 in months can be read roughly by referring the arrow to the age scale J13 1010 along the base of each figure, or more precisely by referring to the J13 1020 original data in the appropriate tables. The difference between J13 1030 the sequence of Onset of ossification for the sexes governs the numbering J13 1040 sequence in Figures 3 and 4. This difference is readily clarified J13 1050 by referring to Table 1. For example, arrow 17 in Figure 3 portrays J13 1060 the proximal radial epiphysis for boy 34, whereas the same epiphysis J13 1070 for girl 2 is portrayed by arrow 18 in Figure 4. For the boy, J13 1080 this epiphysis was markedly delayed at Onset but near the mean at Completion. J13 1090 Thus, the Span of its ossification was shortened and the center's J13 1100 ability to "catch up" in ossification is demonstrated. In J13 1110 contrast, for the girl the epiphysis was slightly advanced at Onset J13 1120 and delayed at Completion. Obviously, the slowing for her may have J13 1130 occurred at any point between Onset and Completion. The Skeletal J13 1140 Age curve in the lower portion of Figure 2 shows that slowing may have J13 1150 occurred for her during the prepubescent period. Length of the shaft J13 1160 of these arrows may be evaluated according to the standard deviation J13 1170 values for each center in Table 1. We have attempted to simplify J13 1180 the extensive task of analyzing onset ages and completion ages of J13 1190 each child- more than 1700 values for the entire group- by constructing J13 1200 figures for each of the 21 centers so that the data for all 34 J13 1210 boys and 34 of the girls will appear together for each growth center. J13 1220 Figures 5 and 6 are examples of our method of analyzing the results for J13 1230 each growth center. Forty other figures similar to 5 and 6 and the J13 1240 original data used in the construction of all figures and tables in this J13 1250 monograph have been included in the Appendix. The principles J13 1260 used in making each arrow for Figures 3 and 4 were applied to the J13 1270 construction of Figures 5 and 6 as well as all figures in the Appendix. J13 1280 One growth center in a short bone- distal phalanx of the second J13 1290 finger- was chosen as an example for discussion here, primarily because J13 1300 epiphyseal-diaphyseal fusion, the maturity indicator for Completion J13 1310 in long and short bones, occurs in this center for girls near the J13 1320 menarche and for boys near their comparable pubescent stage. Its Completion J13 1330 thus becomes one of the convenient maturity indicators to include J13 1340 in studies of growth, dietary patterns, and health during adolescence. J13 1350 The following summary, based on Figures 5 and 6, is an J13 1360 example of one way of interpreting the 42 figures constructed from onset J13 1370 ages and completion ages of individual children with respect to the J13 1380 appropriate mean age for each growth center. At the top of Figure 5, J13 1390 for example, the Onset range and Completion range lines for the chosen J13 1400 growth center have been drawn for girls according to their mean and J13 1410 standard deviation values in Table 1. The 34 arrows, denoting onset J13 1420 age plus completion age deviations, have been arrayed in an Onset J13 1430 sequence which begins with girl 18 who had the earliest Onset of the J13 1440 34 girls. The growth center depicted here, in the distal phalanx of the J13 1450 second finger, is listed as the fifth of those in the seven short bones. J13 1460 The mean onset age was 25.3 months (Table 1), and the average J13 1470 Span of the osseous stage was 133 months. The correlation (Table 2) J13 1490 between onset age and completion age was +.50, and that between onset J13 1500 age and Span was -.10. With due consideration for the limits of precision J13 1510 in assessing, expected rate of change in ossification of girls age J13 1520 2 years, and the known variations in rate of ossification of these J13 1530 children as described in our preceding paper in the Supplement, each J13 1540 arrow with a "shaft length" of four months or less was selected as J13 1550 indicating "same schedule" at Onset and Completion, for this particular J13 1560 epiphysis. Accordingly, girls 31, 29, 33, 21, 26, 13, 3, 4, J13 1570 14, 32, 24, 25, 34, 23, 6, 15, 22, and 16 may be said to have the "same J13 1580 schedule" at Onset and Completion. It seems clear, from J13 1590 the counter-balanced shape of the series of arrows in Figure 5 that J13 1600 there was about an equal number of early and late Onsets and Completions J13 1610 for the 34 girls. Accordingly, if epiphyseal-diaphyseal fusion J13 1620 occurs in this phalanx near menarche, early and late menarches might J13 1630 have been forecast rather precisely at the time of Onset of ossification J13 1640 for the 18 girls with "same schedule". As an example of the interpretation J13 1650 of an arrow in the figure which exceeds four months in shaft J13 1660 length in conjunction with its position in the figure: girl 2 had J13 1670 a delayed Onset and further delayed Completion. It is of interest J13 1680 that her menarche was somewhat later than the average for the girls J13 1690 in this group. A similar analysis of Figure 6 for the 34 boys J13 1700 would necessitate quite a different conclusion about the predictive value J13 1710 of onset age in forecasting their attainment of the pubescent stage. J13 1720 Boys 32, 23, 31, 17, 30, 19, and 24 had "same schedule" at Onset J13 1730 and Completion; thus early forecasting of the pubescent stage J13 1740 would appear possible for only seven boys. Boy 34, like girl 2, did not J13 1750 have "same schedule"; his arrow crosses the line denoting the J13 1760 mean. The "dot" on his arrow indicates early Onset and the "tip" J13 1770 indicates relatively later Completion. After the 42 figures J13 1780 had been drawn like Figures 5 and 6, classifications of the onset J13 1790 ages and completion ages were summarized from them. J14 0010 Interestingly enough, the effect of the digitalis glycosides is inhibited J14 0020 by a high concentration of potassium in the incubation medium and J14 0030 is enhanced by the absence of potassium (Wolff, 1960). _B. ORGANIFICATION J14 0040 OF IODINE_ The precise mechanism for organification of iodine J14 0050 in the thyroid is not as yet completely understood. However, the formation J14 0060 of organically bound iodine, mainly mono-iodotyrosine, can be J14 0070 accomplished in cell-free systems. In the absence of additions to the J14 0080 homogenate, the product formed is an iodinated particulate protein (Fawcett J14 0090 and Kirkwood, 1953; Taurog, Potter and Chaikoff, 1955; J14 0100 Taurog, Potter, Tong, and Chaikoff, 1956; Serif and Kirkwood, J14 0110 1958; De Groot and Carvalho, 1960). This iodoprotein does not J14 0111 appear J14 0120 to be the same as what is normally present in the thyroid, and there J14 0130 is no evidence so far that thyroglobulin can be iodinated in vitro J14 0140 by cell-free systems. In addition, the iodoamino acid formed in largest J14 0150 quantity in the intact thyroid is di-iodotyrosine. If tyrosine J14 0160 and a system generating hydrogen peroxide are added to a cell-free homogenate J14 0170 of the thyroid, large quantities of free mono-iodotyrosine can J14 0180 be formed (Alexander, 1959). It is not clear whether this system J14 0190 bears any resemblance to the in vivo iodinating mechanism, and a system J14 0200 generating peroxide has not been identified in thyroid tissue. On chemical J14 0210 grounds it seems most likely that iodide is first converted to J14 0220 **f and then to **f as the active iodinating species. In the thyroid J14 0230 gland it appears that proteins (chiefly thyroglobulin) are iodinated J14 0240 and that free tyrosine and thyronine are not iodinated. Iodination of J14 0250 tyrosine, however, is not enough for the synthesis of hormone. The mono- J14 0260 and di-iodotyrosine must be coupled to form tri-iodothyronine and J14 0270 thyroxine. The mechanism of this coupling has been studied in some detail J14 0280 with non-enzymatic systems in vitro and can be simulated by certain J14 0290 di-iodotyrosine analogues (Pitt-Rivers and James, 1958). There J14 0300 is so far no evidence to indicate conclusively that this coupling is J14 0310 under enzymatic control. The chemical nature of the iodocompounds J14 0320 is discussed below (pp& 76 et seq&). _C. THYROGLOBULIN SYNTHESIS_ J14 0330 Little is known of the synthetic mechanisms for formation of J14 0340 thyroglobulin. Its synthesis has not been demonstrated in cell-free systems, J14 0350 nor has its synthesis by systems with intact thyroid cells in J14 0360 vitro been unequivocally proven. There is some reason to think that thyroglobulin J14 0370 synthesis may proceed independently of iodination, for in J14 0380 certain transplantable tumours of the rat thyroid containing essentially J14 0390 no iodinated thyroglobulin, a protein that appears to be thyroglobulin J14 0400 has been observed in ultracentrifuge experiments (Wolff, Robbins J14 0410 and Rall, 1959). Similar findings have been noted in a patient with J14 0420 congenital absence of the organification enzymes, whose thyroid tissue J14 0430 could only concentrate iodide. In addition, depending on availability J14 0440 of dietary iodine, thyroglobulin may contain varying quantities of J14 0450 iodine. _D. SECRETION_ Since the circulating thyroid hormones are J14 0460 the amino acids thyroxine and tri-iodothyronine (cf& Section C), J14 0470 it is clear that some mechanism must exist in the thyroid gland for their J14 0480 release from proteins before secretion. The presence of several proteases J14 0490 and peptidases has been demonstrated in the thyroid. One of J14 0500 the proteases has ~pH optimum of about 3.7 and another of about 5.7 J14 0510 (McQuillan, Stanley and Trikojus, 1954; Alpers, Robbins and Rall, J14 0520 1955). The finding that the concentration of one of these proteases J14 0530 is increased in thyroid glands from ~TSH-treated animals suggests J14 0540 that this protease may be active in vivo. There is no conclusive J14 0550 evidence yet that either of the proteases has been prepared in highly J14 0560 purified form nor is their specificity known. A study of their activity J14 0570 on thyroglobulin has shown that thyroxine is not preferentially released J14 0580 and that the degradation proceeds stepwise with the formation J14 0590 of macromolecular intermediates (Alpers, Petermann and Rall, 1956). J14 0600 Besides proteolytic enzymes the thyroid possesses de-iodinating enzymes. J14 0610 A microsomal de-iodinase with a ~pH optimum of around 8, and requiring J14 0620 reduced triphosphopyridine nucleotide for activity, has been J14 0630 identified in the thyroid (Stanbury, 1957). This de-iodinating enzyme J14 0640 is effective against mono- and di-iodotyrosine, but does not de-iodinate J14 0650 thyroxine or tri-iodothyronine. It is assumed that the iodine released J14 0660 from the iodotyrosines remains in the iodide pool of the thyroid, J14 0670 where it is oxidised and re-incorporated into thyroglobulin. The thyroxine J14 0680 and tri-iodothyronine released by proteolysis and so escaping J14 0690 de-iodination presumably diffuse into the blood stream. It has been J14 0700 shown that thyroglobulin binds thyroxine, but the binding does not appear J14 0710 to be particularly strong. It has been suggested that the plasma J14 0720 thyroxine-binding proteins, which have an extremely high affinity for J14 0730 thyroxine, compete with thyroglobulin for thyroxine (Ingbar and Freinkel, J14 0740 1957). _E. ANTITHYROID DRUGS_ Antithyroid drugs are of two J14 0750 general types. One type has a small univalent anion of the J14 0755 thiocyanate-perchlorate-fluoroboride J14 0760 type. This ion inhibits thyroid hormone synthesis J14 0770 by interfering with iodide concentration in the thyroid. It does J14 0780 not appear to affect the iodinating mechanism as such. The other J14 0790 group of antithyroid agents or drugs is typified by thiouracil. These J14 0800 drugs have no effect on the iodide concentrating mechanism, but they J14 0810 inhibit organification. The mechanism of action of these drugs has not J14 0820 been completely worked out, but certain of them appear to act by reducing J14 0830 the oxidised form of iodine before it can iodinate thyroglobulin J14 0840 (Astwood, 1954). On the other hand, there are a few antithyroid drugs J14 0850 of this same general type, such as resorcinol, possessing no reducing J14 0860 activity and possibly acting through formation of a complex with molecular J14 0870 iodine. Any of the antithyroid drugs, of either type, if given J14 0880 in large enough doses for a long period of time will cause goitre, owing J14 0890 to inhibition of thyroid hormone synthesis, with production of hypothyroidism. J14 0900 The anterior lobe of the pituitary then responds by an increased J14 0910 output of ~TSH, causing the thyroid to enlarge. The effect J14 0920 of drugs that act on the iodide-concentrating mechanism can be counteracted J14 0930 by addition of relatively large amounts of iodine to the diet. J14 0940 The antithyroid drugs of the thiouracil type, however, are not antagonised J14 0950 by such means. Besides those of the thiouracil and resorcinol J14 0960 types, certain antithyroid drugs have been found in naturally occurring J14 0970 foods. The most conclusively identified is L-5-vinyl-2-thio-oxazolidone, J14 0980 which was isolated from rutabaga (Greer, 1950). It is presumed J14 0990 to occur in other members of the Brassica family. There is some J14 1000 evidence that naturally occurring goitrogens may play a role in the development J14 1010 of goitre, particularly in Tasmania and Australia (Clements J14 1020 and Wishart, 1956). There it seems that the goitrogen ingested by J14 1021 dairy J14 1030 animals is itself inactive but is converted in the animal to an active J14 1040 goitrogen, which is then secreted in the milk. _F. DIETARY INFLUENCES_ J14 1050 Besides the presence of goitrogens in the diet, the level of J14 1060 iodine itself in the diet plays a major role in governing the activity J14 1070 of the thyroid gland. In the experimental animal and in man gross J14 1080 deficiency in dietary iodine causes thyroid hyperplasia, hypertrophy and J14 1100 increased thyroid activity (Money, Rall and Rawson, 1952; Stanbury, J14 1110 Brownell, Riggs, Perinetti, Itoiz, and Del Castillo, 1954). J14 1120 In man the normal level of iodine in the diet and the level necessary J14 1130 to prevent development of goitre is about 100 ~|mg per day. With J14 1140 lower levels, thyroid hypertrophy and increased thyroid blood-flow J14 1150 enable the thyroid to accumulate a larger proportion of the daily intake J14 1160 of iodine. Further, the gland is able to re-use a larger fraction J14 1170 of the thyroid hormone de-iodinated peripherally. In the presence of J14 1180 a low iodine intake, thyroglobulin labelled in vivo with **f is found J14 1190 to contain more mono-iodotyrosine than normal, the amounts of di-iodotyrosine J14 1200 and iodothyronines being correspondingly reduced. This appears J14 1210 to result from both a reduced amount of the iodine substrate and a more J14 1220 rapid secretion of newly iodinated thyroglobulin. If the deficiency J14 1230 persists long enough, it is reasonable to suppose that the **f label J14 1240 will reflect the **f distribution in the thyroglobulin. Similar results J14 1250 might be expected from the influence of drugs or pathological conditions J14 1260 that limit iodide trapping, or organification, or accelerate thyroglobulin J14 1270 proteolysis. #B. THE THYROID-STIMULATING HORMONE# The J14 1280 name thyroid-stimulating hormone (~TSH) has been given to a substance J14 1290 found in the anterior pituitary gland of all species of animal so J14 1295 far J14 1300 tested for its presence. The hormone has also been called thyrotrophin J14 1310 or thyrotrophic hormone. At the present time we do not know by what J14 1320 biochemical mechanism ~TSH acts on the thyroid, but for bio-assay J14 1330 of the hormone there are a number of properties by which its activity J14 1340 may be estimated, including release of iodine from the thyroid, increase J14 1350 in thyroid weight, increase in mean height of the follicular cells J14 1360 and increase in the thyroidal uptake of **f. Here we shall restrict J14 1370 discussion to those methods that appear sufficiently sensitive and precise J14 1380 for determining the concentration of ~TSH in blood. Brown J14 1390 (1959) has reviewed generally the various methods of assaying ~TSH, J14 1400 and the reader is referred to her paper for further information on J14 1410 the subject. #1. CHEMICAL CONSTITUTION AND PHYSICAL PROPERTIES OF PITUITARY J14 1420 ~TSH# As long ago as 1851 it was pointed out by Niepce (1851) J14 1430 that there is a connection between the pituitary and the thyroid.. J14 1440 This connection was clarified by Smith and Smith (1922), who showed J14 1450 that saline extracts of fresh bovine pituitary glands could re-activate J14 1460 the atrophied thyroids of hypophysectomised tadpoles. The first attempts J14 1470 to isolate ~TSH came a decade later, when Janssen and Loeser J14 1480 (1931) used trichloroacetic acid to separate the soluble ~TSH J14 1490 from insoluble impurities. After their work other investigators applied J14 1500 salt-fractionation techniques to the problem, as well as fractionation J14 1510 with organic solvents, such as acetone. Albert (1949) has concluded J14 1520 that the most active preparations of ~TSH made during this period, J14 1530 from 1931 to 1945, were probably about 100 to 300 times as potent J14 1540 as the starting material. Much of this work has been reviewed by J14 1550 White (1944) and by Albert (1949). Developments up to about 1957 have J14 1560 been discussed by Sonenberg (1958). In the last few years, J14 1570 the application of chromatographic and other modern techniques to the J14 1580 problem of isolating ~TSH has led to further purification (Bates J14 1590 and Condliffe, 1960; Pierce, Carsten and Wynston, 1960). The most J14 1600 active preparations obtained by these two groups of investigators J14 1610 appear to be similar in potency, composition and physical properties. J14 1620 Two problems present themselves in considering any hormone in J14 1630 blood. First, is the circulating form of the hormone the same as that J14 1640 found in the gland where it is synthesised and stored? Second, what J14 1650 is its concentration in normal circumstances and in what circumstances J14 1660 will this concentration depart from the normal level and in which direction? J14 1670 It is therefore necessary to consider the properties of pituitary J14 1680 ~TSH if the fragmentary chemical information about blood J14 1690 ~TSH is to be discussed rationally. The importance of knowing in J14 1700 what chemical forms the hormone may exist is accentuated by the recent J14 1710 observation that there exists an abnormally long-acting ~TSH in J14 1720 blood drawn from many thyrotoxic patients (Adams, 1958). Whether this J14 1730 abnormal ~TSH differs chemically from pituitary ~TSH, or J14 1740 is, alternatively, normal ~TSH with its period of effectiveness J14 1741 modified J14 1750 by some other blood constituent, cannot be decided without chemical J14 1760 study of the activity in the blood of these patients and a comparison J14 1770 of the substance responsible for the blood activity with pituitary J14 1780 ~TSH. In evaluating data on the concentration of ~TSH J14 1790 in blood, one must examine critically the bio-assay methods used J14 1800 to obtain them. The introduction of the United States Pharmacopoeia J14 1810 reference standard in 1952 and the redefinition and equating of the J14 1820 ~USP and international units of thyroid-stimulating activity have J14 1830 made it possible to compare results published by different investigators J14 1840 since that time. We should like to re-emphasise the importance of J14 1850 stating results solely in terms of international units of ~TSH activity J14 1860 and of avoiding the re-introduction of biological units. For J14 1870 the most part, this discussion will be confined to results obtained since J14 1880 the introduction of the reference standard. _A. STANDARD PREPARATIONS J14 1890 AND UNITS OF THYROID-STIMULATING ACTIVITY_ The international J14 1891 unit J14 1900 (u&), adopted to make possible the comparison of results from different J14 1910 laboratories (Mussett and Perry, 1955), has been defined as the J14 1920 amount of activity present in 13.5 ~mg of the International Standard J14 1930 Preparation. The international unit is equipotent with the ~USP J14 1940 unit adopted in 1952, which was defined as the amount of activity J14 1950 present in 20 ~mg of the ~USP reference substance. J15 0010 #INTRODUCTION# Muscle weakness is now recognized as an uncommon though J15 0020 serious complication of steroid therapy, with most of the synthetic J15 0030 adrenal corticosteroids in clinical use. Although biopsies have J15 0040 shown structural changes in some of the reported cases of steroid-induced J15 0050 weakness, this case provides the only example known to us in which J15 0060 necropsy afforded the opportunity for extensive study of multiple muscle J15 0070 groups. The case described in this paper is that of an older man J15 0080 who developed disabling muscular weakness while receiving a variety of J15 0090 steroids for a refractory anemia. #REPORT OF CASE# This patient J15 0100 was a 65-year-old white male accountant who entered the New York Hospital J15 0110 for his fourth and terminal admission on June 26, 1959, because J15 0120 of disabling weakness and general debility. In 1953 the patient J15 0130 developed an unexplained anemia for which 15 blood transfusions were J15 0140 given over a period of 4 years. Splenomegaly was first noted in 1956, J15 0150 and a sternal marrow biopsy at that time showed "scattered foci J15 0160 of fibrosis" suggestive of myelofibrosis. No additional transfusions J15 0170 were necessary after the institution of prednisone in July, 1957, J15 0180 in an initial dose of 40 mg& daily with gradual tapering to 10 mg& J15 0190 daily. This medication was continued until February, 1958. In J15 0200 February, 1958, the patient suffered a myocardial infarction complicated J15 0210 by pulmonary edema. Additional findings at this time included J15 0220 cardiomegaly, peripheral arteriosclerosis obliterans, and cholelithiasis. J15 0230 The hemoglobin was 11.6 gm&. Therapy included digitalization and J15 0240 anticoagulation. Later, chlorothiazide and salt restriction became J15 0250 necessary to control the edema of chronic congestive failure. J15 0260 Because of increasing anemia, triamcinolone, 8 mg& daily, was started J15 0270 on Feb& 23, 1958, and was continued until july, 1958. In september, J15 0280 1958, the patient developed generalized weakness and fatigue which J15 0290 was concurrent with exacerbation of his anemia; the hemoglobin was J15 0300 10.6 gm&. In an attempt to reverse the downhill trend by stimulating J15 0310 the bone marrow and controlling any hemolytic component, triamcinolone, J15 0320 16 mg& daily, was begun on Sept& 26, 1958, and continued until J15 0330 Feb& 18, 1959. At first the patient felt stronger, and the hemoglobin J15 0340 rose to 13.8 gm&, but on Oct& 20, 1958, he complained of "caving J15 0350 in" in his knees. By Nov& 8, 1958, weakness, specifically J15 0360 involving the pelvic and thigh musculature, was pronounced, and a common J15 0370 complaint was "difficulty in stepping up on to curbs". Prednisone, J15 0380 30 mg& daily, was substituted for triamcinolone from Nov& J15 0390 22 until Dec& 1, 1958, without any improvement in the weakness. Serum J15 0400 potassium at this time was 3.8 mEq& per liter, and the hemoglobin J15 0410 was 13.9 gm& By Dec& 1, 1958, the weakness in the pelvic and J15 0420 quadriceps muscle groups was appreciably worse, and it became difficult J15 0430 for the patient to rise unaided from a sitting or reclining position. J15 0440 Triamcinolone, 16 mg& daily, was resumed and maintained until Feb& J15 0450 18, 1959. Chlorothiazide was omitted for a 2-week period, but there J15 0460 was no change in the muscle weakness. At this time a detailed J15 0470 neuromuscular examination revealed diffuse muscle atrophy that was J15 0480 moderate in the hands and feet, but marked in the shoulders, hips, and J15 0490 pelvic girdle, with hypoactive deep-tendon reflexes. No fasciculations J15 0500 or sensory defects were found. Electromyography revealed no evidence J15 0510 of lower motor neuron disease. Thyroid function tests yielded normal J15 0520 results. The protein-bound iodine was 6.6|mg& %, and the radioactive J15 0530 iodine uptake over the thyroid gland was 46% in 24 hours, J15 0540 with a conversion ratio of 12%. A Schilling test demonstrated normal J15 0550 absorption of vitamin **f. In February, 1959, during the second J15 0560 admission to The New York Hospital, a biopsy specimen of the left J15 0570 gastrocnemius showed striking increase in the sarcolemmal sheath nuclei J15 0580 and shrunken muscle fibers in several sections. Serial serum potassium J15 0590 levels remained normal; the serum glutamic oxaloacetic transaminase J15 0600 was 10 units per ml& per min&. The clinical impression at this J15 0610 time was either muscular dystrophy or polymyositis. On Feb& J15 0620 12, 1959, purified corticotropin (~ACTH Gel), 20 units daily J15 0630 intramuscularly, was started but had to be discontinued 3 weeks later J15 0640 because of excessive fluid retention. From March 3 to May 1, 1949, J15 0650 the patient was maintained on dexamethasone, 3 to 6 mg& daily. In J15 0660 May 1959, prednisone, 30 mg& daily, replaced the dexamethasone. Muscle J15 0670 weakness did not improve, and the patient needed first a cane, then J15 0680 crutches. In spite of normal thyroid function tests, a trial of propylthiouracil, J15 0690 400 mg& daily for one week, was given but served only J15 0700 to intensify muscle weakness. Repeated attempts to withdraw steroids J15 0710 entirely were unsuccessful because increased muscle weakness resulted, J15 0720 as well as fever, malaise, anorexia, anxiety, and an exacerbation of J15 0730 the anemia. These reactions were interpreted as being manifestations J15 0740 of hypoadrenocorticism. Severe back pain in June, 1959, prompted J15 0750 a third hospital admission. Extensive osteoporosis with partial J15 0760 collapse of ~D8 was found. A high-protein diet, calcium lactate supplements, J15 0770 and norethandrolone failed to change the skeletal complaint J15 0780 or the severe muscle weakness. The terminal hospital admission J15 0790 on June 27, 1959, was necessitated by continued weakness and debility J15 0800 complicated by urinary retention and painful thrombosed hemorrhoids. J15 0810 X-ray films of the vertebral column showed progression of the demineralization. J15 0820 On July 4, 1959, the patient developed marked abdominal J15 0830 pain and distension, went into shock, and died. #FINDINGS AT NECROPSY# J15 0840 The body was that of a well-developed, somewhat debilitated white J15 0850 man weighing 108 lb& There were bilateral pterygia and arcus senilis, J15 0860 and the mouth was edentulous. The heart weighed 510 gm&, J15 0870 and at the outflow tracts the left and right ventricles measured 19 J15 0880 and 3 mm&, respectively. The coronary arteries were sclerotic and J15 0890 diffusely narrowed throughout their courses, and the right coronary artery J15 0900 was virtually occluded by a yellow atheromatous plaque 1.5 cm& distal J15 0910 to its origin. The myocardium of the posterior base of the left J15 0920 ventricle was replaced by gray scar tissue over a 7.5 cm& area. The J15 0930 valves were normal except for thin yellow plaques on the inferior surface J15 0940 of the mitral leaflets. Microscopically, sections from the posterior J15 0950 base of the left ventricle of the heart showed several large areas J15 0960 of replacement of muscle by fibrous tissue. In addition, other sections J15 0970 contained focal areas of recent myocardial necrosis that were infiltrated J15 0980 with neutrophils. Many of the myocardial fibers were hypertrophied J15 0990 and had large, irregular, basophilic nuclei. The intima of the J15 1000 larger coronary arteries was thickened by fibrous tissue containing J15 1010 fusiform clefts and mononuclear cells. The intimal surface of J15 1020 the aorta was covered with confluent, yellow-brown, hard, friable plaques J15 1030 along its entire course, and there was a marked narrowing of the orifices J15 1040 of the large major visceral arteries. In particular, the orifices J15 1050 of the right renal and celiac arteries were virtually occluded, and J15 1060 both calcified common iliac arteries were completely occluded. J15 1070 The lungs weighed together 950 gm&. On the surfaces of both lungs J15 1080 there were emphysematous blebs measuring up to 3 cm& in diameter. J15 1090 The parenchyma was slightly hyperemic in the apex of the left lung, J15 1100 and there were several firm, gray, fibrocalcific nodules measuring as J15 1110 large as 3 mm&. Microscopically, there was emphysema, fibrosis, and J15 1120 vascular congestion. Macrophages laden with brown pigment were seen J15 1130 in some of the alveoli, and the intima of some of the small arteries was J15 1140 thickened by fibrous tissue. The firm red spleen weighed 410 J15 1150 gm&, and its surface was mottled by discrete, small patches of white J15 1160 material. The endothelial cells lining the sinusoids were prominent, J15 1170 and many contained large quantities of hemosiderin. Some of the sinusoids J15 1180 contained large numbers of nucleated red cells, and cells of the J15 1190 granulocytic series were found in small numbers. There were slight J15 1200 fibrosis and marked arteriolosclerosis. The liver weighed 2,090 J15 1210 gm&, was brown in color, and the cut surface was mottled by irregular J15 1220 pale areas. Microscopically, there was hyperemia of the central veins, J15 1230 and there was some atrophy of adjacent parenchyma. Some liver cord J15 1240 cells contained vacuolated cytoplasm, while others had small amounts J15 1250 of brown hemosiderin pigment. The gallbladder contained about J15 1260 40 cc& of green-brown bile and 3 smooth, dark-green calculi measuring J15 1270 up to 1 cm& in diameter. The mucosa of the stomach was J15 1280 atrophic and irregularly blackened over a 14 cm& area. The small and J15 1290 large intestines were filled with gas, and the jejunum was dilated to J15 1300 about 2 times its normal circumference. The small intestine and colon J15 1310 contained approximately 300 cc& of foul-smelling, sanguineous material, J15 1320 and the mucosa throughout was hyperemic and mottled green-brown. J15 1330 A careful search failed to show occlusion of any of the mesenteric J15 1340 vessels. Microscopically, the mucosa of the stomach showed extensive J15 1350 cytolysis and contained large numbers of Gram-negative bacterial rods. J15 1360 The submucosa was focally infiltrated with neutrophils. The mucosa J15 1370 of the jejunum and ileum showed similar changes, and in some areas the J15 1380 submucosa was edematous and contained considerable numbers of neutrophils. J15 1390 Some of the small vessels were filled with fibrin thrombi, and J15 1400 there was extensive interstitial hemorrhage. A section of the colon J15 1410 revealed intense hyperemia and extensive focal ulcerations of the mucosa, J15 1420 associated with much fibrin and many neutrophils. Cultures taken J15 1430 from the jejunum yielded Monilia albicans, Pseudomonas pyocanea, Aerobacter J15 1440 aerogenes, and Streptococcus anhemolyticus. The kidneys J15 1450 were pale and weighed right, 110 gm&, and left, 230 gm&. The J15 1460 surfaces were coarsely and finely granular and punctuated by clear, fluid-filled J15 1470 cysts measuring up to 3 cm& in diameter. On the surface J15 1480 of the right kidney there were also 2 yellow, firm, friable raised areas J15 1490 measuring up to 2 cm& in diameter. Microscopically, both kidneys J15 1500 showed many small cortical scars in which there was glomerular and interstitial J15 1510 fibrosis, tubular atrophy, and an infiltration of lymphocytes J15 1520 and plasma cells. Occasional tubules contained hyaline casts admixed J15 1530 with neutrophils. Throughout, there were marked arteriolosclerosis J15 1540 and hyalinization of afferent glomerular arterioles. These changes J15 1550 were more marked in the atrophic right kidney than in the left. In addition, J15 1560 there were 2 small papillary adenomas in the right kidney. J15 1570 The bone of the vertebral bodies, ribs, and sternum was soft and J15 1580 was easily compressed. The marrow of the vertebral bodies was pale and J15 1590 showed areas of fatty replacement. Microscopically, there were many J15 1600 areas of hypercellularity alternating with areas of hypocellularity. J15 1610 The cells of the erythroid, myeloid, and megakaryocytic series were normal J15 1620 except for their numbers. There was no evidence of fibrosis. The J15 1630 muscles of the extremities, chest wall, neck, and abdominal wall were J15 1640 soft, pale, and atrophic. Microscopic studies of the gastrocnemius, J15 1650 pectoralis major, transversus abdominis, biceps brachii, and diaphragm J15 1660 showed atrophy as well as varying degrees of injury ranging from J15 1670 swelling and vacuolization to focal necrosis of the muscle fibers. J15 1680 These changes were most marked in the gastrocnemius and biceps and less J15 1690 evident in the pectoralis, diaphragm, and transversus. In J15 1691 the J15 1700 gastrocnemius and biceps there were many swollen and homogeneous necrotic J15 1710 fibers such as that shown in Figure 2. Such swollen fibers were J15 1720 deeply eosinophilic, contained a few pyknotic nuclei, and showed loss J15 1730 of cross-striations, obliteration of myofibrils, and prominent vacuolization. J15 1740 The necrosis often involved only a portion of the length of J15 1750 a given fiber, and usually the immediately adjacent fibers were normal. J15 1760 As shown in Figure 3, the protoplasm of other fibers was pale, granular, J15 1770 or flocculated and invaded by phagocytes. Inflammatory cells J15 1780 were strikingly absent. In association with these changes in the fibers, J15 1790 there were striking alterations in the muscle nuclei. These were J15 1800 increased both in number and in size, contained prominent nucleoli, J15 1810 and were distributed throughout the fiber (Figs& 2-5). In contrast J15 1820 to the nuclear changes described above, another change in muscle nuclei J15 1830 was seen, usually occurring in fibers that were somewhat smaller than J15 1840 normal but that showed distinct cross-striations and myofibrillae. J15 1850 The nuclei of these fibers, as is shown in Figures 3 and 4, showed remarkable J15 1860 proliferation and were closely approximated, forming a chainlike J15 1870 structure at either the center or the periphery of the fiber. Individual J15 1880 nuclei were usually oval to round, though occasionally elongated, J15 1890 and frequently small and somewhat pyknotic. At times, clumps of J15 1900 10 to 15 closely-packed nuclei were also observed. Occasionally there J15 1910 were small basophilic fibers that were devoid of myofibrillae and contained J15 1920 many vesicular nuclei with prominent nucleoli (Fig& 5). These J15 1930 were thought to represent regenerating fibers. Trichrome stains failed J15 1940 to show fibrosis in the involved muscles. In all of the sections J15 1950 examined, the arterioles and small arteries were essentially normal. J16 0010 _PURIFICATION OF THE CONJUGATES_ In attempting to improve specificity J16 0020 of staining, the fluorescein-labeled antisera used in both direct J16 0030 and indirect methods were treated in one of several ways: (1) They J16 0040 were passed through Dowex-2-chloride twice and treated with acetone J16 0050 insoluble powders (Coons, 1958) prepared from mouse liver or from healthy J16 0060 sweet clover stems or crown gall tissue produced by (E& F& Smith + Townsend) Conn, on sweet clover J16 0080 stems. J16 0090 (2) The conjugates as well as the intermediate sera were absorbed J16 0100 for 30 minutes with 20-50 ~mg of proteins extracted from healthy sweet J16 0110 clover stems. The proteins were extracted with 3 volumes of **f in J16 0120 **f to give a nearly neutral extract and precipitated by 80% saturation J16 0130 with **f. The precipitate was washed twice with an 80% saturated J16 0140 solution of **f, dissolved in a small quantity of 0.1 ~ neutral J16 0150 phosphate buffer, dialyzed against cold distilled water till free J16 0160 from ammonium ions, and lyophilized using liquid nitrogen. (3) In other J16 0170 experiments the indirect conjugate was treated with 3 volumes of J16 0180 ethyl acetate as recommended by Dineen and Ade (1957). (4) The conjugates J16 0190 were passed through a diethylaminoethyl (~DEAE-) cellulose J16 0200 column equilibrated with neutral phosphate buffer (~PBS) containing J16 0210 **f potassium phosphate and **f. _PREPARATION OF FROZEN SECTIONS_ J16 0220 The technique of cutting sections was essentially the same as that J16 0230 described by Coons & (1951). Root and stem tumors from J16 0250 sweet clover plants infected with ~WTV were quick-frozen in liquid J16 0260 nitrogen, embedded in ice, and cut at 3-6 ~|m in a cryostat maintained J16 0270 at -16` to -20`. The sections were mounted on cold slides J16 0280 smeared with Haupts' adhesive (Johansen, 1940) in earlier experiments, J16 0290 and in later experiments with a different mixture of the same components J16 0300 reported by Schramm and Ro^ttger (1959). The latter adhesive J16 0310 was found to be much more satisfactory. The sections were then J16 0320 thawed by placing a finger under the slide and dried under a fan for J16 0330 30 minutes; until used they were stored for as long as 2 weeks. _STAINING J16 0340 TECHNIQUE_ _INDIRECT METHOD._ The sections were fixed J16 0350 in J16 0360 acetone for 15 minutes and dried at 37` for 30 minutes. Some of them J16 0370 were then covered with a drop of **f in a moist chamber at 24` for J16 0380 30-40 minutes. As controls other sections were similarly covered with J16 0390 ~NS. Sections were then washed with ~PBS for 15-30 minutes. J16 0400 After blotting out most of the saline around the sections, a drop J16 0410 of **f was layered over each of the sections, allowed to react for 30 J16 0420 minutes, and then washed with ~PBS for 15-30 minutes. After blotting J16 0430 out most of the liquid around the sections, the latter were mounted J16 0440 in buffered glycerine (7 parts glycerine to 3 parts of ~PBS). J16 0450 _DIRECT METHOD._ After drying the sections under the fan, fixing J16 0460 in acetone, and drying at 37` as in the indirect method, the sections J16 0470 were treated with conjugated **f or **f (undiluted unless mentioned J16 0480 otherwise) for 5-30 minutes. As controls, other sections were similarly J16 0490 treated with **f or conjugated antiserum to the New York strain of J16 0500 potato yellow-dwarf virus (Wolcyrz and Black, 1956). The sections J16 0510 were then washed with ~PBS for 15-30 minutes and mounted in buffered J16 0520 glycerine. _FLUORESCENCE MICROSCOPY_ Stained or unstained sections J16 0530 were examined under dark field illumination in a Zeiss fluorescence J16 0540 microscope equipped with a mercury vapor lamp (Osram ~HBO J16 0550 200). The light beam from the lamp was filtered through a half-standard J16 0560 thickness Corning 1840 filter. In the eyepiece a Wratten 2 ~B J16 0570 filter was used to filter off residual ultra-violet light. A red filter, J16 0580 Zeiss barrier filter with the code (Schott) designation ~BG J16 0590 23, was also used in the ocular lens assembly as it improved the contrast J16 0600 between specific and nonspecific fluorescence. #RESULTS# _SPECIFICITY J16 0610 OF STAINING_ _INDIRECT METHOD._ In the first few experiments J16 0620 **f was passed through Dowex-2-chloride twice and absorbed J16 0630 twice with 50-100 ~mg sweet clover tissue powder. The intermediate J16 0640 sera were also similarly absorbed with tissue powder. Sections of sweet J16 0650 clover stem and root tumors were treated with 1:10 solution of **f J16 0660 for 30 minutes, washed in buffered saline for 15 minutes, stained with J16 0670 **f for 30 minutes, and washed for 15 minutes in ~PBS. Such sections J16 0680 showed bright yellow-green specific fluorescence in the cells J16 0690 of the pseudophloem tissue (Lee and Black, 1955). This specific fluorescence J16 0700 was readily distinguished from the light green nonspecific fluorescence J16 0710 in consecutive sections stained with 1:10 dilution of ~NS J16 0720 and **f or with **f alone. Unstained sections mounted in buffered J16 0730 glycerine or sections treated only with ~NS or **f did not show J16 0740 such green fluorescence. Sections of crown gall tissue similarly stained J16 0750 with either **f and **f or ~NS and **f also showed only the light J16 0760 green nonspecific fluorescence. However, the nonspecific staining J16 0770 by the **f in tumor sections was considered bright enough to be confused J16 0780 with the staining of small amounts of ~WTV antigen. J16 0790 Two absorptions of **f with ethyl acetate or two absorptions of **f (which J16 0800 had been passed through Dowex-2-chloride), ~NS and **f with J16 0810 crown gall tissue powder, or mouse liver powder did not further improve J16 0820 the specificity of staining. Treatment of all the sera with sweet J16 0830 clover proteins greatly reduced nonspecific fluorescence, especially when J16 0840 the treated conjugate was diluted to 1:2 with 0.85% saline. In J16 0850 all the above procedures, when the intermediate sera were diluted to J16 0860 1:10 or 1:100 with 0.85% saline, the specific and nonspecific fluorescence J16 0870 were not appreciably reduced, whereas, a dilution of the intermediate J16 0880 sera to 1:500 or diluting the **f to 1:5 greatly reduced J16 0890 specific fluorescence. Rinsing the sections with ~PBS before J16 0900 layering J16 0910 the intermediate sera did not improve the staining reaction. In addition J16 0920 to other treatments, treating the sections with normal sheep serum J16 0930 for half an hour before layering **f did not reduce nonspecific staining. J16 0940 The only treatment by which nonspecific staining could J16 0941 be satisfactorily J16 0950 removed was by passing the conjugate through a ~DEAE-cellulose J16 0960 column. When 1 ~ml of conjugate was passed through a column J16 0980 (**f), the first and second milliliter fractions collected were the J16 0981 most J16 0990 specific and gave no nonspecific staining in some experiments, and J16 1000 very little in others. In the latter cases an additional treatment of J16 1010 the ~DEAE-cellulose-treated **f with 50 ~mg of sweet clover stem J16 1020 tissue powder further improved the specificity. After these treatments J16 1030 the conjugate did not stain healthy or crown gall sweet clover tissues J16 1040 or stained them a very faint green which was easily distinguishable J16 1050 from the bright yellow-green specific staining. With this purified J16 1060 conjugate the best staining procedure consisted of treating the sections J16 1070 with 1:10 dilution of **f for 30 minutes, washing with ~PBS J16 1080 for 15 minutes, staining with **f for 30 minutes, and washing with J16 1090 ~PBS for 15 minutes. The specificity of staining in ~WTV tumors J16 1100 with **f and **f but not with ~NS and **f or with antiserum to J16 1110 potato yellow-dwarf virus and **f, and the absence of such staining J16 1120 in crown gall tumor tissue from sweet-clover, indicate that an antigen J16 1130 of ~WTV was being stained. _DIRECT METHOD._ **f was first conjugated J16 1140 with 50 ~mg of ~FITC per gram of globulin. This conjugate J16 1150 was passed twice through Dowex-2-chloride and treated with various J16 1160 tissue powders in the same manner as described for the indirect method. J16 1170 In all cases a disturbing amount of nonspecific staining was still J16 1180 present although it was still distinguishable from specific fluorescence. J16 1190 In later experiments, **f and **f were prepared by conjugating J16 1200 8 ~mg of ~FITC per gram of globulin. These conjugates J16 1210 **f had much less nonspecific staining than the previous conjugate (with J16 1220 50 ~mg ~FITC per gram of globulin) while the specific staining J16 1230 was similar in both cases. Nonspecific staining could be satisfactorily J16 1240 eliminated by passing these conjugates through a ~DEAE-cellulose J16 1250 column as described for **f. The best staining procedure with J16 1260 this purified **f consisted of staining with the conjugate for 30 J16 1270 minutes and washing in ~PBS for 15 minutes. The specificity of J16 1280 staining with **f was established as follows: **f specifically stained J16 1290 tumor sections but not sections of healthy sweet clover stems or J16 1300 of crown gall tumor tissue from sweet clover. Sections of tumors incited J16 1310 by ~WTV were not similarly stained with conjugated normal serum J16 1320 or conjugated antiserum to potato yellow-dwarf virus. After J16 1340 passing **f through ~DEAE-cellulose, the titer of antibodies to J16 1350 ~WTV in the specific fraction was 1:4 of the titer before such J16 1360 passage (precipitin ring tests by R& F& Whitcomb); but mere dilution J16 1370 of the conjugate to 1:4 did not satisfactorily remove nonspecific J16 1380 staining. This indicates that increase in specificity of **f after J16 1390 passing it through ~DEAE-cellulose was not merely due to dilution. J16 1400 Specific staining by ~DEAE-cellulose treated **f J16 1410 and **f, although clearly distinguishable under the microscope from either J16 1420 nonspecific staining or autofluorescence of cells, was not satisfactorily J16 1430 photographed to show such differences in spite of many attempts J16 1440 with black and white and color photography. This was chiefly because J16 1450 of the bluish white autofluorescence from the cells. The autofluorescence J16 1460 from the walls of the xylem cells was particularly brilliant. J16 1470 _DISTRIBUTION OF VIRUS ANTIGEN_ Results of specific staining by the J16 1480 direct and the indirect methods were similar and showed the localization J16 1490 of ~WTV antigen in certain tissues of tumors. The virus antigen J16 1500 was concentrated in the pseudophloem tissue. Frequently a few isolated J16 1510 thick-walled cells or, rarely, groups of such cells in the xylem region, J16 1520 were also specifically stained, but there was no such staining J16 1530 in epidermis, cortex, most xylem cells, ray cells, or pith. Within J16 1540 the pseudophloem cells the distribution of ~WTV antigen was J16 1550 irregular in the cytoplasm. No antigen was detectable in certain dark J16 1560 spherical areas in most cells. These areas are thought to represent J16 1561 the J16 1570 nuclei. In some tumor sections small spherical bodies, possibly inclusion J16 1580 bodies (Littau and Black, 1952) stained more intensely than J16 1590 the rest of cytoplasm and probably contained more antigen. In all cases J16 1600 studied tissues of the stem on which the tumor had developed did not J16 1610 contain detectable amounts of ~WTV antigen. #DISCUSSION# In J16 1620 both the direct and indirect methods of staining, the conjugates had J16 1630 nonspecifically staining fractions. In the indirect method, this was J16 1640 evident from the fact that tumor sections were stained light green J16 1650 even when stained with ~NS and **f or with **f only. In the direct J16 1660 method, **f, not further treated, stained certain tissues of healthy J16 1670 sweet clover stems nonspecifically and ~WTV tumor sections were similarly J16 1680 stained by comparable **f. After **f and **f were passed through J16 1690 Dowex-2-chloride twice and treated twice with healthy sweet clover J16 1700 tissue powder, nonspecific staining was greatly reduced but a disturbing J16 1710 amount of such staining was still present. Treatment of the conjugates J16 1720 with ethyl acetate, and the conjugates (which had been passed J16 1730 through Dowex-2-chloride) with mouse liver powder, sweet clover crown J16 1740 gall tissue powder, or healthy sweet clover proteins did not satisfactorily J16 1750 remove nonspecifically staining substances in the conjugates. Such J16 1760 treatments of the conjugates have usually been successful in eliminating J16 1770 nonspecific staining in several other systems (Coons, 1958). Schramm J16 1790 and Ro^ttger (1959) did not report any such nonspecific staining J16 1810 of plant tissues with fluorescein isocyanate-labeled antiserum to tobacco J16 1820 mosaic virus. The reason for the failure of these treatments to J16 1830 eliminate nonspecific staining in the conjugates in our system is not J16 1840 known. In our work the best procedure for removing substances J16 1850 causing nonspecific staining in order to obtain specific conjugates was J16 1851 to pass the conjugates through a ~DEAE-cellulose J16 1860 column and in some cases to absorb the first and second J16 1870 milliliter fractions with sweet clover tissue powder. The J16 1871 specific J16 1880 staining by both direct and indirect methods showed that ~WTV antigen J16 1890 was concentrated in the pseudophloem tissue and in a few thick-walled J16 1900 cells in the xylem region, but was not detectable in any other J16 1910 tissues of the root and stem tumors. A study of the distribution of ~WTV J16 1920 antigen within the pseudophloem cells indicates that it is irregularly J16 1930 distributed in the cytoplasm. Wound-tumor virus is a leafhopper J16 1940 transmitted virus not easily transmissible by mechanical inoculation J16 1970 (Black, 1944; Brakke &, 1954). The concentration J16 1971 and J16 1980 apparent localization of the ~WTV antigen in pseudophloem tissue J16 1990 of the tumor may indicate that the virus preferentially multiplies J16 2000 in the phloem and may need to be directly placed in this tissue in order J16 2010 to infect plants. J17 0010 Since emotional reactions in the higher vertebrates depend on J17 0020 individual experience and are aroused in man, in addition, by complex J17 0030 symbols, one would expect that the hypothalamus could be excited from J17 0040 the cortex. In experiments with topical application of strychnine on J17 0050 the cerebral cortex, the transmission of impulses from the cortex to the J17 0060 hypothalamus was demonstrated. Moreover, the responsiveness of the J17 0070 hypothalamus to nociceptive stimulation is greatly increased under these J17 0080 conditions. Even more complex and obviously cortically induced forms J17 0090 of emotional arousal could be elicited in monkey ~ on seeing J17 0100 monkey ~ (but not a rabbit) in emotional stress. A previously J17 0110 extinguished conditioned reaction was restored in monkey ~ J17 0111 and was associated J17 0120 with typical signs of emotional excitement including sympathetic J17 0130 discharges. It seems to follow that by and large an antagonism J17 0140 exists between the paleo- and the neocortex as far as emotional reactivity J17 0150 is concerned, and that the balance between the two systems determines J17 0160 the emotional responsiveness of the organism. In addition, the J17 0170 neocortical-hypothalamic relations play a great role in primates, as J17 0180 Mirsky's interesting experiment on the "communication of affect" J17 0190 demonstrates. But even in relatively primitive laboratory animals J17 0200 such as the rat, sex activity closely identified with the hypothalamus J17 0210 and the visceral brain is enhanced by the neocortex. MacLean stressed J17 0220 correctly the importance of the visceral brain for preservation of J17 0230 the individual and the species, as evidenced by the influence of the J17 0240 limbic brain (including the hypothalamus) on emotions related to fight J17 0250 and flight and also on sexual functions. It should be added that in J17 0251 man J17 0260 neocortical-hypothalamic interrelations probably play a role in the fusion J17 0270 of emotional processes with those underlying perception, memory, J17 0280 imagination, and creativity. Previous experiences are obviously J17 0290 of great importance for the qualitative and quantitative emotional J17 0300 response. The visceral brain as well as the neocortex is known to contribute J17 0310 to memory, but this topic is beyond the scope of this J17 0320 paper. #/13,. HYPOTHALAMIC BALANCE AND ITS SIGNIFICANCE# After J17 0330 this brief discussion of neo-, paleocortical, and cortico-hypothalamic J17 0340 relations, let us return once more to the problem of hypothalamic balance J17 0350 and its physiological and pathological significance. Facilitatory J17 0360 processes take place between neocortex and hypothalamus via ascending J17 0370 and descending pathways. Thus cortico-fugal discharges induced by topical J17 0380 application of strychnine to a minute area in the neocortex summate J17 0390 with spikes present in the hypothalamus and cause increased convulsive J17 0400 discharges. On the other hand, the temporary reduction in hypothalamic J17 0410 excitability through the injection of a barbiturate into the posterior J17 0420 hypothalamus causes a lessening in frequency and amplitude of J17 0430 cortical strychnine spikes until the hypothalamic excitability is restored. J17 0440 Apparently, a positive feedback exists between the posterior hypothalamus J17 0450 and the cerebral cortex. Consequently, if for any reason J17 0460 the hypothalamic excitability falls below the physiological level, the J17 0470 lessened hypothalamic-cortical discharges lead to a diminished state J17 0480 of activity in the cortex with consequent reduction in the cortico-fugal J17 0490 discharges. Obviously, a vicious cycle develops. This tendency can J17 0500 be broken either by restoring hypothalamic excitability directly or J17 0510 via cortico-hypothalamic pathways. It is believed that drug therapy J17 0520 and electroshock involve the former and psychotherapy the latter mechanism. J17 0530 Before we comment further on these pathological conditions, J17 0540 we should remember that changes in the state of the hypothalamus within J17 0550 physiological limits distinguish sleep from wakefulness. Thus, J17 0560 a low intensity of hypothalamic-cortical discharges prevails in sleep J17 0570 and a high one during wakefulness, resulting in synchronous ~EEG J17 0580 potentials in the former and asynchrony in the latter condition. Moreover, J17 0590 the dominance in parasympathetic action (with reciprocal inhibition J17 0600 of the sympathetic) at the hypothalamic level induces, by its peripheral J17 0610 action, the autonomic symptoms of sleep and, by its action on the J17 0620 cortex, a lessening in the reactivity of the sensory and motor apparatus J17 0630 of the somatic nervous system. With the dominance of the sympathetic J17 0640 division of the hypothalamus, the opposite changes occur. Since J17 0650 electrical stimulation of the posterior hypothalamus produces the effects J17 0660 of wakefulness while stimulation of the anterior hypothalamus induces J17 0670 sleep, it may be said that the reactivity of the whole organism is J17 0680 altered by a change in the autonomic reactivity of the hypothalamus. J17 0690 Similar effects can be induced reflexly via the baroreceptor reflexes J17 0700 in man and animals. Of particular importance is the study of J17 0710 the actions of drugs in this respect. Although no drugs act exclusively J17 0720 on the hypothalamus or a part of it, there is sufficient specificity J17 0730 to distinguish drugs which shift the hypothalamic balance to the sympathetic J17 0740 side from those which produce a parasympathetic dominance. The J17 0750 former comprise analeptic and psychoactive drugs, the latter the tranquilizers. J17 0760 Specific differences exist in the action of different drugs J17 0770 belonging to the same group as, for instance, between reserpine and J17 0780 chlorpromazine. Important as these differences are, they should not J17 0790 obscure the basic fact that by shifting the hypothalamic balance sufficiently J17 0800 to the parasympathetic side, we produce depressions, whereas J17 0810 a shift in the opposite direction causes excitatory effects and, eventually, J17 0820 maniclike changes. The emotional states produced by drugs influence J17 0830 the cortical potentials in a characteristic manner; synchrony J17 0840 prevails in the ~EEG of the experimental animal after administration J17 0850 of tranquilizers, but asynchrony after application of analeptic and J17 0860 psychoactive drugs. The shock therapies act likewise on the J17 0870 hypothalamic balance. Physiological experiments and clinical observations J17 0880 have shown that these procedures influence the hypothalamically controlled J17 0890 hypophyseal secretions and increase sympathetic discharges. J17 0900 They shift the hypothalamic balance to the sympathetic side. This explains J17 0910 the beneficial effect of electroshock therapy in certain depressions J17 0920 and a shift in the reaction from hypo- to normal reactivity of the J17 0930 sympathetic system as shown by the Mecholyl test. Some investigators J17 0940 have found a parallelism between remissions and return of the sympathetic J17 0950 reactivity of the hypothalamus to the normal level as indicated J17 0960 by the Mecholyl test and, conversely, between clinical impairment and J17 0970 increasing deviation of this test from the norm. Nevertheless, the J17 0980 theory that the determining influence of the hypothalamic balance has J17 0990 a profound influence on the clinical behavior of neuropsychiatric patients J17 1000 has not yet been tested on an adequate number of patients. The J17 1010 Mecholyl and noradrenalin tests applied with certain precautions are J17 1020 reliable indicators of this central autonomic balance, but for the sake J17 1030 of correlating autonomic and clinical states, and of studying the effect J17 1040 of certain therapeutic procedures on central autonomic reactions, J17 1050 additional tests seem to be desirable. It was assumed that the J17 1060 shift in autonomic hypothalamic balance occurring spontaneously in J17 1065 neuropsychiatric J17 1070 patients from the application of certain therapeutic procedures J17 1080 follows the pattern known from the sleep-wakefulness cycle. J17 1090 A change in the balance to the parasympathetic side leads in the normal J17 1100 individual to sleep or, in special circumstances, to cardiovascular J17 1110 collapse or nausea and vomiting. In both conditions the emotional and J17 1120 perceptual sensitivity is diminished, but no depression occurs such J17 1130 as is seen clinically or may be produced in normal persons by drugs. The J17 1140 fundamental differences between physiological and pathological states J17 1150 of parasympathetic (and also of sympathetic) dominance remain to be J17 1160 elucidated. Perhaps a clue to these and related problems lies J17 1170 in the fact that changes in the intensity of hypothalamic discharges J17 1180 which are associated with changes in its balance lead also to J17 1190 alterations in reactivity. A state of parasympathetic "tuning" J17 1200 of the hypothalamus induced experimentally causes not only an increase J17 1210 in the parsympathetic reactivity of this structure to direct and J17 1220 reflexly induced stimuli, but leads also to an autonomic reversal: J17 1230 a stimulus acting sympathetically under control conditions elicits in J17 1240 this state of tuning a parasympathetic response! Furthermore, conditioned J17 1250 reactions are fundamentally altered when the hypothalamic sympathetic J17 1260 reactivity is augmented beyond a critical level, and several types J17 1270 of behavioral changes probably related to the degree of central autonomic J17 1280 "tuning" are observed. If, for instance, such a change is J17 1290 produced by one or a few insulin comas or electroshocks, previously J17 1300 inhibited conditioned reactions reappear. However, if these procedures J17 1310 are applied more often, conditioned emotional responses are temporarily J17 1320 abolished. In other studies, loss of differentiation in previously J17 1330 established conditioned reflexes resulted from repeated convulsive (metrazol) J17 1340 treatments, suggesting a fundamental disturbance in the balance J17 1350 between excitatory and inhibitory cerebral processes. It has J17 1360 further been shown that: (1) an experimental neurosis in its initial J17 1370 stages is associated with a reversible shift in the central autonomic J17 1380 balance; (2) drugs altering the hypothalamic balance alter conditioned J17 1390 reactions; (3) in a state of depression, the positive conditioned J17 1400 stimulus may fail to elicit a conditioned reaction but cause an increased J17 1410 synchrony instead of the excitatory desynchronizing (alerting) J17 1420 effect on the ~EEG. These are few and seemingly disjointed data, J17 1430 but they illustrate the important fact that fundamental alterations J17 1440 in conditioned reactions occur in a variety of states in which the hypothalamic J17 1450 balance has been altered by physiological experimentation, J17 1460 pharmacological action, or clinical processes. #/14,. ON THE PHYSIOLOGICAL J17 1470 BASIS OF SOME FORM OF PSYCHOTHERAPY# The foregoing remarks J17 1480 imply J17 1490 that the hypothalamic balance plays a crucial role at the crossroads J17 1500 between physiological and pathological forms of emotion. If this is J17 1510 the case, one would expect that not only the various procedures just J17 1520 mentioned which alter the hypothalamic balance would influence emotional J17 1530 state and behavior but that emotion itself would act likewise. We J17 1540 pointed out that emotional excitement may lead to psychosomatic disorders J17 1550 and neurotic symptoms, particularly in certain types of personality, J17 1560 but it is also known that the reliving of a strong emotion ("abreaction") J17 1570 may cure a battle neurosis. This phenomenon raises the question J17 1580 whether the guidance of the emotions for therapeutic ends may not J17 1590 have an even wider application in the area of the neuroses. Being J17 1591 a strictly J17 1600 physiological procedure, one may expect from such a study additional J17 1610 information on the nature of the emotional process itself. J17 1620 Wolpe's experiments and therapeutic work lie in this area. He showed J17 1630 convincingly that anxiety is a learned (conditioned) reaction and J17 1640 is the basis of experimental and clinical neuroses and assumed, therefore, J17 1650 that the neuronal changes which underlie the neuroses are functional J17 1660 and reversible. An important observation of Pavlov served as a J17 1670 guide post to achieve such a reversibility by physiological means. In J17 1680 a conditioning experiment, he demonstrated the antagonism between feeding J17 1690 and pain. A mild electrical shock served as a conditioned stimulus J17 1700 and was followed by feeding. The pain became thus the symbol for food J17 1710 and elicited salivary secretion (conditioned reflex). Even when the J17 1720 intensity of the shocks was increased gradually, it failed to evoke J17 1730 any signs of pain. Since strong nociceptive stimuli produce an experimental J17 1740 neurosis during which the animals fail to eat in the experimental J17 1750 situation, Wolpe thought that he could utilize the feeding-pain antagonism J17 1760 to inhibit the neurotic symptoms through feeding. Appropriate J17 1770 experiments showed that this is, indeed, possible. He then applied J17 1780 this J17 1790 principle of reciprocal inhibition to human neuroses. He took advantage J17 1800 of the antagonism between aggressive assertiveness and anxiety J17 1810 and found a relatively rapid disappearance of anxiety when the former J17 1820 attitude was established. For the interpretation of these significant J17 1830 investigations, it should be remembered that reciprocal relations J17 1840 exist in the hypothalamus with respect to autonomic and somatic functions J17 1850 which are closely associated with the emotions. The feeding-pain J17 1860 antagonism seems to be based on this reciprocal relation between the J17 1870 tropho- and ergotropic systems. Furthermore, a functional antagonism J17 1880 exists between an aggressive attitude and a state of anxiety. Although J17 1890 in both emotions sympathetic symptoms are present, different autonomic-somatic J17 1900 patterns underlie aggression and anxiety, respectively, J17 1910 as indicated by the rate of the excretion of the catecholamines, the state J17 1920 of the muscle tone, and the Mecholyl test. The psychological incompatibility J17 1930 of these emotional states seems to be reflected in, or based J17 1940 on, this marked difference. #/15,. CONCLUDING REMARKS# In J17 1950 our attempt to interpret the emotions in their physiological and pathological J17 1960 range, we emphasized the importance of the degree of activity J17 1970 of the parasympathetic and sympathetic divisions of the hypothalamic system J17 1980 and their influence on the inhibitory and excitatory systems, respectively. J17 1990 We stressed the reciprocal relation of these systems with J17 2000 respect to the autonomic-somatic downward discharge as well as regarding J17 2010 the hypothalamic-cortical discharge. Although we are still far from J17 2020 a complete understanding of these problems, as a first approximation, J17 2030 it is suggested that alterations in the hypothalamic balance with consequent J17 2040 changes in the hypothalamic-cortical discharges account for J17 2050 major changes in behavior seen in various moods and states of emotions J17 2060 in man and beast under physiological circumstances, in experimental and J17 2070 clinical neurosis, and as the result of psychopharmacological agents. J17 2080 In view of the important role which emotional disturbances play in J17 2090 the genesis of neurotic and psychotic disorders and the parallelism J17 2100 observed between autonomic states and psychological behavior in several J17 2110 instances, it is further suggested that a hypothalamic imbalance may J17 2120 play an important role in initiating mental changes. J18 0010 #6.4. THE PRIMARY DECOMPOSITION THEOREM# We are trying to study a J18 0020 linear operator ~ on the finite-dimensional space ~, J18 0030 by decomposing ~ into a direct sum of operators which are in some J18 0040 sense elementary. We can do this through the characteristic values J18 0050 and vectors of ~ in certain special cases, i&e&, when the J18 0060 minimal polynomial for ~ factors over the scalar field ~ J18 0070 into a product of distinct monic polynomials of degree 1. What can J18 0080 we do with the general ~? If we try to study ~ using J18 0090 characteristic values, we are confronted with two problems. First, J18 0100 ~ may not have a single characteristic value; this is really J18 0110 a deficiency in the scalar field, namely, that it is not algebraically J18 0120 closed. Second, even if the characteristic polynomial factors completely J18 0130 over ~ into a product of polynomials of degree 1, there J18 0140 may not be enough characteristic vectors for ~ to span the J18 0150 space ~; this is clearly a deficiency in ~. The second J18 0160 situation is illustrated by the operator ~ on **f (~ J18 0170 any field) represented in the standard basis by **f. The characteristic J18 0180 polynomial for ~ is **f and this is plainly also the minimal J18 0190 polynomial for ~ (or for ~). Thus ~ is not J18 0200 diagonalizable. One sees that this happens because the null space of J18 0210 **f has dimension 1 only. On the other hand, the null space of **f and J18 0220 the null space of **f together span ~, the former being the J18 0230 subspace spanned by **f and the latter the subspace spanned by **f and J18 0240 **f. This will be more or less our general method for the second J18 0250 problem. If (remember this is an assumption) the minimal polynomial J18 0260 for ~ decomposes **f where **f are distinct elements of ~, J18 0270 then we shall show that the space ~ is the direct sum J18 0280 of the null spaces of **f. The diagonalizable operator is the special J18 0290 case of this in which **f for each ~. The theorem which we prove J18 0300 is more general than what we have described, since it works with the J18 0310 primary decomposition of the minimal polynomial, whether or not the primes J18 0320 which enter are all of first degree. The reader will find it helpful J18 0330 to think of the special case when the primes are of degree 1, and J18 0340 even more particularly, to think of the proof of Theorem 10, a special J18 0350 case of this theorem. #THEOREM 12. (PRIMARY DECOMPOSITION THEOREM).# J18 0360 ~T ~V ~F. ~p ~T, **f ~F (a) **f (b) ~T (c) ~T, J18 0420 _PROOF._ J18 0430 The idea of the proof is this. If the direct-sum decomposition J18 0440 (a) is valid, how can we get hold of the projections **f associated with J18 0450 the decomposition? The projection **f will be the identity on **f J18 0460 and zero on the other **f. We shall find a polynomial **f such that J18 0470 **f is the identity on **f and is zero on the other **f, and so that J18 0480 **f, etc&. For each ~, let **f. Since **f are distinct J18 0490 prime polynomials, the polynomials **f are relatively prime (Theorem J18 0500 8, Chapter 4). Thus there are polynomials **f such that **f. Note J18 0510 also that if **f, then **f is divisible by the polynomial ~

, J18 0520 because **f contains each **f as a factor. We shall show that the polynomials J18 0530 **f behave in the manner described in the first paragraph of J18 0540 the proof. Let **f. Since **f and ~

divides **f for **f, J18 0550 we have **f. Thus the **f are projections which correspond to some J18 0560 direct-sum decomposition of the space ~. We wish to show that J18 0570 the range of **f is exactly the subspace **f. It is clear that each J18 0580 vector in the range of **f is in **f for if ~|a is in the range of J18 0590 **f, then **f and so **f because **f is divisible by the minimal polynomial J18 0600 ~

. Conversely, suppose that ~|a is in the null space J18 0610 of **f. If **f, then **f is divisible by **f and so **f, i&e&, J18 0620 **f. But then it is immediate that **f, i&e&, that ~|a is in J18 0630 the range of **f. This completes the proof of statement (a). J18 0640 It is certainly clear that the subspaces **f are invariant under ~. J18 0650 If **f is the operator induced on **f by ~, then evidently J18 0660 **f, because by definition **f is 0 on the subspace **f. This shows J18 0670 that the minimal polynomial for **f divides **f. Conversely, let J18 0680 ~ be any polynomial such that **f. Then **f. Thus **f is divisible J18 0690 by the minimal polynomial ~

of ~, i&e&, **f J18 0700 divides **f. It is easily seen that **f divides ~. Hence the J18 0710 minimal polynomial for **f is **f. #COROLLARY.# ~T, ~T, ~U ~T ~U ~U. J18 0760 In the notation of the proof of Theorem 12, let us take a J18 0770 look at the special case in which the minimal polynomial for ~ J18 0780 is a product of first-degree polynomials, i&e&, the case in J18 0781 which J18 0790 each **f is of the form **f. Now the range of **f is the null space J18 0800 **f of **f. Let us put **f. By Theorem 10, ~ is a diagonalizable J18 0810 operator which we shall call the {diagonalizable part} J18 0820 of ~. J18 0830 Let us look at the operator **f. Now **f **f so **f. The reader J18 0840 should be familiar enough with projections by now so that he sees that J18 0850 **f and in general that **f. When **f for each ~, we shall have J18 0860 **f, because the operator **f will then be 0 on the range of **f. J18 0870 #DEFINITION.# ~N ~V. ~N {nilpotent} ~r **f. #THEOREM 13.# J18 0910 ~T ~V ~F. ~T ~F ~D J18 0950 ~V ~N ~V J18 0960 (a) **f, (b) **f. ~D ~N (a) (b) J18 0971 ~T. _PROOF._ We have just observed J18 0990 that we can write **f where ~ is diagonalizable and ~ J18 1000 is nilpotent, and where ~ and ~ not only commute J18 1010 but are polynomials in ~. Now suppose that we also have **f J18 1020 where ~ is diagonalizable, ~ is nilpotent, and J18 1030 **f. We shall prove that **f. Since ~ and ~ J18 1040 commute with one another and **f, we see that ~ and ~ J18 1050 commute with ~. Thus ~ and ~ J18 1060 commute with any polynomial in ~; hence they commute with ~ J18 1070 and with ~. Now we have **f or **f and all four of these J18 1080 operators commute with one another. Since ~ and ~ J18 1090 are both diagonalizable and they commute, they are simultaneously J18 1100 diagonalizable, and **f is diagonalizable. Since ~ and ~ J18 1110 are both nilpotent and they commute, the operator **f is nilpotent; J18 1120 for, using the fact that ~ and ~ commute **f J18 1130 and so when ~ is sufficiently large every term in this expression J18 1140 for **f will be 0. (Actually, a nilpotent operator on an ~-dimensional J18 1150 space must have its ~th power 0; if we take **f J18 1160 above, that will be large enough. It then follows that **f is large J18 1170 enough, but this is not obvious from the above expression.) Now **f is J18 1180 a diagonalizable operator which is also nilpotent. Such an operator J18 1190 is obviously the zero operator; for since it is nilpotent, the minimal J18 1200 polynomial for this operator is of the form **f for some **f; but J18 1210 then since the operator is diagonalizable, the minimal polynomial cannot J18 1220 have a repeated root; hence **f and the minimal polynomial is simply J18 1230 ~, which says the operator is 0. Thus we see that **f and J18 1240 **f. #COROLLARY.# ~V ~F, ~T ~V J18 1270 ~D ~N ~D J18 1290 ~N ~T. J18 1300 From these results, one sees that the study of linear operators J18 1310 on vector spaces over an algebraically closed field is essentially reduced J18 1320 to the study of nilpotent operators. For vector spaces over non-algebraically J18 1330 closed fields, we still need to find some substitute for J18 1340 characteristic values and vectors. It is a very interesting fact that J18 1350 these two problems can be handled simultaneously and this is what we J18 1360 shall do in the next chapter. In concluding this section, we J18 1370 should like to give an example which illustrates some of the ideas of J18 1380 the primary decomposition theorem. We have chosen to give it at the J18 1390 end of the section since it deals with differential equations and thus J18 1400 is not purely linear algebra. #EXAMPLE 11.# In the primary decomposition J18 1410 theorem, it is not necessary that the vector space ~ J18 1420 be finite dimensional, nor is it necessary for parts (a) and (b) that J18 1421 ~

be the J18 1430 minimal polynomial for ~. If ~ is a linear operator J18 1440 on an arbitrary vector space and there is a monic polynomial J18 1450 ~

such that **f, then parts (a) and (b) of Theorem 12 are valid J18 1460 for ~ with the proof which we gave. Let ~ be J18 1470 a positive integer and let ~ be the space of all ~ times J18 1480 continuously differentiable functions ~ on the real line which J18 1490 satisfy the differential equation **f where **f are some fixed constants. J18 1500 If **f denotes the space of ~ times continuously differentiable J18 1510 functions, then the space ~ of solutions of this differential J18 1520 equation is a subspace of **f. If ~ denotes the differentiation J18 1530 operator and ~

is the polynomial **f then ~ J18 1540 is the null space of the operator ~, because **f simply says J18 1550 **f. Let us now regard ~ as a linear operator on the subspace J18 1560 ~. Then **f. If we are discussing differentiable complex-valued J18 1570 functions, then **f and ~ are complex vector spaces, J18 1580 and **f may be any complex numbers. We now write **f where **f are J18 1590 distinct complex numbers. If **f is the null space of **f, then Theorem J18 1600 12 says that **f. In other words, if ~ satisfies the differential J18 1610 equation **f, then ~ is uniquely expressible in the J18 1620 form **f where **f satisfies the differential equation **f. Thus, the J18 1630 study of the solutions to the equation **f is reduced to the study of J18 1640 the space of solutions of a differential equation of the form **f. This J18 1650 reduction has been accomplished by the general methods of linear algebra, J18 1651 i&e&, J18 1660 by the primary decomposition theorem. To describe J18 1670 the space of solutions to **f, one must know something about differential J18 1680 equations, that is, one must know something about ~ other J18 1690 than the fact that it is a linear operator. However, one does not J18 1700 need to know very much. It is very easy to establish by induction on J18 1710 ~ that if ~ is in **f then **f that is, **f, etc&. Thus J18 1720 **f if and only if **f. A function ~ such that **f, i&e&, J18 1730 **f, must be a polynomial function of degree **f or less: **f. J18 1740 Thus ~ satisfies **f if and only if ~ has the form **f. J18 1750 Accordingly, the 'functions' **f span the space of solutions of J18 1760 **f. Since **f are linearly independent functions and the exponential J18 1770 function has no zeros, these ~ functions **f, form a basis for J18 1780 the space of solutions. J19 0010 #7-1. EXAMPLES OF BINOMIAL EXPERIMENTS# Some experiments are composed J19 0020 of repetitions of independent trials, each with possible J19 0030 outcomes. The binomial probability distribution may describe the variation J19 0040 that occurs from one set of trials of such a experiment J19 0050 to another. We devote a chapter to the binomial distribution not J19 0060 only because it is a mathematical model for an enormous variety of real J19 0070 life phenomena, but also because it has important properties that recur J19 0080 in many other probability models. We begin with a few examples of J19 0090 binomial experiments. _MARKSMANSHIP EXAMPLE._ A trained marksman J19 0110 shooting five rounds at a target, all under practically the same conditions, J19 0120 may hit the bull's-eye from 0 to 5 times. In repeated sets of J19 0130 five shots his numbers of bull's-eyes vary. What can we say of the J19 0140 probabilities of the different possible numbers of bull's-eyes? J19 0150 _INHERITANCE IN MICE._ In litters of eight mice from similar parents, J19 0160 the number of mice with straight instead of wavy hair is an integer J19 0170 from 0 to 8. What probabilities should be attached to these possible J19 0180 outcomes? _ACES (ONES) WITH THREE DICE._ When three dice are J19 0190 tossed repeatedly, what is the probability that the number of aces is J19 0200 0 (or 1, or 2, or 3)? _GENERAL BINOMIAL PROBLEM._ More generally, J19 0210 suppose that an experiment consists of a number of independent trials, J19 0220 that each trial results in either a "success" or a "non-success" J19 0230 ("failure"), and that the probability of success remains constant J19 0240 from trial to trial. In the examples above, the occurrence of J19 0250 a bull's-eye, J19 0260 a straight-haired mouse, or an ace could be called a "success". J19 0270 In general, any outcome we choose may be labeled "success". J19 0280 The major question in this chapter is: What is the probability J19 0290 of exactly ~ successes in ~ trials? In J19 0300 Chapters 3 and 4 we answered questions like those in the examples, J19 0310 usually by counting points in a sample space. Fortunately, a general J19 0320 formula of wide applicability solves all problems of this kind. Before J19 0330 deriving this formula, we explain what we mean by "problems of this J19 0340 kind". Experiments are often composed of several identical J19 0350 trials, and sometimes experiments themselves are repeated. In the marksmanship J19 0360 example, a trial consists of "one round shot at a target" J19 0370 with outcome either one bull's-eye (success) or none (failure). J19 0380 Further, an experiment might consist of five rounds, and several sets J19 0390 of five rounds might be regarded as a super-experiment composed of several J19 0400 repetitions of the five-round experiment. If three dice are tossed, J19 0410 a trial is one toss of one die and the experiment is composed of J19 0420 three trials. Or, what amounts to the same thing, if one die is tossed J19 0430 three times, each toss is a trial, and the three tosses form the experiment. J19 0440 Mathematically, we shall not distinguish the experiment of J19 0450 three dice tossed once from that of one die tossed three times. These J19 0460 examples are illustrative of the use of the words "trial" and "experiment" J19 0470 as they are used in this chapter, but they are quite flexible J19 0480 words and it is well not to restrict them too narrowly. _EXAMPLE J19 0490 1. STUDENT FOOTBALL MANAGERS._ Ten students act as managers for J19 0500 a high-school football team, and of these managers a proportion ~

J19 0510 are licensed drivers. Each Friday one manager is chosen by lot to J19 0520 stay late and load the equipment on a truck. On three Fridays the coach J19 0530 has needed a driver. Considering only these Fridays, what is the J19 0540 probability that the coach had drivers all 3 times? Exactly 2 times? J19 0550 1 time? 0 time? _DISCUSSION._ Note that there are 3 trials J19 0560 of interest. Each trial consists of choosing a student manager at J19 0570 random. The 2 possible outcomes on each trial are "driver" or "nondriver". J19 0580 Since the choice is by lot each week, the outcomes of J19 0590 different trials are independent. The managers stay the same, so that J19 0600 **f is the same for all weeks. We now generalize these ideas for general J19 0610 binomial experiments. For an experiment to qualify as a J19 0620 , it must have four properties: (1) there must J19 0630 be a fixed number of trials, (2) each trial must result in a "success" J19 0640 or a "failure" (a binomial trial), (3) all trials must have J19 0650 identical probabilities of success, (4) the trials must be independent J19 0660 of each other. Below we use our earlier examples to describe and illustrate J19 0670 these four properties. We also give, for each property, an example J19 0680 where the property is absent. The language and notation introduced J19 0690 are standard throughout the chapter. _1. THERE MUST BE A FIXED J19 0700 NUMBER ~N OF REPEATED TRIALS._ For the marksman, we study sets J19 0710 of five shots (**f); for the mice, we restrict attention to litters J19 0730 of eight (**f); and for the aces, we toss three dice (**f). _EXPERIMENT J19 0750 WITHOUT A FIXED NUMBER OF TRIALS._ Toss a die until an ace appears. J19 0760 Here the number of trials is a random variable, not a fixed number. J19 0770 _2. BINOMIAL TRIALS._ Each of the ~ trials is either a success J19 0780 or a failure. "Success" and "failure" are just convenient J19 0790 labels for the two categories of outcomes when we talk about binomial J19 0800 trials in general. These words are more expressive than labels like J19 0810 "~" and "not-~". It is natural from the marksman's J19 0830 viewpoint to call a bull's-eye a success, but in the mice example J19 0840 it is arbitrary which category corresponds to straight hair in a mouse. J19 0850 The word "binomial" means "of two names" or "of two terms", J19 0860 and both usages apply in our work: the first to the names of the J19 0870 two outcomes of a binomial trial, and the second to the terms ~

J19 0880 and **f that represent the probabilities of "success" and "failure". J19 0890 Sometimes when there are many outcomes for a single trial, J19 0900 we group these outcomes into two classes, as in the example of the die, J19 0910 where we have arbitrarily constructed the classes "ace" and "not-ace". J19 0920 _EXPERIMENT WITHOUT THE TWO-CLASS PROPERTY._ We classify J19 0930 mice as "straight-haired" or "wavy-haired", but a hairless J19 0940 mouse appears. We can escape from such a difficulty by ruling out the J19 0950 animal as not constituting a trial, but such a solution is not always J19 0960 satisfactory. _3. ALL TRIALS HAVE IDENTICAL PROBABILITIES OF SUCCESS._ J19 0970 Each die has probability **f of producing an ace; the marksman J19 0980 has some probability ~

, perhaps 0.1, of making a bull's-eye. J19 0990 Note that we need not know the value of ~

, for the experiment J19 1000 to be binomial. _EXPERIMENT WHERE ~P IS NOT CONSTANT._ During J19 1010 a round of target practice the sun comes from behind a cloud and dazzles J19 1020 the marksman, lowering his chance of a bull's-eye. _4. THE J19 1030 TRIALS ARE INDEPENDENT._ Strictly speaking, this means that the probability J19 1040 for each possible outcome of the experiment can be computed by J19 1050 multiplying together the probabilities of the possible outcomes of the J19 1060 single binomial trials. Thus in the three-dice example **f, **f, and J19 1070 the independence assumption implies that the probability that the three J19 1080 dice fall ace, not-ace, ace in that order is (1/6)(5/6)(1/6). Experimentally, J19 1090 we expect independence when the trials have nothing to J19 1100 do with one another. _EXAMPLES WHERE INDEPENDENCE FAILS._ A family J19 1110 of five plans to go together either to the beach or to the mountains, J19 1120 and a coin is tossed to decide. We want to know the number of people J19 1130 going to the mountains. When this experiment is viewed as composed J19 1140 of five binomial trials, one for each member of the family, the outcomes J19 1150 of the trials are obviously not independent. Indeed, the experiment J19 1160 is better viewed as consisting of one binomial trial for the entire J19 1170 family. The following is a less extreme example of dependence. Consider J19 1180 couples visiting an art museum. Each person votes for one of a pair J19 1190 of pictures to receive a popular prize. Voting for one picture may J19 1200 be called "success", for the other "failure". An experiment J19 1210 consists of the voting of one couple, or two trials. In repetitions J19 1220 of the experiment from couple to couple, the votes of the two persons J19 1230 in a couple probably agree more often than independence would imply, because J19 1240 couples who visit the museum together are more likely to have similar J19 1250 tastes than are a random pair of people drawn from the entire population J19 1260 of visitors. Table 7-1 illustrates the point. The table shows J19 1270 that 0.6 of the boys and 0.6 of the girls vote for picture ~. J19 1280 Therefore, under independent voting, **f or 0.36 of the couples would J19 1290 cast two votes for picture ~, and **f or 0.16 would cast J19 1300 two votes for picture ~. Thus in independent voting, **f or 0.52 J19 1320 of the couples would agree. But Table 7-1 shows that **f or 0.70 agree, J19 1330 too many for independent voting. Each performance of an ~-trial J19 1340 binomial experiment results in some whole number from 0 J19 1350 through ~ as the value of the random variable ~, where J19 1360 **f. We want to study the of this random variable. J19 1370 For example, we are interested in the number of bull's-eyes, J19 1380 not which shots were bull's-eyes. A binomial experiment can produce J19 1390 random variables other than the number of successes. For example, the J19 1400 marksman gets 5 shots, but we take his score to be the number of shots J19 1410 his first bull's-eye, that is, 0, 1, 2, 3, 4 (or 5, if J19 1420 he gets no bull's-eye). Thus we do not score the number of bull's-eyes, J19 1430 and the random variable is not the number of successes. J19 1435 The constancy of ~

and the independence are the conditions most J19 1450 likely to give trouble in practice. Obviously, very slight changes J19 1460 in ~

do not change the probabilities much, and a slight lack of J19 1470 independence may not make an appreciable difference. (For instance, J19 1480 see Example 2 of Section 5-5, on red cards in hands of 5.) On the J19 1490 other hand, even when the binomial model does not describe well the physical J19 1500 phenomenon being studied, the binomial model may still be used J19 1510 as a baseline for comparative purposes; that is, we may discuss the J19 1520 phenomenon in terms of its departures from the binomial model. _TO J19 1530 SUMMARIZE:_ A consists of **f independent J19 1540 binomial trials, all with the same probability **f of yielding a success. J19 1550 The outcome of the experiment is ~ successes. The random J19 1560 variable ~ takes the values **f with probabilities **f or, more J19 1570 briefly **f. We shall find a formula for the probability of J19 1580 exactly ~ successes for given values of ~

and ~. J19 1590 When J19 1600 each number of successes ~ is paired with its probability of J19 1620 occurrence **f, the set of pairs **f, is a probability function called J19 1630 a . The choice of ~

and ~ determines J19 1640 the binomial distribution uniquely, and different choices always J19 1650 produce different distributions (except when **f; then the number J19 1660 of successes is always 0). The set of all binomial distributions is J19 1670 called , but in general discussions J19 1690 this expression is often shortened to "the binomial distribution", J19 1700 or even "the binomial" when the context is clear. Binomial distributions J19 1710 were treated by James Bernoulli about 1700, and for this J19 1720 reason binomial trials are sometimes called . _RANDOM J19 1730 VARIABLES._ Each binomial trial of a binomial experiment produces J19 1740 either 0 or 1 success. Therefore each binomial trial can be thought J19 1750 of as producing a value of a random variable associated with that J19 1760 trial and taking the values 0 and 1, with probabilities ~ and J19 1770 ~

respectively. The several trials of a binomial experiment J19 1780 produce a new random variable ~, the total number of successes, J19 1790 which is just the sum of the random variables associated with the single J19 1800 trials. _EXAMPLE 2._ The marksman gets two bull's-eyes, one J19 1810 on his third shot and one on his fifth. The numbers of successes on J19 1820 the five individual shots are, then, 0, 0, 1, 0, 1. The number of successes J19 1830 on each shot is a value of a random variable that has values 0 J19 1840 or 1, and there are 5 such random variables here. Their sum is ~, J19 1850 the total number of successes, which in this experiment has the J19 1860 value **f. J20 0010 Consider a simple, closed, plane curve ~ which is a real-analytic J20 0020 image of the unit circle, and which is given by **f. These J20 0030 are real analytic periodic functions with period ~. In the J20 0040 following paper it is shown that in a certain definite sense, exactly J20 0050 an odd number of squares can be inscribed in every such curve which does J20 0060 not contain an infinite number of inscribed squares. This theorem J20 0070 is similar to the theorem of Kakutani that there exists a circumscribing J20 0080 cube around any closed, bounded convex set in **f. The latter theorem J20 0090 has been generalized by Yamabe and Yujobo, and Cairns to show J20 0100 that in **f there are families of such cubes. Here, for the case of J20 0110 squares inscribed in plane curves, we remove the restriction to convexity J20 0120 and give certain other results. A square inscribed in a curve J20 0130 ~ means a square with its four corner points on the curve, J20 0140 though it may not lie entirely in the interior of ~. Indeed, J20 0150 the spiral **f, with the two endpoints connected by a straight line possesses J20 0160 only one inscribed square. The square has one corner point on J20 0170 the straight line segment, and does not lie entirely in the interior. J20 0180 On ~, from the point ~

at **f to the point ~ J20 0190 at **f, we construct the chord, and upon the chord as a side J20 0200 erect a square in such a way that as ~ approaches zero the square J20 0210 is inside ~. As ~ increases we consider the two free J20 0220 corner points of the square, **f and **f, adjacent to ~

and ~ J20 0230 respectively. As ~ approaches ~ the square will J20 0240 be outside ~ and therefore both **f and **f must cross ~ J20 0250 an odd number of times as ~ varies from zero to ~. J20 0260 The points may also touch ~ without crossing. Suppose J20 0270 **f crosses ~ when **f. We now have certain squares with three J20 0280 corners on ~. For any such square the middle corner of these J20 0290 will be called the vertex of the square and the corner not on the J20 0300 curve will be called the diagonal point of the square. Each point on J20 0310 ~, as a vertex, may possess a finite number of corresponding diagonal J20 0320 points by the above construction. To each paired vertex J20 0330 and diagonal point there corresponds a unique forward corner point, J20 0340 i&e&, the corner on ~ reached first by proceeding along ~ J20 0350 from the vertex in the direction of increasing ~. If the J20 0360 vertex is at **f, and if the interior of ~ is on the left as J20 0370 one moves in the direction of increasing ~, then every such corner J20 0380 can be found from the curve obtained by rotating ~ clockwise J20 0390 through 90` about the vertex. The set of intersections of **f, J20 0400 the rotated curve, with the original curve ~ consists of just J20 0410 the set of forward corner points on ~ corresponding to the vertex J20 0420 at **f, plus the vertex itself. We note that two such curves ~ J20 0430 and **f, cannot coincide at more than a finite number of points; J20 0440 otherwise, being analytic, they would coincide at all points, which J20 0450 is impossible since they do not coincide near **f. With each J20 0460 vertex we associate certain numerical values, namely the set of positive J20 0470 differences in the parameter ~ between the vertex and its corresponding J20 0480 forward corner points. For the vertex at **f, these values J20 0490 will be denoted by **f. The function ~ defined in this way J20 0500 is multi-valued. We consider now the graph of the function J20 0510 ~ on **f. We will refer to the plane of ~ and **f as J20 0520 the ~-plane and to the plane of the graph as the ~-plane. J20 0530 The graph, as a set, may have a finite number of components. We J20 0540 will denote the values of ~ on different components by **f. J20 0550 Each point with abscissa ~ on the graph represents an intersection J20 0560 between ~ and **f. There are two types of such intersections, J20 0570 depending essentially on whether the curves cross at the point J20 0580 of intersection. An point will be any point of intersection J20 0590 ~ such that in every neighborhood of ~ in the ~-plane, J20 0600 **f meets both the interior and the exterior of ~. J20 0610 Any other point of intersection between ~ and **f will be called J20 0620 a point. This terminology will also be applied to the J20 0630 corresponding points in the ~-plane. We can now prove several J20 0640 lemmas. #LEMMA 1.# . _PROOF._ We first show that the function J20 0670 is J20 0680 single-valued in some neighborhood. With the vertex at **f in the ~-plane J20 0690 we assume that **f is the parametric location on ~ J20 0700 of an ordinary intersection ~ between ~ and **f. In J20 0710 the ~-plane the coordinates of the corresponding point are J20 0720 **f. We know that in the ~-plane both ~ and **f are analytic. J20 0730 In the ~-plane we construct a set of rectangular Cartesian J20 0740 coordinates ~, ~ with the origin at ~ and J20 0750 such that both ~ and **f have finite slope at ~. Near J20 0760 ~, both curves can be represented by analytic functions of J20 0761 ~. J20 0770 In a neighborhood of ~ the difference between these J20 0780 functions is also a single-valued, analytic function of ~. Furthermore, J20 0790 one can find a neighborhood of ~ in which the difference J20 0800 function is monotone, for since it is analytic it can have only J20 0810 a finite number of extrema in any interval. Now, to find **f, one needs J20 0820 the intersection of ~ and **f near ~. But **f is just J20 0830 the curve **f translated without rotation through a small arc, for J20 0840 **f is always obtained by rotating ~ through exactly 90`. The J20 0850 arc is itself a segment of an analytic curve. Thus if ~ is J20 0860 sufficiently J20 0870 small, there can be only one intersection of ~ and J20 0880 **f near ~, for if there were more than one intersection for every J20 0890 ~ then the difference between ~ and **f near ~ J20 0900 would not be a monotone function. Therefore, **f is single-valued J20 0910 near ~. It is also seen that **f, since the change from **f J20 0920 to **f is accomplished by a continuous translation. Thus **f is also J20 0930 continuous at **f, and in a neighborhood of **f which does not contain J20 0940 a tangent point. We turn now to the set of tangent points on J20 0950 the graph. This set must consist of isolated points and closed intervals. J20 0960 The fact that there can not be any limit points of the set except J20 0970 in closed intervals follows from the argument used in Lemma 1, namely, J20 0980 that near any tangent point in the ~-plane the curves ~ J20 0990 and **f are analytic, and therefore the difference between them J20 1000 must be a monotone function in some neighborhood on either side of the J20 1010 tangent point. This prevents the occurrence of an infinite sequence J20 1020 of isolated tangent points. #LEMMA 2.# . _PROOF._ A tangent point J20 1060 ~ in the ~-plane occurs when ~ and **f are J20 1070 tangent to one another. A continuous change in ~ through an amount J20 1080 ~ results in a translation along an analytic arc of the curve J20 1090 **f. There are three possibilities: (a) **f remains tangent to J20 1100 ~ as it is translated; (b) **f moves away from ~ and J20 1110 does not intersect it at all for **f; (c) **f cuts across ~ J20 1120 and there are two ordinary intersections for every ~ in **f. The J20 1130 first possibility results in a closed interval of tangent points J20 1140 in the ~-plane, the end points of which fall into category (b) J20 1150 or (c). In the second category the function **f has no values defined J20 1160 in a neighborhood **f. In the third category the function is double-valued J20 1170 in this interval. The same remarks apply to an interval on the J20 1180 other side of **f. Again, the analyticity of the two curves guarantee J20 1190 that such intervals exist. In the neighborhood of an end point of an J20 1200 interval of tangent points in the ~-plane the function is two-valued J20 1210 or no-valued on one side, and is a single-valued function consisting J20 1220 entirely of tangent points on the other side. With the J20 1230 above results we can make the following remarks about the graph of ~. J20 1240 First, for any value of ~ for which all values of ~ J20 1250 are ordinary points the number of values of ~ must be J20 1260 odd. For it is clear that the total number of ordinary intersections J20 1270 of ~ and **f must be even (otherwise, starting in the interior J20 1280 of ~, **f could not finally return to the interior), and the J20 1290 center of rotation at ~ is the argument of the function, not a J20 1300 value. Therefore, for any value of ~ the number of values of J20 1310 ~ is equal to the (finite) number of tangent points corresponding J20 1320 to the argument ~ plus an odd number. #DEFINITION.# The J20 1330 number of ordinary values of the function ~ at ~ J20 1340 will be called its multiplicity at ~. #LEMMA 3.# ]. _PROOF_ We suppose not. Then every component J20 1370 of the graph of ~ must be defined over a bounded sub-interval. J20 1380 Suppose **f is defined in the sub-interval **f. Now **f and **f J20 1390 must both be tangent points on the ~th component in the ~-plane; J20 1400 otherwise by Lemma 1 the component would extend beyond J20 1410 these points. Further, we see by Lemma 2 that the multiplicity of J20 1420 ~ can only change at a tangent point, and at such a point can J20 1430 only change by an even integer. Thus the multiplicity of **f for a given J20 1440 ~ must be an even number. This is true of all components J20 1450 which have such a bounded support. But this is a contradiction, for we J20 1460 know that the multiplicity of ~ is odd for every ~. J20 1470 We have shown that the graph of ~ contains at least one J20 1480 component whose inverse is the entire interval ~[0,], and J20 1490 whose multiplicity is odd. There must be an odd number of such components, J20 1500 which will be called complete components. The remaining (incomplete) J20 1510 components all have an even number of ordinary points at any argument, J20 1520 and are defined only on a proper J20 1521 sub-interval of ~[0,]. J20 1530 We must now show that on some component of the graph there exist J20 1540 two points for which the corresponding diagonal points in the ~-plane J20 1550 are on opposite sides of ~. We again consider a J20 1560 fixed point ~

at **f and a variable point ~ at **f on J20 1570 ~. We erect a square with ~ as a side and with free J20 1580 corners **f and **f adjacent to ~

and ~ respectively. J20 1590 As ~ varies from zero to ~, the values of ~ for J20 1600 which **f and **f ~ will be denoted by **f and **f J20 1610 respectively. We have **f, plus tangent points. These ~-values J20 1620 are just the ordinary values of **f. #LEMMA 4.# J20 1640 which has components corresponding to those of ~. _PROOF._ J20 1650 We first define a function ~ as follows: given the J20 1660 set of squares such that each has three corners on ~ and vertex J20 1670 at ~, ~ is the corresponding set of positive parametric J20 1680 differences between ~ and the corner points. J20 1690 The functions ~ and ~ have exactly the same multiplicity J20 1700 at every argument ~. Now with ~

fixed at **f, **f-values J20 1710 occur when the corner **f crosses ~, and are among the values J20 1720 of ~ such that **f. The roots of this equation are just the J20 1730 ordinates of the intersections of the graph of ~ with a straight J20 1740 line of unit slope through **f in the ~-plane (the plane of J20 1750 the graph of ~). We define these values as **f, and define ~ J20 1760 in the same way for each ~. Thus we obtain ~ J20 1770 by introducing an oblique ~-axis in the ~-plane. J21 0010 #INTRODUCTION.# In @1 we investigate a new series of line involutions J21 0020 in a projective space of three dimensions over the field of complex J21 0030 numbers. These are defined by a simple involutorial transformation J21 0040 of the points in which a general line meets a nonsingular quadric surface J21 0050 bearing a curve of symbol **f. Then in @2 we show that any line J21 0060 involution with the properties that (a) It has no complex of invariant J21 0070 lines, and (b) Its singular lines form a complex consisting exclusively J21 0080 of the lines which meet a twisted curve, is necessarily of the J21 0090 type discussed in @1. No generalization of these results to spaces J21 0100 of more than three dimensions has so far been found possible. #1.# J21 0110 Let ~ be a nonsingular quadric surface bearing reguli **f J21 0120 and **f, and let ~\g be a **f curve of order ~ on ~. J21 0130 A J21 0140 general line ~ meets ~ in two points, **f and **f, through J21 0150 each of which passes a unique generator of the regulus, **f, whose J21 0160 lines are simple secants of ~\g. On these generators let **f and J21 0170 **f be, respectively, the harmonic conjugates of **f and **f with respect J21 0180 to the two points in which the corresponding generator meets ~\g. J21 0190 The line **f is the image of ~. Clearly, the transformation J21 0200 is involutorial. We observe first that no line, ~, J21 0210 can meet its image except at one of its intersections with ~. J21 0220 For if it did, the plane of ~ and ~ would contain J21 0230 two generators of **f, which is impossible. Moreover, from the definitive J21 0240 transformation of intercepts on the generators of **f, it is clear J21 0250 that the only points of ~ at which a line can meets its image J21 0260 are the points of ~\g. Hence the totality of singular lines is J21 0270 the ~th order complex of lines which meet ~\g. The J21 0280 invariant lines are the lines of the congruence of secants of ~\g, J21 0290 since each of these meets ~ in two points which are invariant. J21 0300 The order of this congruence is **f, since **f secants of a curve of J21 0310 symbol ~() on a quadric surface pass through an arbitrary point. J21 0320 The class of the congruence is **f, since an arbitrary plane meets J21 0330 ~\g in ~ points. Since the complex of singular J21 0340 lines is of order ~ and since there is no complex of invariant J21 0350 lines, it follows from the formula **f that the order of the involution J21 0360 is **f. There are various sets of exceptional lines, or lines J21 0370 whose images are not unique. The most obvious of these is the quadratic J21 0380 complex of tangents to ~, each line of which is transformed J21 0390 into the entire pencil of lines tangent to ~ at the image J21 0400 of the point of tangency of the given line. Thus pencils of J21 0410 tangents to ~ are transformed into pencils of tangents. It is J21 0420 interesting that a 1:1 correspondence can be established between the J21 0430 lines of two such pencils, so that in a sense a unique image can actually J21 0440 be assigned to each tangent. For the lines of any plane, ~|p, J21 0450 meeting ~ in a conic ~, are transformed into the congruence J21 0460 of secants of the curve ~ into which ~ is J21 0470 transformed in the point involution on ~. In particular, tangents J21 0480 to ~ are transformed into tangents to ~. Moreover, J21 0490 if **f and **f are two planes intersecting in a line ~, tangent J21 0500 to ~ at a point ~

, the two free intersections of J21 0510 the image curves **f and **f must coincide at ~, the image J21 0520 of ~

, and at this point **f and **f must have a common tangent J21 0530 ~. Hence, thought of as a line in a particular plane ~|p, J21 0540 any tangent to ~ has a unique image and moreover this image J21 0550 is the same for all planes through ~. Each generator, J21 0560 ~|l, of **f is also exceptional, for each is transformed into the J21 0570 entire congruence of secants of the curve into which that generator J21 0580 is transformed by the point involution on ~. This curve is of J21 0590 symbol **f since it meets ~|l, and hence every line of **f in the J21 0600 **f invariant points on ~|l and since it obviously meets every line J21 0610 of **f in a single point. The congruence of its secants is therefore J21 0620 of order **f and class **f. A final class of exceptional lines J21 0630 is identifiable from the following considerations: Since no two J21 0640 generators of **f can intersect, it follows that their image curves J21 0650 can have no free intersections. In other words, these curves have only J21 0660 fixed intersections common to them all. Now the only way in which all J21 0670 curves of the image family of **f can pass through a fixed point is J21 0680 to have a generator of **f which is not a secant but a tangent of ~\g, J21 0690 for then any point on such a generator will be transformed into J21 0700 the point of tangency. Since two curves of symbol **f on ~ intersect J21 0710 in **f points, it follows that there are **f lines of **f which J21 0720 are tangent to ~\g. Clearly, any line, ~, of any bundle J21 0730 having one of these points of tangency, ~, as vertex will be transformed J21 0740 into the entire pencil having the image of the second intersection J21 0750 of ~ and ~ as vertex and lying in the plane determined J21 0760 by the image point and the generator of **f which is tangent to J21 0770 ~\g at ~. A line through two of these points, **f and **f, J21 0780 will be transformed into the entire bilinear congruence having the J21 0790 tangents to ~\g at **f and **f as directrices. A conic, ~, J21 0800 being a (1, 1) curve on ~, meets the image of any line J21 0810 of **f, which we have already found to be a **f curve on ~, J21 0820 in **f points. Hence its image, ~, meets any line of **f J21 0830 in **f points. Moreover, ~ obviously meets any line **f in J21 0840 a single point. Hence ~ is a **f curve on ~. Therefore, J21 0850 the congruence of its secants, that is the image of a general J21 0860 plane field of lines, is of order **f and class **f. Finally, the image J21 0870 of a general bundle of lines is a congruence whose order is the order J21 0880 of the congruence of invariant lines, namely **f and whose class is J21 0890 the order of the image congruence of a general plane field of lines, J21 0900 namely **f. #2.# The preceding observations make it clear that there J21 0910 exist line involutions of all orders greater than 1 with no complex J21 0920 of invariant lines and with a complex of singular lines consisting exclusively J21 0930 of the lines which meet a twisted curve ~\g. We now shall J21 0940 show that any involution with these characteristics is necessarily J21 0950 of the type we have just described. To do this we must first J21 0960 show that every line which meets ~\g in a point ~

meets its J21 0970 image at ~

. To see this, consider a general pencil of lines J21 0980 containing a general secant of ~\G. By (1), the image of this pencil J21 0990 is a ruled surface of order **f which is met by the plane of the J21 1000 pencil in a curve, ~, of order **f. On ~ there is a J21 1010 **f correspondence in which the **f points cut from ~ by a general J21 1020 line, ~, of the pencil correspond to the point of intersection J21 1030 of the image of ~ and the plane of the pencil. Since ~ J21 1040 is rational, this correspondence has ~ coincidences, each J21 1050 of which implies a line of the pencil which meets its image. However, J21 1060 since the pencil contains a secant of ~\g it actually contains only J21 1070 **f singular lines. To avoid this contradiction it is necessary that J21 1080 ~ be composite, with the secant of ~\g and a curve of J21 1090 order **f as components. Thus it follows that the secants of ~\g J21 1100 are all invariant. But if this is the case, then an arbitrary pencil J21 1110 of lines having a point, ~

, of ~\g as vertex is transformed J21 1120 into a ruled surface of order **f having **f generators concurrent at J21 1130 ~

. Since a ruled surface of order ~ with ~ concurrent J21 1131 generators J21 1140 is necessarily a cone, it follows finally that every line through J21 1150 a point, ~

, of ~\g meets its image at ~

, as asserted. J21 1160 Now consider the transformation of the lines of a bundle J21 1170 with vertex, ~

, on ~\g which is effected by the involution J21 1180 as a whole. From the preceding remarks, it is clear that such a bundle J21 1190 is transformed into itself in an involutorial fashion. Moreover, J21 1200 in this involution there is a cone of invariant lines of order **f, namely J21 1210 the cone of secants of ~\g which pass through ~

. Hence J21 1220 it follows that the involution within the bundle must be a perspective J21 1230 de Jonquieres involution of order **f and the invariant locus must J21 1240 have a multiple line of multiplicity either **f or **f. The first possibility J21 1250 requires that there be a line through ~

which meets J21 1260 ~\g in **f points; the second requires that there be a line through J21 1270 ~

which meets ~\g in **f points. In each case, lines J21 1280 of the bundles are transformed by involutions within the pencils they J21 1290 determine with the multiple secant. In the first case the fixed elements J21 1300 within each pencil are the multiple secant and the line joining the J21 1310 vertex, ~

, to the intersection of ~\g and the plane of J21 1320 the pencil which does not lie on the multiple secant. In the second, J21 1330 the fixed elements are the lines which join the vertex, ~

, to J21 1340 the two intersections of ~\g and the plane of the pencil which do J21 1350 not lie on the multiple secant. The multiple secants, of course, are J21 1360 exceptional and in each case are transformed into cones of order **f. J21 1370 Observations similar to these can be made at each point of ~\g. J21 1380 Hence ~\g must have either a regulus of **f-fold secants or J21 1390 a regulus of **f-fold secants. Moreover, if **f, no two of the multiple J21 1400 secants can intersect. For if such were the case, either the plane J21 1410 of the two lines would meet ~\g in more than ~ points or, J21 1420 alternatively, the order of the image regulus of the pencil determined J21 1430 by the two lines would be too high. But if no two lines of the regulus J21 1440 of multiple secants of ~\g can intersect, then the regulus must J21 1450 be quadratic, or in other words, ~\g must be either a **f or a **f J21 1460 curve on a nonsingular quadric surface. We now observe that J21 1470 the case in which ~\g is a **f curve on a quadric is impossible if J21 1480 the complex of singular lines consists exclusively of the lines which J21 1490 meet ~\g. For any pencil in a plane containing a **f-fold secant J21 1500 of ~\g has an image regulus which meets the plane of the pencil J21 1510 in **f lines, namely the images of the lines of the pencil which pass J21 1520 through the intersection of ~\g and the multiple secant, plus an additional J21 1530 component to account for the intersections of the images of J21 1540 the general lines of the pencil. However, if there is no additional complex J21 1550 of singular lines, the order of the image regulus of a pencil is J21 1560 precisely **f. This contradicts the preceding observations, and so, J21 1570 under the assumption of this paper we must reject the possibility that J21 1580 ~\g is a **f curve on a quadric surface. Continuing with J21 1590 the case in which ~\g is a **f curve on a quadric ~, we first J21 1600 observe that the second regulus of ~ consists precisely of J21 1610 the lines which join the two free intersections of ~\g and the planes J21 1620 through any one of the multiple secants. For each of these lines J21 1630 meets ~ in three points, namely two points on ~\g and one J21 1640 point on one of the multiple secants. Now consider an arbitrary J21 1650 line, ~, meeting ~ in two points, **f and **f. If J21 1660 ~|a is the multiple secant of ~\g which passes through **f and J21 1670 ~|b is the simple secant of ~\g which passes through **f, and J21 1680 if **f are the points in which ~|a meets ~\g, and if **f is the J21 1690 image of **f on the generator ~|b, it follows that the image of J21 1700 the line **f is **f. J22 0010 These societies can expect to face difficult times. As the historic J22 0020 processes of modernization gradually gain momentum, their cohesion J22 0030 will be threatened by divisive forces, the gaps between rulers and J22 0040 subjects, town and country, will widen; new aspirants for power will J22 0050 emerge whose ambitions far exceed their competence; old rulers may J22 0060 lose their nerve and their sense of direction. National leaders will J22 0070 have to display the highest skills of statesmanship to guide their people J22 0080 through times of uncertainty and confusion which destroy men's J22 0090 sense of identity. Feelings of a community of interest will have to J22 0100 be recreated- in some of the new nations, indeed, they must be built J22 0110 for the first time- on a new basis which looks toward the future and J22 0120 does not rely only on shared memories of the past. Nevertheless, with J22 0130 foresight and careful planning, some of the more disruptive and dangerous J22 0140 consequences of social change which have troubled other countries J22 0150 passing through this stage can be escaped. The United States can J22 0160 help by communicating a genuine concern with the problems these countries J22 0170 face and a readiness to provide technical and other appropriate forms J22 0180 of assistance where possible. Our central goal should be J22 0190 to provide the greatest positive incentive for these societies to tackle J22 0200 boldly the tasks which they face. At the same time, we should recognize J22 0210 that the obstacles to change and the lack of cohesion and stability J22 0220 which characterize these countries may make them particularly prone J22 0230 to diversions and external adventures of all sorts. It may seem to some J22 0240 of them that success can be purchased much less dearly by fishing J22 0241 in the J22 0250 murky waters of international politics than by facing up to the intractable J22 0260 tasks at home. We should do what we can to discourage this conclusion, J22 0270 both by offering assistance for their domestic needs and by reacting J22 0280 firmly to irresponsible actions on the world scene. When necessary, J22 0290 we should make it clear that countries which choose to derive marginal J22 0300 advantages from the cold war or to exploit their potential for J22 0310 disrupting the security of the world will not only lose our sympathy but J22 0320 also risk their own prospects for orderly development. As a nation, J22 0330 we feel an obligation to assist other countries in their development; J22 0340 but this obligation pertains only to countries which are honestly J22 0350 seeking to become responsible members of a stable and forward-moving world J22 0351 community. J22 0360 #TRANSITIONAL SOCIETIES# When we look at countries like J22 0370 Iran, Iraq, Pakistan, and Burma, where substantial progress has been J22 0371 made J22 0380 in creating a minimum supply of modern men and of social overhead capital, J22 0390 and where institutions of centralized government exist, we find J22 0400 a second category of countries with a different set of problems and hence J22 0410 different priorities for policy. The men in power are committed J22 0420 in principle to modernization, but economic and social changes are proceeding J22 0430 only erratically. Isolated enterprises have been launched, but J22 0440 they are not yet related to each other in a meaningful pattern. The J22 0450 society is likely to be characterized by having a fairly modernized urban J22 0460 sector and a relatively untouched rural sector, with very poor communications J22 0470 between the two. Progress is impeded by psychological inhibitions J22 0480 to effective action among those in power and by a failure on J22 0490 their part to understand how local resources, human and material, can J22 0500 be mobilized to achieve the national goals of modernization already symbolically J22 0510 accepted. Most countries in this second category share J22 0520 the difficulty of having many of the structures of a modern political J22 0530 and social system without the modern standards of performance required J22 0540 to make them effective. In these rapidly changing societies there J22 0550 is also too little appreciation of the need for effort to achieve goals. J22 0560 The colonial period has generally left people believing that government J22 0570 can, if it wishes, provide all manner of services for them- J22 0580 and that with independence free men do not have to work to realize the J22 0590 benefits of modern life. For example, in accordance with the fashion J22 0600 of the times, most transitional societies have announced economic development J22 0610 plans of varying numbers of years; such is the mystique of J22 0620 planning that people expect that fulfillment of the plan will follow J22 0630 automatically upon its announcement. The civil services in such societies J22 0640 are generally inadequate to deal competently with the problems facing J22 0650 them; and their members often equate a government career with security J22 0660 and status rather than with sacrifice, self-discipline, and competence. J22 0670 American policy should press constantly the view that J22 0680 until these governments demand efficiency and effectiveness of their J22 0690 bureaucracies there is not the slightest hope that they will either modernize J22 0700 of democratize their societies. We should spread the view that J22 0710 planning and national development are serious matters which call for J22 0720 effort as well as enthusiasm. Above all, we should seek to encourage J22 0730 the leaders of these societies to accept the unpleasant fact that they J22 0740 are responsible for their fates. Only within the framework of a mature J22 0750 relationship characterized by honest appraisals of performance can J22 0760 we provide telling assistance. With respect to those countries whose J22 0770 leaders prefer to live with their illusions, we can afford to wait, J22 0780 for in time their comparative lack of progress will become clear for all J22 0790 to see. Our technical assistance to these countries should J22 0800 place special emphasis on inducing the central governments to assume the J22 0810 role of advisor and guide which at an earlier stage foreign experts J22 0830 assumed in dealing with the central governments. We should encourage J22 0840 the governments to develop their own technical assistance to communities, J22 0850 state and provincial governments, rural communities, and other smaller J22 0860 groups, making certain that no important segment of the economy is J22 0870 neglected. Simultaneously we should be underlining the interrelationships J22 0880 of technical progress in various fields, showing how agricultural J22 0890 training can be introduced into education, how health affects labor J22 0900 productivity, how small business can benefit the rural farm community, J22 0910 and, above all, how progress in each field relates to national progress. J22 0920 Efforts such as the Community Development Program in the Philippines J22 0930 have demonstrated that transitional societies can work toward J22 0940 balanced national development. To achieve this goal of balanced development, J22 0950 communications between the central government and the local communities J22 0960 must be such that the needs and aspirations of the people themselves J22 0970 are effectively taken into account. If modernization programs J22 0980 are imposed from above, without the understanding and cooperation of J22 0990 the people, they will encounter grave difficulties. Land reform J22 1000 is likely to be a pressing issue in many of these countries. It should J22 1010 be American policy not only to encourage effective land reform J22 1020 programs but also to underline the relation of such reforms to the economic J22 1030 growth and modernization of the society. As an isolated policy, J22 1040 land reform is likely to be politically disruptive; as part of a larger J22 1050 development effort, however, it may gain wide acceptance. It should J22 1060 also be recognized that the problem of rural tenancy cannot be solved J22 1070 by administrative decrees alone. Land reform programs need to be J22 1080 supplemented with programs for promoting rural credits and technical assistance J22 1090 in agriculture. Lastly, governmental and private planners J22 1100 will at this stage begin to see large capital requirements looming J22 1110 ahead. By holding out prospects for external capital assistance, the J22 1120 United States can provide strong incentives to prepare for the concerted J22 1130 economic drive necessary to achieve self-sustaining growth. #ACTIVELY J22 1140 MODERNIZING SOCIETIES# At a third stage in the modernization J22 1150 process are such countries as India, Brazil, the Philippines, and J22 1160 Taiwan, which are ready and committed to move into the stage of self-sustaining J22 1170 growth. They must continue to satisfy basic capital needs; J22 1180 and there persists the dual problem of maintaining operational unity J22 1190 around a national program of modernization while simultaneously decentralizing J22 1200 participation in the program to wider and wider groups. J22 1210 But these countries have made big strides toward developing the necessary J22 1220 human and social overhead capital; they have established reasonably J22 1230 stable and effective governmental institutions at national and local J22 1240 levels; and they have begun to develop a capacity to deal realistically J22 1250 and simultaneously with all the major sectors of their economies. J22 1260 On the economic front, the first priority of these countries J22 1270 is to mobilize a vastly increased volume of resources. Several related J22 1280 tasks must be carried out if self-sustaining growth is to be achieved. J22 1290 These countries must formulate a comprehensive, long-term program J22 1300 covering the objectives of both the private and the public sectors J22 1310 of the economy. They must in their planning be able to count on at least J22 1330 tentative commitments of foreign capital assistance over periods J22 1340 of several years. Capital imports drawn from a number of sources must J22 1350 be employed and combined skillfully enough to permit domestic investment J22 1360 programming to go forward. Capital flows must be coordinated with J22 1370 national needs and planning. Finally, a balance must be effected among J22 1390 project finance, utilization of agricultural surpluses, and general J22 1400 balance of payments support. Thus, although the agenda of external J22 1410 assistance in the economic sphere are cumulative, and many of the J22 1420 policies suggested for nations in the earlier stages remain relevant, J22 1430 the basic purpose of American economic policy during the later stages J22 1440 of development should be to assure that movement into a stage of self-sustaining J22 1450 growth is not prevented by lack of foreign exchange. J22 1460 There remain many political and administrative problems to be solved. J22 1470 For one thing, although considerable numbers of men have been trained, J22 1480 bureaucracies are still deficient in many respects; even the J22 1490 famed Indian Civil Service is not fully adequate to the tremendous J22 1500 range of tasks it has undertaken. Technical assistance in training middle- J22 1510 and upper-level management personnel is still needed in many cases. J22 1520 There are also more basic problems. This is the stage at which democratic J22 1530 developments must take place if the society is to become an J22 1540 open community of creative people. Nevertheless, impulses still exist J22 1550 among the ruling elite to rationalize and thus to perpetuate the need J22 1560 for centralized and authoritarian practices. Another great danger is J22 1570 that the emerging middle class will feel itself increasingly alienated J22 1580 from the political leaders who still justify their dominance by reference J22 1590 to the struggle for independence or the early phase of nationalism. J22 1600 The capacity of intellectuals and members of the new professional J22 1610 classes to contribute creatively to national development is likely to J22 1620 be destroyed by a constraining sense of inferiority toward both their J22 1630 own political class and their colleagues and professional counterparts J22 1640 in the West. Particularly when based upon a single dominant party, J22 1650 governments may respond to such a situation by claiming a monopoly of J22 1660 understanding about the national interest. Convinced of the wisdom of J22 1670 their own actions, and reassured by the promises of their economic development J22 1680 programs, governments may fail to push outward to win more J22 1690 and more people to the national effort, becoming instead more rigid and J22 1700 inflexible in their policies. American policy toward such societies J22 1710 should stress our sympathy for the emerging social and professional J22 1720 classes. It should attempt to communicate both an appreciation J22 1730 of professional standards and an understanding of the tremendous powers J22 1740 and potentialities of genuinely open and pluralistic societies. We J22 1750 have every obligation to take seriously their claims to being democratic J22 1760 and free countries; we also have, in consequence, the duty to appraise J22 1770 realistically and honestly their performance and to communicate J22 1780 our judgments to their leaders in frank but friendly ways. #THE TIME J22 1790 FACTOR# We have emphasized that the modernizing process in each society J22 1800 will take a considerable period of time. With the exception of J22 1810 treaty-making, foreign relations were historically concerned for the J22 1820 most part with conditions of short or at least measurable duration. Foreign J22 1830 policy now takes on a different perspective and must become skilled J22 1840 not merely at response but also at projection. American and free-world J22 1850 policies can marginally affect the pace of transition; but basically J22 1860 that pace depends on changes in the supply of resources and in J22 1870 the human attitudes, political institutions, and social structure which J22 1880 each society must generate. It follows that any effective policy toward J22 1890 the underdeveloped countries must have a realistically long working J22 1900 horizon. It must be marked by a patience and persistence which have J22 1910 not always been its trademark. This condition affects not only J22 1920 the conception but also the legislative and financial support of foreign J22 1930 policy, especially in the context of economic aid. J23 0010 #/2,: SOME OF THE MAJOR FUNCTIONS OF RELIGION# The place of J23 0020 religion in the simple, preliterate societies is quite definite; as J23 0030 a complex it fits into the whole social organization and functions dominantly J23 0040 in every part of it. In societies like ours, however, its place J23 0050 is less clear and more complex. With the diversity of religious viewpoints, J23 0060 there are differences of opinion as to the essential features J23 0070 of religion; and there are different opinions as to the essential J23 0080 functions of religion. Nevertheless, for most of the population of heterogeneous J23 0090 advanced societies, though less for the less religious portion, J23 0100 religion does perform certain modal individual and social functions. J23 0110 Although the inner functions of religion are not of direct J23 0120 significance in social organization, they have important indirect consequences. J23 0130 If the inner functions of religion are performed, the individual J23 0140 is a composed, ordered, motivated, and emotionally secure associate; J23 0150 he is not greatly frustrated, and he is not anomic; he is J23 0160 better fitted to perform his social life among his fellows. There are J23 0170 several closely related inner functions. In the last analysis, J23 0180 religion is the means of inducing, formulating, expressing, enhancing, J23 0190 implementing, and perpetuating man's deepest experience- the religious. J23 0210 Man is first religious; the instrumentalities follow. Religion J23 0220 seeks to satisfy human needs of great pertinence. The significant J23 0240 things in it, at the higher religious levels, are the inner emotional, J23 0250 mental, and spiritual occurrences that fill the pressing human needs J23 0260 of self-preservation, self-pacification, and self-completion. The chief J23 0270 experience is the sensing of communion, and in the higher religions, J23 0280 of a harmonious relationship with the supernatural power. Related to J23 0290 this is the fact that most of the higher religions define for the individual J23 0300 his place in the universe and give him a feeling that he is relatively J23 0310 secure in an ordered, dependable universe. Man has the experience J23 0320 of being helpfully allied with what he cannot fully understand; J23 0330 he is a coordinate part of all of the mysterious energy and being and J23 0340 movement. The universe is a safe and permanent home. A number J23 0350 of religions also satisfy for many the need of being linked with the J23 0360 ultimate and eternal. Death is not permanent defeat and disappearance; J23 0370 man has a second chance. He is not lost in the abyss of endless J23 0380 time; he has endless being. Religion at its best also offers the J23 0390 experience of spiritual fulfillment by inviting man into the highest realm J23 0400 of the spirit. Religion can summate, epitomize, relate, and conserve J23 0410 all the highest ideals and values- ethical, aesthetic, and religious- J23 0420 of man formed in his culture. There is also the possibility, J23 0440 among higher religions, of experiencing consistent meaning in life J23 0450 and enjoying guidance and expansiveness. The kind of religious experience J23 0460 that most moderns seek not only provides, clarifies, and relates J23 0470 human yearnings, values, ideals, and purposes; it also provides facilities J23 0480 and incitements for the development of personality, sociality, J23 0490 and creativeness. Under the religious impulse, whether theistic or J23 0510 humanistic, men have joy in living; life leads somewhere. Religion J23 0520 at its best is out in front, ever beckoning and leading on, and, as Lippman J23 0530 put it, "mobilizing all man's scattered energies in one triumphant J23 0540 sense of his own infinite importance". At the same J23 0550 time J23 0560 that religion binds the individual helpfully to the supernatural and J23 0570 gives him cosmic peace and a sense of supreme fulfillment, it also has J23 0580 great therapeutic value for him. It gives him aid, comfort, even solace, J23 0590 in meeting mundane life situations where his own unassisted practical J23 0600 knowledge and skill are felt by him to be inadequate. He is confronted J23 0610 with the recurrent crises, such as great natural catastrophes and J23 0620 the great transitions of life- marriage, incurable disease, widowhood, J23 0640 old age, the certainty of death. He has to cope with frustration J23 0650 and other emotional disturbance and anomie. His religious beliefs provide J23 0660 him with plausible explanations for many conditions which cause J23 0670 him great concern, and his religious faith makes possible fortitude, equanimity, J23 0680 and consolation, enabling him to endure colossal misfortune, J23 0690 fear, frustration, uncertainty, suffering, evil, and danger. Religion J23 0700 usually also includes a principle of compensation, mainly in a promised J23 0710 perfect future state. The belief in immortality, where held, J23 0730 functions as a redress for the ills and disappointments of the here J23 0740 and now. The tensions accompanying a repressive consciousness of wrongdoing J23 0750 or sinning or some tormenting secret are relieved for the less J23 0760 self-contained or self-sufficient by confession, repentance, and penance. J23 0770 The feeling of individual inferiority, defeat, or humilation growing J23 0780 out of various social situations or individual deficiencies or failures J23 0790 is compensated for by communion in worship or prayer with a friendly, J23 0800 but all-victorious Father-God, as well as by sympathetic fellowship J23 0810 with others who share this faith, and by opportunities in religious J23 0820 acts for giving vent to emotions and energies. In providing J23 0830 for these inner individual functions, religion undertakes in behalf J23 0840 of individual peace of mind and well-being services for which there is J23 0850 no other institution. In addition to the functions of religion J23 0870 within man, there have always been the outer social functions for the J23 0880 community and society. The two have never been separable. Religion J23 0890 is vitally necessary in both societal maintenance and regulation. J23 0900 The value-system of a community or society is always correlated with, J23 0910 and to a degree dependent upon, a more or less shared system of religious J23 0920 beliefs and convictions. The religion supports, re-enforces, J23 0930 reaffirms, and maintains the fundamental values. Even in the united J23 0940 states, with its freedom of religious belief and worship and its vast J23 0950 denominational differentiation, there is a general consensus regarding J23 0960 the basic Christian values. This is demonstrated especially when there J23 0970 is awareness of radically different value orientation elsewhere; J23 0980 for example Americans rally to Christian values vis-a-vis those J23 0990 of atheistic communism. In America also all of our major religious bodies J23 1000 officially sanction a universalistic ethic which is reflective of J23 1010 our common religion. Even the non-church members- the freewheelers, J23 1030 marginal religionists and so on- have the values of Christian civilization J23 1050 internalized in them. Furthermore, religion tends to integrate J23 1060 the whole range of values from the highest or ultimate values of God J23 1070 to the intermediary and subordinate values; for example, those regarding J23 1080 material objects and pragmatic ends. Finally, it gives sanctity, J23 1090 more than human legitimacy, and even, through super-empirical reference, J23 1100 transcendent and supernatural importance to some values; for example, J23 1110 marriage as a sacrament, much law-breaking as sinful, occasionally J23 1120 the state as a divine instrument. It places certain values at least J23 1130 beyond questioning and tampering. Closely related to this J23 1140 function is the fact that the religious system provides a body of ultimate J23 1160 ends for the society, which are compatible with the supreme eternal J23 1170 ends. This something leads to a conception of an over-all Social J23 1180 Plan with a meaning interpretable in terms of ultimate ends; for example, J23 1190 a plan that fulfills the will of God, which advances the Kingdom J23 1200 of God, which involves social life as part of the Grand Design. J23 1210 This explains some group ends and provides a justification of their J23 1230 primacy. It gives social guidance and direction and makes for programs J23 1240 of social action. Finally, it gives meaning to much social endeavor, J23 1250 and logic, consistency, and meaning to life. In general, there is no J23 1260 society so secularized as to be completely without religiously inspired J23 1270 transcendental ends. Religion integrates and unifies. Some J23 1280 of the oldest, most persistent, and most cohesive forms of social groupings J23 1290 have grown out of religion. These groups have varied widely from J23 1300 mere families, primitive, totemic groups, and small modern cults and J23 1310 sects, to the memberships of great denominations, and great, widely J23 1320 dispersed world religions. Religion fosters group life in various ways. J23 1330 The common ultimate values, ends and goals fostered by religion are J23 1340 a most important factor. Without a system of values there can be no J23 1350 society. Where such a value system prevails, it always unifies all J23 1360 who possess it; it enables members of the society to operate as a system. J23 1380 The beliefs of a religion also reflecting the values are expressed J23 1390 in creeds, dogmas, and doctrines, and form what Durkheim calls a credo. J23 1400 As he points out, a religious group cannot exist without a collective J23 1410 credo, and the more extensive the credo, the more unified and strong J23 1420 is the group. The credo unifies and socializes men by attaching J23 1430 them completely to an identical body of doctrine; the more extensive J23 1440 and firm the body of doctrine, the firmer the group. The religious J23 1450 symbolism, and especially the closely related rites and worship J23 1460 forms, constitute a powerful bond for the members of the particular faith. J23 1470 The religion, in fact, is an expression of the unity of the group, J23 1480 small or large. The common codes, for religious action as such and J23 1490 in their ethical aspects for everyday moral behavior, bind the devotees J23 1500 together. These are ways of jointly participating in significantly J23 1510 symbolized, standardized, and ordered religiously sanctified behavior. J23 1520 The codes are mechanism for training in, and directing and enforcing, J23 1530 uniform social interaction, and for continually and publicly reasserting J23 1540 the solidarity of the group. Durkheim noted long ago that J23 1550 religion as "**h a unified system of beliefs and practices relative J23 1560 to sacred things **h unite[s] into one single moral community **h J23 1570 all J23 1580 those who adhere to them". His view is that every religion pertains J23 1590 to J23 1600 a community, and, conversely, every community is in one aspect a religious J23 1610 unit. This is brought out in the common religious ethos that prevails J23 1620 even in the denominationally diverse audiences at many secular J23 1630 semi-public and public occasions in the United States; and it is J23 1650 evidenced in the prayers offered, in the frequent religious allusions, J23 1660 and in the confirmation of points on religious grounds. The J23 1670 unifying effect of religion is also brought out in the fact that historically J23 1680 peoples have clung together as more or less cohesive cultural J23 1690 units, with religion as the dominant bond, even though spatially dispersed J23 1700 and not politically organized. The Jews for 2500 years have been J23 1710 a prime example, though the adherents of any world or interpeople religion J23 1720 are cases in point. it might be pointed out that the integrating J23 1730 function of religion, for good or ill, has often supported or been J23 1740 identified with other groupings- political, nationality, language, class, J23 1760 racial, sociability, even economic. Religion usually exercises J23 1780 a stabilizing-conserving function. As such it acts as an anchor J23 1790 for the people. There is a marked tendency for religions, once firmly J23 1800 established, to resist change, not only in their own doctrines and policies J23 1810 and practices, but also in secular affairs having religious relevance. J23 1820 It has thus been a significant factor in the conservation of J23 1830 social values, though also in some measure, an obstacle to the creation J23 1840 or diffusion of new ones. It tends to support the longstanding precious J23 1850 sentiments, the traditional ways of thinking, and the customary ways J23 1860 of living. As Yinger has pointed out, the "**h reliance on symbols, J23 1870 on tradition, on sacred writings, on the cultivation of emotional J23 1880 feelings of identity and harmony with sacred values, turns one to the J23 1890 past far more than to the future". Historically, religion has also J23 1900 functioned as a tremendous engine of vindication, enforcement, sanction, J23 1910 and perpetuation of various other institutions. At the same J23 1920 time that religion exercises a conserving influence, it also energizes J23 1930 and motivates both individuals and groups. Much of the important J23 1940 individual and social action has been owing to religious incentives. The J23 1950 great ultimate ends of religion have served as magnificent beacon J23 1960 lights that lured people toward them with an almost irresistible force, J23 1970 mobilizing energies and inducing sacrifices; for example, the Crusades, J23 1980 mission efforts, just wars. Much effort has been expended in the J23 1990 sincere effort to apply the teaching and admonitions of religion. The J23 2000 insuperable reward systems that most religions embody have great motivating J23 2010 effects. Religion provides the most attractive rewards, either J23 2020 in this world or the next, for those who not merely abide by its norms, J23 2030 but who engage in good works. Religion usually acts as a J23 2031 powerful J23 2040 aid in social control, enforcing what men should or should not J23 2050 do. Among primitive peoples the sanctions and dictates of religion were J23 2060 more binding than any of the other controls exercised by the group; J23 2070 and in modern societies such influence is still great. Religion has J23 2080 its own supernatural prescriptions that are at the same time codes J23 2090 of behavior for the here and now. J24 0010 Overwhelmed with the care of five young children and concerned about J24 0020 persistent economic difficulties due to her husband's marginal income, J24 0030 her defense of denial was excessively strong. Thus the lack of effective J24 0040 recognition of the responsibilities involved in caring for two J24 0050 babies showed signs of becoming a disabling problem. The result, dramatically J24 0060 visible in a matter of days in the family's disrupted daily J24 0070 functioning, was a phobic-like fear that some terrible harm would befall J24 0080 the second twin, whose birth had not been anticipated. Soon Mrs& J24 0090 B&'s fears threatened to burst into a full-blown panic concerning J24 0100 the welfare of the entire family. Inability to care for the other J24 0110 children, difficulty in feeding the babies, who seemed colicky, bone-weary J24 0120 fatigue, repeated crying episodes, and short tempers reflected J24 0130 the family's helplessness in coping with the stressful situation. Clearly, J24 0140 this was a family in crisis. Mrs& B& compared her J24 0150 feelings of weakness to her feelings of weakness and helplessness at J24 0160 the time of her mother's death when she was eight, as well as her subsequent J24 0170 anger at her father for remarrying. Her previous traumatic experiences J24 0180 flashed through her mind as if they had happened yesterday. J24 0190 On the anniversary of her father's death she poured out with agonized J24 0200 tears her feelings of guilt about not having attended his funeral. J24 0210 In the family's own words (during the third of twelve visits), they J24 0220 had "reached the crisis peak- either the situation will give or J24 0230 we J24 0240 will break"! Direct confrontation and acceptance of Mrs& J24 0250 B&'s anger against the second baby soon dissipated her fears J24 0260 of annihilation. Abreaction of her anxiety and guilt concerning the J24 0270 death of her parents, when linked up with her current feelings of anger J24 0280 and her fears of loss, abandonment, and annihilation, produced further J24 0290 relief of tension. In a joint interview Mr& and Mrs& B& were J24 0300 helped to understand the meaning of a younger son's wandering away J24 0310 from home in terms of his feelings of displacement in reaction to the J24 0320 arrival of the twins. The father, accurately perceiving the child's J24 0330 needs, not only respected them as worthy of his attention, but immediately J24 0340 satisfied them by taking him on his lap along with the twins, J24 0360 saying, "I have a big lap; there is room for you, too, Johnnie". J24 0370 Simultaneously, a variety of environmental supports- a calm but J24 0380 not J24 0390 too motherly homemaker, referral for temporary economic aid, intelligent J24 0400 use of nursing care, accompaniment to the well-baby clinic for medical J24 0410 advice on the twins' feeding problem- combined to prevent further J24 0430 development of predictable pathological mechanisms. Follow-up visits J24 0440 of the nurse and social worker indicated continued success in the J24 0450 care of the new babies as well as a marked improvement in the family's J24 0460 day-to-day mental health and social functioning. As seen J24 0470 in the B& family, there must be an attempt to help the client develop J24 0480 conscious awareness of the problem, especially in the absence of a J24 0490 formal request for assistance. The lack of awareness usually springs J24 0500 from deep but disguised anxiety, often assuming the superficial guise J24 0510 of "not knowing" or "not caring". The unhealthy use of denial J24 0520 in the initial reaction to a stress must be handled through the medium J24 0530 of a positive controlled transference. In general, the approach is J24 0540 more active than passive, more out-reaching than reflective. While some J24 0550 regression is inevitable, it is discouraged rather than encouraged J24 0560 so that the transference does not follow the stages of planned regression J24 0570 associated with certain casework adaptations of the psychoanalytic J24 0580 model for insight therapy. To establish an emotionally meaningful J24 0590 relationship the worker must demonstrate actual or potential helpfulness J24 0600 immediately, preferably within the first interview, by meeting J24 0610 the client's specific needs. These needs usually concern the reduction J24 0620 of guilt and some relief of tension. The initial interview must J24 0630 be therapeutic rather than purely exploratory in an information-seeking J24 0640 sense. In this relationship-building stage the worker must communicate J24 0650 confidence in the client's ability to deal with the problem. In J24 0660 so doing he implicitly offers the positive contagion of hope as a kind J24 0670 of maturational dynamic to counteract feelings of helplessness and hopelessness J24 0680 generally associated with the first stages of stress impact. J24 0690 Thus, the client receives enough ego support to engage in constructive J24 0700 efforts on his own behalf. Here there is a specific preventive component J24 0710 which applies in a more generalized sense to any casework situation. J24 0720 We are preventing or averting pathogenic phenomena such as undue J24 0730 regression, unhealthy suppression and repression, excessive use of J24 0740 denial, and crippling guilt turned against the self. While some suppression J24 0750 and some denial are not only necessary but healthy, the worker's J24 0760 clinical knowledge must determine how these defenses are being used, J24 0770 what healthy shifts in defensive adaptation are indicated, and when J24 0780 efforts at bringing about change can be most effectively timed. J24 0790 In steering the family toward ego-adaptive and away from maladaptive J24 0800 responses, the worker uses time-honored focused casework techniques J24 0810 of specific emotional support, clarification, and anticipatory guidance. J24 0820 Over a relatively short period of time, usually about four to twelve J24 0830 weeks, the worker must be able to shift the focus, back and forth, J24 0840 between immediate external stressful exigencies ("precipitating stress") J24 0850 and the key, emotionally relevant issues ("underlying problem") J24 0860 which are, often in a dramatic preconscious breakthrough, reactivated J24 0870 by the crisis situation, and hence once again amenable to resolution. J24 0880 Though there is obviously nothing new about these techniques, they J24 0890 do challenge the worker's skill to articulate them precisely on the J24 0900 spot and on the basis of quick and accurate diagnostic assessments. J24 0910 Then, too, the utmost clinical flexibility is necessary in judiciously J24 0920 combining carefully timed family-oriented home visits, single and group J24 0930 office interviews, and appropriate telephone follow-up calls, if J24 0940 the worker is to be genuinely accessible and if the predicted unhealthy J24 0950 outcome is to be actually averted in accordance with the principles J24 0960 of preventive intervention. In addition, in many cases, a variety of J24 0970 concrete social resources- homemaker, day care, medical and financial J24 0990 aid- must be reasonably available for the reality support needed to J24 1000 bolster the family in its individual and collective coping and integrative J24 1010 efforts. At certain critical stages, and only for sound diagnostic J24 1020 reasons, it may be important to accompany family members in their use J24 1030 of these resources if their problem-solving behavior is to be constructive J24 1040 rather than defeating. While expensive in time and involving J24 1050 a great deal of adaptation on the part of the worker (in terms of his J24 1060 willingness to leave the sanctity of his office and enter actively into J24 1070 the client's life), techniques of accompaniment were found to be of J24 1080 tremendous value when in the service of specific preventive objectives. J24 1090 Finally, whatever the techniques used, a twin goal is common to all J24 1100 preventive casework service: to cushion or reduce the force of the J24 1110 stress impact while at the same time to encourage and support family J24 1120 members to mobilize and use their ego capacities. Having outlined J24 1130 an approach to the theory and practice of preventive casework, we J24 1140 now address ourselves to our final question: What place should brief, J24 1150 crisis-oriented preventive casework occupy in our total spectrum of J24 1160 services? We should first recognize our tendency to develop a hierarchy J24 1170 of values, locating brief treatment at the bottom and long-term J24 1180 intensive service at the top, instead of seeing the services as part J24 1190 of a continuum, each important in its own right. This problem is perhaps J24 1200 as old as social casework itself. Almost three decades ago Bertha J24 1210 Reynolds undertook a study of short-contact interviewing because of J24 1220 her conviction that short-term casework had an important but neglected J24 1230 place in our network of social services. Her conclusion has been borne J24 1240 out in the experience of many practitioners: "**h short-contact J24 1250 interviewing is neither a truncated nor a telescoped experience but J24 1260 is of the same essential quality as the so-called intensive case work". J24 1270 Thus, J24 1280 casework involving a limited number of interviews is still to be J24 1290 regarded in terms of the quality of service rendered rather than of the J24 1300 quantity of time expended. That we are experiencing an upsurge J24 1310 of interest in the many formulations and preventive adaptations of J24 1320 brief treatment in social casework is evident from even a small sampling J24 1330 of current literature. Especially noteworthy is Levinger's finding J24 1340 that the length of treatment per se is not a reliable indicator of J24 1350 successful outcome. According to a number of studies, the important J24 1360 predictors are the nature and management of the client's anxiety as J24 1380 well as the accessibility of the helping person. For example, the level J24 1390 of improvement noted in a recent experiment with a short course of J24 1400 immediate treatment for parent-child relationship problems compared favorably J24 1410 with the results reported by typical child guidance clinics where J24 1420 the hours spent in purely diagnostic study may equal or exceed the J24 1430 number of hours devoted to actual treatment interviews in the experimental J24 1440 project. Of startling significance, too, is the assertion that J24 1450 it was possible to carry out this program with only a 6 percent attrition J24 1460 rate as compared with a rate of 59 percent reported for a comparable J24 1470 group of families who were receiving help in traditionally operated J24 1480 child guidance services. These reports refer to a level of secondary J24 1490 prevention in a child guidance clinic approached by the customary route J24 1500 of voluntary referral by the family or by other professional people. J24 1510 Similarities to the approach which I have described are evident in J24 1520 the prompt establishment of a helping relationship, quick appraisal of J24 1530 key issues, and the immediate mobilization of treatment plans as the J24 1540 essential dynamics in helping to further the ego's coping efforts in J24 1550 dealing with the interplay of inner and outer stresses. While there J24 1560 are many different possibilities for the timing of casework intervention, J24 1580 the experiments recently reported from a variety of traditional settings J24 1590 all point up the importance of an response to the client's J24 1600 initial need for help. In some programs, treatment is concentrated J24 1610 over a short period of time, while in others, after the initial J24 1620 contact is established, flexible spacing of interviews has been experimentally J24 1630 used with apparent success. Willingness to take the risk of J24 1640 early and direct interpretation (with the proviso that if the interpretation J24 1650 is too threatening, the worker can withdraw) is another prominent J24 1660 feature in these efforts. My aim in mentioning this factor obviously J24 1670 is not to give license to "wild therapy" but rather to encourage J24 1680 us to use the time-honored clinical casework skills we already possess, J24 1690 and to use them with greater confidence, precision, and professional J24 1700 pride. Though there is obviously great need for continued J24 1710 experimentation with various types of short-term intervention to further J24 1720 efforts in developing an operational definition of prevention at J24 1730 the secondary- or perhaps, in some instances, primary- level, the J24 1740 place of short-term intervention has already been documented by a number J24 1750 of investigators in a wide variety of settings. Woodward, for example, J24 1760 has emphasized the "need for a broad spectrum of services, including J24 1770 very brief services in connection with critical situations". Ideally, J24 1780 brief treatment should be arrived at as a treatment of choice J24 1790 rather J24 1800 than as a treatment of chance. Moreover, the shortage of treatment J24 1810 resources and the chronically persistent shortage of mental health manpower J24 1820 force us to innovate additional refinements of preventive intervention J24 1830 techniques to make services more widely available- and on a J24 1840 more effective basis to more people. Further research in the meaning J24 1850 of crises as experienced by the consumers of traditional social casework J24 1860 services- including attempts to develop a typology of family structures, J24 1870 crisis problems, reaction mechanisms, and differential treatment J24 1880 approaches- and the establishment of new experimental programs are J24 1890 imperative social needs which should command the best efforts of caseworkers J24 1900 in collaboration with community planners. our literature J24 1910 is already replete with a fantastic number of suggestions for preventive J24 1920 agency programming ranging from the immediately practical to the J24 1930 globally utopian. Probably, in the immediate future, we will have to J24 1940 settle for middle-range efforts that fall short of utopian models. Increased J24 1950 experimentation with multipurpose agencies, especially those J24 1960 that combine afresh the traditional functions of family and child welfare J24 1970 services, holds rich promise for the future. For example, child welfare J24 1980 experience abounds with cases in which the parental request for J24 1990 substitute care is precipitated by a crisis event which is meaningfully J24 2000 linked with a fundamental unresolved problem of family relationships. J25 0010 _SENTIMENT:_ Tension management and communication of sentiment J25 0020 are the processes involved in the functioning of the element of sentiment J25 0030 or feeling. One of the devices for tension management is preferential J25 0040 mating. The preferential mating of this particular population J25 0050 has been analyzed in a separate study. The relative geographical isolation J25 0060 of the Brandywine population makes for a limited choice in mating. J25 0080 It would seem necessary that members of this population provide support J25 0090 for one another since it is not provided by the larger society. The J25 0100 supportive relations can apparently be achieved in geographical and J25 0110 social isolation. The newlyweds building homes on the same land with J25 0120 either set of parents, and the almost exclusive use of members of the J25 0130 population as sponsors for baptisms and weddings illustrate this supportive J25 0140 relationship. As Loomis remarks, "In the internal pattern J25 0150 the chief reason for interacting is to communicate liking, friendship, J25 0160 and love among those who stand in supporting relations to one another J25 0170 and corresponding negative sentiments to those who stand in antagonistic J25 0180 relations". _ACHIEVING:_ Maintenance of the might seem to be the appropriate goal or objective of this population J25 0200 today. Yet, the object of the element of achieving through the J25 0210 process of goal attaining for this population appears to have been changed J25 0220 by circumstances brought about by the war. Prior to World War J25 0230 /2, there was a higher percentage of endogamous marriages than after J25 0240 World war /2,. _NORMS:_ The norms, as elements, refer J25 0250 to "all criteria for judging the character or conduct of both individual J25 0260 and group actions in any social system". The process of evaluation J25 0270 assigns varying positive and negative priorities or values to elements. J25 0280 The elements and processes become evident in a study of mate J25 0290 selection in this population. From the evidence "it may be conjectured J25 0300 that core-core marriages are the preferred unions for core males and J25 0310 females; core-marginal marriages still belong in the category of J25 0320 permissive unions; and core-Negro marriages are proscribed for core J25 0330 members". _STATUS-ROLES:_ The element of status-roles and associated J25 0340 processes have not been sufficiently investigated for this population J25 0350 to permit any type of conjectures about them. _POWER:_ J25 0360 There is some indication from a limited number of interviews with members J25 0370 of the population that the element of power, primarily the voluntary J25 0380 influence of non-authoritative power, has been exerted on actors in J25 0390 the system, particularly in regard to mate selection. This would seem J25 0400 to vary from family to family, depending somewhat on the core or marginal J25 0410 "status" of that family. Again, size of the group may have J25 0420 some influence on the strength of group controls. _RANKING:_ Interviews J25 0430 with members of the Brandywine population were attempted in J25 0431 order J25 0440 to discover the ranking of the various families in the population. J25 0450 The large majority of the interviewees placed core families in the J25 0460 upper positions. Loomis considers ranking a product of the evaluation J25 0470 process. "The standing or rank of an actor in a given social system J25 0480 is determined by the evaluation placed upon the actor and his acts in J25 0490 accordance with the norms and standards of the system". Despite the J25 0500 increasing rate of exogamous marriages, the population has been able J25 0510 to sustain, at least to some degree, the consciousness of its intermediate J25 0520 status in society. To some extent the system can be considered J25 0530 a in which "social-role occupancies are determined J25 0540 by birth, by attributes such as sex or caste, which are biologically J25 0550 or socially immutable". The adherence of many in the population to J25 0560 the Indian background in their pedigree, and emphasis upon the fact J25 0570 that their ancestors had never been slaves, becomes of prime interest J25 0580 in J25 0590 determining how far these elements promote the self-image of the intermediate J25 0600 status of the group in society. _SANCTIONS:_ The negative J25 0610 sanctions applied to core-Negro marriages for core members act as J25 0620 indicators of expected adherence to group norms. However, because of J25 0630 Church laws, lately more stringently enforced, which forbid the marriage J25 0640 of cousins closely related consanguineously, a means of facilitating J25 0650 the goal of in-group relations may be that of recourse to illegitimate J25 0660 unions. A cursory survey of available material indicates a high J25 0670 rate of illegitimate births occurring to parents who have a close consanguineous J25 0680 relationship. #SUBSYSTEMS# The comprehensive or master J25 0690 processes activate all or some of the elements within the social system J25 0700 and subsystems. Within the larger social system are the structural J25 0710 and functional subsystems. The structural subsystem, consisting of J25 0720 relatively stable inter-relationships among its parts, includes: _1._ J25 0730 Subgroups of various types, interconnected by relational norms. J25 0740 _2._ Roles of various types, within the larger system and within J25 0750 the subgroups **h _3._ Regulative norms governing subgroups and J25 0760 roles. _4._ Cultural values. In the study of marriage J25 0770 patterns for this group, consanguinity produces the structural system- J25 0780 a system of affinities- which, in turn, maintains the system of J25 0790 consanguinity. Subgroups of various types have been found within this J25 0800 system. Each family line can be considered a substructure. There seems J25 0810 to be an implied cultural value attached to the fact of core status J25 0820 within the group. Additionally, the proscription of core-Negro marriages J25 0830 for core families, discussed above, would seem to act as a regulative J25 0840 norm governing subgroups and roles. The scope of this study does J25 0850 not provide for the study of roles of various types within the larger J25 0860 system or within the subgroups. However, it cannot be presumed, informal J25 0870 though the structure of the population seems, that there are not J25 0880 well-defined roles within the system. The present study relates J25 0890 to the theory of functional systems. It is hypothesized that fertility J25 0900 is a function of the social system when the population as a whole J25 0910 is considered and a function of the subsystems when the two-fold division J25 0920 of core families and marginal families is considered. The four J25 0930 functional problems of a social system are, to some extent, solved by J25 0940 the subsystems within this population. By means of geographical isolation J25 0950 and high fertility rates, inbreeding can be fostered and the pattern J25 0960 of isolation from the greater society maintained. In order to attain J25 0970 the goal of group solidarity and to relieve tension, the high fertility J25 0980 rate provides more group members for mate selection, and the clustering J25 0990 of members in groups fosters acceptance of group controls. To J25 1000 maintain their intermediate position in the larger society, it is not J25 1010 only necessary that members of this population be "visible", but J25 1020 that their numbers be great enough to be recognized as a separate, distinct J25 1030 grouping or system in society. As mentioned above, where families J25 1040 are concentrated in larger numbers, group controls seem strongest and J25 1050 most effective. Adaptation to the social and non-social environment J25 1060 through the economy has been met to a degree through a type of occupational J25 1070 segregation. This provides the necessary contact with the larger J25 1080 society, while supporting a type of control over members in terms J25 1090 of social contacts. Integration "has to do with the inter-relation J25 1100 of parts". The problem of solidarity and morale again involves J25 1110 the concept of values. The values placed by the Brandywine population, J25 1120 upon maintaining a certain homogeneity, a certain separate racial J25 1130 identity, and therefore a certain separate social status, are important J25 1140 for the morale of the system. Since morale is closely related to J25 1150 pattern maintenance and integration, the higher the morale and solidarity, J25 1160 the better the system can solve the problems of the system. In this J25 1170 respect it would seem that the greater the social distance between J25 1180 the Brandywine population and the white and Negro populations within J25 1190 the same general locality, the greater the possibility for higher morale J25 1200 and solidarity within the Brandywine population. It is conceived J25 1210 that one of the means to attain this social distance is that of physical J25 1220 and social isolation. In turn, higher fertility rates for this population J25 1230 provide a means of increasing the numerical quantity of the J25 1240 population, allowing for the possibility of greater stability and unity. J25 1250 The population can thereby replenish itself and actually grow larger. J25 1260 #MASTER PROCESSES# Of particular utility in the analysis of the J25 1270 development, persistence, and change of social systems has been the J25 1280 use of the master or comprehensive processes. Loomis considers six such J25 1290 processes in his paradigm. 1. Communication 2. Boundary J25 1300 maintenance 3. Systemic linkage 4. Socialization J25 1310 5. Social control 6. Institutionalization Though undoubtedly J25 1320 all six processes are operative within the whole social system J25 1330 and its subsystems, two processes that are of crucial importance to J25 1340 this study will be singled out for particular emphasis: _COMMUNICATION:_ J25 1350 In discussing the process of communication, Loomis defines J25 1360 it as "the process by which information, decisions, and directives J25 1370 are transmitted among actors and the ways in which knowledge, opinions, J25 1380 and attitudes are formed, or modified by interaction". Communication J25 1390 may be facilitated by means of the high visibility within the larger J25 1400 community. Intense interaction is easier where segregated living and J25 1410 occupational segregation mark off a group from the rest of the community, J25 1420 as in the case of this population. However, the factor of physical J25 1430 isolation is not a static situation. Although the Brandywine population J25 1440 is still predominantly rural, "there are indications of a consistent J25 1450 and a statistically significant trend away from the older and J25 1460 relatively isolated rural communities **h urbanization appears to be J25 1470 an important factor in the disintegration of this group. This conclusion J25 1480 is, however, an over-simplification. A more realistic analysis must J25 1490 take into account the fact that Brandywine people in the urban-fringe J25 1500 area are, in general, less segregated locally than group members J25 1510 in rural areas. In the urban area, in other words, they, unlike some J25 1520 urban ethnic groups, do not concentrate in ghetto colonies. Group pressures J25 1530 toward conformity are slight or non-existent, and deviant behavior J25 1540 in mate selection incurs few if any social sanctions. In such a setting J25 1550 social contacts and associations are likely to be heterogamous, J25 1560 resulting in a change of values and almost necessarily, in mate selection J25 1570 behavior. To the extent that urban life contributes to the breakdown J25 1580 of the group patterns of residential isolation, to that extent it J25 1590 contributes directly to increased exogamy". _SOCIAL CONTROL:_ J25 1600 The process of social control is operative insofar as sanctions play J25 1610 a part in the individual's behavior, as well as the group's behavior. J25 1620 By means of this social control, deviance is either eliminated J25 1630 or somehow made compatible with the function of the social group. Examples J25 1640 from this population indicate that deviance seems to be sanctioned J25 1650 by ostracism from the group. _SOCIALIZATION:_ There is an oral J25 1660 tradition among the members of the population in regard to the origin J25 1670 and subsequent separate status of the group in the larger society. J25 1680 Confused and divided though this tradition may be, it is an important J25 1690 part of the social and cultural heritage of the group, and acts as a J25 1700 means of socialization, particularly for members of the rural community. J25 1710 The fact of Indian ancestry and "free" status during the days J25 1720 of slavery, are important distinctions made by members of the group. J25 1730 _BOUNDARY MAINTENANCE:_ "Culturally induced social cohesion resulting J25 1740 from common norms and values internalized by members of the group" J25 1750 is operative in the boundary maintenance of the group as well J25 1760 as in the process of socialization. The process of boundary maintenance J25 1770 identifies and preserves the social system or subsystems, and the characteristic J25 1780 interaction is maintained. As the threat of encroachment J25 1790 on the system increases, the "probability of applied boundary maintenance J25 1800 mechanisms increases". The fertility rate pattern would J25 1810 seem to be a function, though a latent one, of the process of maintaining J25 1820 the boundary. "Increased boundary maintenance may be achieved, J25 1830 for example, by assigning a higher primacy or evaluation to activities J25 1840 characteristic of the external pattern **h" The external pattern J25 1850 or external system can be considered as "group behavior that enables J25 1860 the group to survive in its environment **h" Boundary maintenance J25 1865 for J25 1870 this group would seem to be primarily social, as is the preference J25 1880 for endogamy. It is also expressed in the proscription against deviants J25 1890 in the matter of endogamy, particularly in rural areas. By their J25 1900 pattern of endogamy and exogamy, the core families and the marginal families J25 1910 show distinct limits to the intergroup contact they maintain. J25 1920 _SYSTEMIC LINKAGE:_ Where boundary maintenance describes the boundaries J25 1930 or limits of the group, systemic linkage is defined "as the J25 1940 process whereby one or more of the elements of at least two social systems J25 1950 is articulated in such a manner that the two systems in some ways J25 1960 and on some occasions may be viewed as a single unit. J26 0010 A royal decree issued in 1910, two years after the Belgian government J26 0020 assumed authority for the administration of the Congo, prescribed J26 0030 the registration of all adult males by chiefdoms. Further decrees J26 0040 along this line were issued in 1916 and 1919. In 1922 a continuous J26 0050 registration of the whole indigenous population was instituted by ordinance J26 0060 of the Governor-General, and the periodic compilation of these J26 0070 records was ordered. But specific procedures for carrying out this J26 0080 plan were left to the discretion of the provincial governors. A unified J26 0090 set of regulations, applicable to all areas, was issued in 1929, and J26 0100 a complementary series of demographic inquiries in selected areas was J26 0110 instituted at the same time. The whole system was again reviewed and J26 0120 reorganized in 1933. General responsibility for its administration rested J26 0130 with a division of the colonial government concerned with labor J26 0140 supply and native affairs, Service des Affaires Indigenes et de la J26 0150 Main-d'Oeuvre (~AIMO, **f Direction, **f Direction Generale, J26 0160 Gouvernement Generale). Tribal authorities, the chiefs and their J26 0170 secretaries, were held responsible for maintaining the registers of J26 0180 indigenous persons within their territories, under the general supervision J26 0190 of district officials. The district officials, along with their J26 0200 other duties, were obliged to organize special demographic inquiries in J26 0210 selected areas and to supervise the annual tabulations of demographic J26 0220 statistics. The regulations require the inscription of each J26 0230 individual (male or female, adult or child) on a separate card (). J26 0240 The cards, filed by (sub-chiefdom, or village), J26 0250 are kept in the headquarters of each (chiefdom). Each J26 0260 card is expected to show certain information about the individual J26 0270 concerned, including his or her date of birth (or age at a specified J26 0280 time), spouses, and children. Additional entries must be made from time J26 0290 to time. Different cards are used for males and females, and a corner J26 0300 is clipped from the cards of adults, and of children when they reach J26 0310 puberty. So a quick count could be made at any time, even by an illiterate J26 0320 clerk, of the number of registered persons in four age-and-sex J26 0330 classes. Personal identification cards are issued to all adult males J26 0340 on which tax payments, inoculations, periods of employment, and changes J26 0350 of residence are recorded. Similar identification cards were issued J26 0360 in 1959 to all adult females. Each adult is held personally responsible J26 0370 for assuring his inscription and obtaining an identification card J26 0380 which must be shown on demand. The registration card of a person leaving J26 0390 his home territory for a short period is put into a special file J26 0400 for absent persons. The cards of permanent out-migrants are, in theory, J26 0410 sent to an office in the place of new residence. Finally, the registration J26 0420 of births and deaths by nearest relatives was made compulsory J26 0430 in most regions. Numbers of registered persons in four age-and-sex J26 0440 classes were counted each year. In addition, demographic inquiries, J26 0450 supposedly involving field investigations, were conducted in selected J26 0460 minor divisions () containing about 3 percent J26 0470 of the total population. The results of these inquiries were used to J26 0480 adjust compilations of data from the registers and to provide various J26 0490 ratios and rates by districts, including birth and death rates, general J26 0500 fertility rates, distributions by marital status, fertility of wives J26 0510 separately in polygynous and non-polygynous households, infant mortality, J26 0520 and migration. The areas to be examined in these inquiries were J26 0530 selected by local officials, supposedly as representative of a larger J26 0540 population. Averages of the ratios obtained in a few selected areas J26 0550 were applied to the larger population. The scheme, in theory, J26 0560 is an ingenious adaptation of European registration systems to the conditions J26 0570 of African life. But it places a severe strain on the administrative J26 0580 resources (already burdened in other ways) of a widely dispersed, J26 0590 poor and largely illiterate population. The sampling program was J26 0600 instituted before the principles of probability sampling were widely J26 0610 recognized in population studies. The system was not well adapted to J26 0620 conditions of life in urban centers. The distinction between domiciled J26 0630 () and present () population was not clearly J26 0640 defined. So the results are subject to considerable confusion. The J26 0650 system tended to break down during the war, but was reactivated; it J26 0660 had reached the pre-war level of efficiency by 1951. In spite of the J26 0670 defects in this system, the figures on total population during the late J26 0680 1930's and again in the early 1950's seem to have represented actual J26 0690 conditions in most districts with approximate fidelity. But the J26 0700 information on the dynamics of population was often quite misleading. J26 0710 The same system, with minor modifications, was developed in Ruanda-Urundi J26 0720 under Belgian administration. Here again it seems that J26 0730 useful approximations of the size and geographical distribution of the J26 0740 population were obtained in this way in the late pre-war and early post-war J26 0750 periods. Before considering more recent activities, we J26 0760 should note another important aspect of demography in Belgian Africa. J26 0770 A number of strong independent agencies, established in some cases J26 0780 with governmental or royal support, have conducted large medical, social, J26 0790 educational and research operations in particular parts of the Congo J26 0800 and Ruanda-Urundi. The work of Fonds Reine Elisabeth pour l'Assistance J26 0810 Medicale aux Indigenes du Congo Belge (~FOREAMI) J26 0820 has special interest with respect to demography. This agency accepted J26 0830 responsibility for medical services to a population ranging from J26 0840 638,560 persons in 1941 to 840,503 in 1956 in the Kwango District J26 0850 and adjacent areas east of Leopoldville. Each year from 1941 on, its J26 0860 medical staff had conducted intensive field investigations to determine J26 0870 changes in population structure and vital rates and, as its primary J26 0880 objective, the incidence of major diseases. Its findings are reported J26 0890 each year in its **h (Bruxelles). J26 0900 Somewhat similar investigations have been made by medical J26 0910 officers in other areas. Other independent, or partially independent J26 0920 agencies, have promoted investigations on topics directly or indirectly J26 0930 related to demography. These studies vary widely in scope and precision. J26 0940 L'Institut pour la Recherche Scientifique en Afrique Centrale J26 0960 (~IRSAC) has sponsored well-designed field investigations and has J26 0970 cooperated closely with the government of Ruanda-Urundi in the development J26 0980 of its official statistics. A massive investigation J26 0990 of the characteristics of in-migrants and prospective out-migrants in J26 1000 Ruanda-Urundi is being carried on by J& J& Maquet, former Director J26 1010 of the Social Science branch of ~IRSAC, now a professor J26 1020 at l'Universite Officielle du Congo Belge et du Ruanda-Urundi. J26 1030 Some 30,000 completed schedules with 20 items (collected by sub-chiefs J26 1040 in 1,100 circumscriptions) have been tabulated. The results are J26 1050 now being analyzed. Statistics have been recognized as a matter J26 1060 of strategic importance in the Congo and in Ruanda-Urundi during J26 1070 the post-war years in connection with long-term economic and social programs. J26 1080 The ~AIMO organizations of both countries, which maintain J26 1090 administrative services throughout the territories, retained immediate J26 1100 responsibility for the collection and publication of demographic information. J26 1110 However, the statistical offices of both governments were J26 1120 assigned responsibility for the planning and analysis of these statistics. J26 1130 A Bureau de la Demographie (A& Romaniuk, Director) was formed J26 1140 under ~AIMO in the Congo, to work in close rapport with the J26 1150 Section Statistique of the Secretariat General. Eventually responsibility J26 1160 for demographic inquiries in the Congo was transferred to J26 1170 the demographic division of the Central Statistical Office. The 1952 J26 1180 demographic inquiry in Ruanda-Urundi was directed by V& Neesen, J26 1190 a member of the ~IRSAC staff, though the inquiry was carried J26 1200 out under the auspices of ~AIMO, which has continuing responsibility J26 1210 for demographic statistics in this territory. A member of the J26 1220 ~IRSAC staff (E& van de Walle) was recently delegated to cooperate J26 1230 with ~AIMO in the development of demographic statistics J26 1240 in this territory. The initiation of sampling censuses in Ruanda-Urundi J26 1250 (1952) and in the Congo (1955-57) were major advances. We J26 1260 will deal first with the program in the Congo though this was put into J26 1270 operation later than the other. The radical nature of the J26 1280 innovation in the Congo was not emphasized in the official announcements. J26 1290 The term , previously used for the supplementary J26 1300 investigations carried out in connection with the administrative J26 1310 censuses, was used for the new investigations. However, the differences J26 1320 in procedure are fundamental. These are as follows: _(1) J26 1330 FIELD WORK PROCEDURES:_ Field operations were transferred from J26 1340 administrative personnel primarily engaged in other tasks to specially J26 1350 trained teams J26 1360 of full-time African investigators (three teams, each working J26 1370 in two provinces). These teams carried out the same operations J26 1380 successively in different areas. _(2) NATURE OF THE SAMPLE:_ Sample J26 1390 areas in the new investigations were selected strictly by application J26 1400 of the principles of probability theory, so as to be representative J26 1410 of the total population of defined areas within calculable limits. J26 1420 In short, scientific sampling was introduced in place of subjective J26 1430 sampling. The populations of the various districts, or other major divisions, J26 1440 were stratified by type of community (rural, urban, mixed) and, J26 1450 where appropriate, by ethnic affiliation and by type of economy. Sample J26 1460 units (villages in rural areas, houses in cities) were drawn systematically J26 1470 within these strata. _(3) SIZE OF THE SAMPLE:_ Different J26 1480 sampling ratios were applied under different conditions. Higher J26 1490 proportions were sampled in urban and mixed communities than in rural J26 1500 areas. About 11 percent of the total population was covered in the new J26 1510 investigation, as compared with about 3 percent in the previous inquiries. J26 1520 _(4) QUESTIONS AND DEFINITIONS:_ Uniform questions, definitions, J26 1530 and procedures were enforced throughout the whole country. Data J26 1540 were obtained, separately, on three classes of persons: (a) residents, J26 1550 present; (b) residents, absent; and (c) visitors. In the J26 1560 reports, summary results are given for both the (a and c) J26 1570 and (a and b) populations; but the subsequent analysis J26 1580 of characteristics is reported only for the population (or, J26 1590 in some districts, only the population). These J26 1600 changes represent in effect, a shift from (1) an administrative compilation J26 1610 of data obtained through procedures designed primarily to serve J26 1620 political and economic objectives to (2) a systematic sampling census J26 1630 of the whole African population. The population registration J26 1640 system still has important functions. It supplies local data which are J26 1650 useful in administration and which can be used as a basis for intensive J26 1660 studies in particular situations. It provides a frame for the sampling J26 1670 census. It also provides a frame within which the registration J26 1680 of vital events is gradually gaining force (though one cannot expect to J26 1690 obtain reliable vital statistics in most parts of the Congo from this J26 1700 source in the near future). It is still used in making current population J26 1710 estimates in post-census years, though the value of these estimates J26 1720 is open to question. Finally, it may have certain very important, J26 1730 less obvious values. Even though the registers may have an incomplete J26 1740 record of persons present in a particular area or include persons J26 1750 no longer living there, they contain precise information on ages, by date J26 1760 of birth, for some of the persons present (especially children in J26 1770 relatively stable communities) and supplementary information (such as J26 1780 records of marital status) for many others. The quality of the census J26 1790 data can, therefore, be greatly improved by the use of the registration J26 1800 records in conjunction with the field inquiries. Furthermore, it may J26 1810 be possible to estimate the error due to bias in method (as distinguished J26 1820 from sampling error) in each of these sources, on such subjects J26 1830 as fertility, mortality, and migration during a given interval by using J26 1840 information from two largely independent sources in conjunction. J26 1850 The first sampling census in the Congo extended over a three-year J26 1860 period, 1955-57; the results were still being processed in 1959. J26 1870 It is planned to double the number of teams and to make use of improved J26 1880 equipment in a second demographic inquiry in 1960, so that the inquiry J26 1890 can be carried through in one year and the results published more J26 1900 expeditiously. It is proposed that in the future complete sampling censuses J26 1910 be carried out at five-year intervals. Reports already J26 1920 issued on the sampling census, 1955-57, in various areas run as follows J26 1930 (using only the French and omitting corresponding Flemish titles): J26 1940 @. This report contains preliminary notes and 35 tables. J26 1950 Other reports in identical form, but with somewhat varying content, J26 1960 have been issued for: @. These area reports will be J26 1970 followed, according to present plans, by a summary report, which will J26 1980 include a detailed statement on methods. J27 0010 With this evidence in mind, the writer began to plan how he might J27 0020 more effectively educate the married students in his functional classes. J27 0030 Toward the end of the semester's work, he interviewed every J27 0040 married class member at great length. He found, as he had suspected, J27 0050 a J27 0060 general consensus that perhaps over half of the present functionally designed J27 0070 course was not really functional for these students. However, J27 0080 all admitted that the "hind sight" was not altogether lost. In their J27 0090 own words, it had aided them to get a clearer picture of how they J27 0100 had gotten into their marriages, and perhaps they had obtained some J27 0110 insights on why certain troubles appeared from time to time. In fact, J27 0120 they went so far as to caution the writer that if he attempted to design J27 0130 a section for married students there should be, at J27 0140 the beginning, some "hind sight" study; but they all hastened to J27 0150 add that certainly less time was needed on it than presently spent. J27 0160 All of them felt a compelling need for more coverage on areas that could J27 0170 be only lightly touched upon in a general survey functional course. J27 0180 A few were doubtful about the merits of an exclusive section J27 0190 for married students. As one of them expressed it, "It has done me J27 0200 a world of good to listen to the nai^ve questions and comments of J27 0210 these not-yet-married people. I can now better see just what processes J27 0220 provoked certain actions from me in the past. Had I been in an all-married J27 0230 section I would have missed this, and I believe that this single J27 0240 aspect has been of great personal value to me". This comment J27 0250 and others similar to it, would seem to indicate a possible justification J27 0260 for continuing the status quo. But the weight of feeling was heavily J27 0270 in the opposite direction. Thus, the writer decided to hold one experimental J27 0280 section of the functional preparation for marriage course J27 0290 in the spring semester of 1960 exclusively for persons already married- J27 0300 that is, prerequisite: "marriage". This did not mean that married J27 0310 students could not enroll in other "mixed" sections, and some J27 0320 of them, largely because of scheduling difficulties, did. But only J27 0330 those already married could enroll in this one section. In addition, J27 0340 two other differences in the two types of sections must be noted. 1) J27 0350 The regular sections do not allow freshmen; this one did. This action J27 0360 was rationalized on the basis of a small survey which indicated that J27 0370 a high percentage of married freshmen women on our campus never become J27 0380 sophomores. Many of them appear to drop out, for one reason or another. J27 0390 By permitting freshman students we might extend the opportunity J27 0400 for such a course to some individuals who otherwise might never get J27 0410 to take it. This has subsequently been verified by the experience. 2) J27 0420 Auditors were encouraged. In the regular sections they have always J27 0430 been more or less discouraged. The philosophy has been that if they could J27 0440 find the time to attend class why not encourage them to get the credit J27 0450 and perhaps provide an incentive to do the work more effectively. J27 0460 Besides, auditors do not count on faculty load with the same weight J27 0470 as regularly enrolled students. But in this one section we welcomed J27 0480 auditors. Why? For no particular reason, other than that the writer J27 0490 felt it might- just might- encourage both mates to be in attendance. J27 0510 Many of the men on our campus have a pretty set curriculum, especially J27 0520 in the various engineering fields, with few electives till the senior J27 0530 year. Incidentally, it needs to be noted that because auditors were J27 0540 permitted the section began increasing in numbers each week, until J27 0550 at last it swelled to such proportions that this "free" auditing J27 0560 policy had to be retracted. After that, we began to get "visitors" J27 0570 to class. This experimental class represented quite a variety J27 0580 of students. It ranged from a freshman woman, just married, through J27 0590 the various academic growth stages, including one senior-graduate student, J27 0600 to a young faculty member recently married to a senior man who also J27 0610 attended. It ranged from those with no children, through students J27 0620 in various stages of pregnancy, to one 44-year-old male with four children, J27 0630 three of whom were teenagers. It ranged from two women members J27 0640 who had experienced premarital pregnancy to one couple twelve years married J27 0650 and seemingly unable to conceive. One might digress at J27 0660 this point and speculate that if it is "wise" to create special sections J27 0670 for special status, then why not a special section for women pregnant J27 0680 before marriage, and one for 44-year-old men with teenage children, J27 0690 and so on. Some of these speculations may have some merit, others J27 0700 are somewhat ambiguous. But few who have experienced marriage can dispute J27 0710 the fact that the focus of interpersonal relationships is different J27 0720 marriage than in a pre-marital situation. The writer J27 0730 began this special class by explaining his background thinking for J27 0740 creating such a section in the first place. He made it clear from the J27 0750 beginning that this was the students' opportunity, and that the future J27 0770 destiny of such groups depended on favorable results from this one. J27 0780 He build a framework of academic "respectability", and one J27 0790 which did not encroach upon the "sacred sovereignty" of any other J27 0800 existing campus course. This is to say that this was not a course J27 0810 in wise buying or money spending methods, nor a course in how to raise J27 0820 children. We already have courses covering those problems, and so on. J27 0830 But within that framework he allowed for as much flexibility as possible. J27 0840 A steering committee of students was organized on the first day J27 0850 whose duty it was to be alert and constantly evaluate and re-evaluate J27 0860 the direction and the class was taking. The writer, being J27 0870 cognizant through his interviews of the reactions of previous married J27 0880 students, did insist on there being included some "hind sight" material. J27 0890 But the greater part of semester time was actually centered around J27 0900 the attitudes "So we are married- now how do we make the best J27 0910 of it"? or "How do we our already fine marriage"? J27 0920 Films were used, as with all sections, but with one big difference. J27 0930 Our campus, unfortunately, owns no films. Since they are all J27 0940 either rented or borrowed, the requested dates for their use have to J27 0950 be far in advance. The writer never knew from week to week just where J27 0960 the section might be. For example, the steering committee might announce J27 0970 that the group felt a topic under study should not be dropped for J27 0980 an additional week as there was still too much of it untouched. Since J27 0990 the writer had established this democratic procedure in the beginning J27 1000 he had to go along with their decision- after, of course, pointing J27 1001 out J27 1010 whether he thought their decision was a wise or an unwise one. Thus the J27 1020 films seen as they came in (coordinated for the regular sections), J27 1030 were often out of context. Nevertheless, the writer has never experienced J27 1040 such spontaneity of discussion after film showings. Though J27 1050 it did not become known to the writer for some time, a nucleus group J27 1060 had sprung up within the class. They began to meet in the evenings and J27 1070 carry forward various discussions they felt not fully enough covered J27 1080 in class. From a few students this group gradually increased to include J27 1090 over three-fourths of those officially enrolled in the class, and J27 1100 many outsiders as well. Also, although only a few of the students were J27 1110 intimately acquainted with each other in the beginning, most reported J27 1120 that when the semester ended their dearest and closest campus friendships J27 1130 were with members of that class. In fact, they often revamped J27 1140 their social activities to include class members previously unknown. J27 1150 Supplemental outside reading reports were handled just as in the J27 1160 other sections, the major difference being that there was a noticeably J27 1170 in the reported outside reading by the married group. J27 1180 These students, although they might read various articles in popular J27 1190 magazines, more often chose to report on articles found in the journals. J27 1200 In addition to the noticeable difference in outside articles, J27 1210 there was a considerable difference in the outside books they read. Whereas J27 1220 a high per cent of the regular students can be expected to read J27 1230 other texts which more or less plow the same ground in a little different J27 1240 direction, the married students chose whole books on specific areas J27 1250 and went into much greater detail in their areas of interest. Since J27 1260 the writer had not noticed this characteristic in married students scattered J27 1270 throughout the various sections previous to this experiment, J27 1280 nor, as a matter of fact, in those who were continuing in "single sections", J27 1290 he can only conclude that there must have been something "contagious" J27 1300 within the specific group which caused this to occur. J27 1310 In the main, this course took the following directional high roads: J27 1320 1) A great deal of time was spent on for solving J27 1330 marital differences. This was not a search for a "magic formula", J27 1340 but rather an examination of basic principles pertaining especially J27 1350 to all types of communication in marriage. In short, it was centered J27 1360 around learning how to develop a . Not until J27 1370 the group was satisfied in this area were they willing to venture further J27 1380 to 2) Specific adjustment areas, such as sex, in-laws, religion, J27 1390 finance, and so on. From here they proceeded to 3) These same areas J27 1400 in relation to their own future family life stages, developing these J27 1410 to the extent of examining various crises which could be expected to J27 1420 confront them at some time or other. As an example of this last J27 1430 facet, there were some lengthy discussions centered around bereavement. J27 1440 Mainly these were concerned with the possibility of the death of J27 1450 one parent and the complication of living with the survivor afterward, J27 1460 but the possible death of one's own spouse was not overlooked. Since J27 1470 the course, one member has lost her husband. This was not a particularly J27 1480 shocking or unexpected thing- it was previously known to her J27 1490 that it might happen. But just when was an unknown, and of course the J27 1500 longer it did not happen, the stronger her wish and belief that it might J27 1510 not. Since her bereavement this individual has reported to the writer J27 1520 on numerous occasions about how helpful the class discussions were J27 1530 to her in this adjustment crisis. Quite frequently class members J27 1540 brought questions from their mates at home. These were often carefully J27 1550 written out with a great deal of thought behind them. This added J27 1560 a personal zest to class discussions and participation. Both J27 1570 sexes reported that the discussions on sex adjustment within marriage J27 1580 were extremely enlightening. The writer sensed a much freer and more J27 1590 frank discussion, especially of this one area, than ever before. He J27 1600 felt certain for the first time in his teaching experience that the men J27 1610 in the class understood that orgasm, as a criterion, is not nearly so J27 1620 essential for a satisfying female sexual experience as most males might J27 1630 think. This was probably much more meaningful because all the women J27 1640 in the class emphasized it time and again. On the other hand, the J27 1650 women class members appeared to reach a far greater understanding than J27 1660 have women members in other sections that it is more natural for males J27 1670 as a group to view sex as sex rather than always associating it with J27 1680 love as most women seem to do. in the reproductive area it could J27 1690 be readily observed that all felt freer to discuss things than students J27 1700 had previously in "mixed" marital status sections. Perhaps this J27 1710 was related to the fact that all were in on it to some extent. Never J27 1720 in other sections has there been the opportunity for the genuine down-to-earth J27 1730 discussions about the feelings of both spouses during various J27 1740 stages of pregnancy. There was a particularly marvelous opportunity J27 1750 for study in this area since almost every stage of pregnancy was represented, J27 1760 from a childless couple to and including every trimester. J27 1770 In fact, we had one birth before the end of the course, and another student J27 1780 had to take the final examiantion a week early, just to be on the J27 1790 safe side. There was also one spontaneous abortion during the semester. J28 0010 Thus it is reasonable to believe that there is a significant difference J28 0020 between the two groups in their performance on this task after a brief J28 0030 "structuring" experience. It was predicted that Kohnstamm-negative J28 0040 subjects would adhere to more liberal, concretistic reports J28 0050 of what the ambiguous figure "looked like" as reflecting their J28 0060 hesitancy about taking chances. This was true mostly of those Kohnstamm-negative J28 0070 subjects who did not perceive the ambiguous figure as people J28 0080 in action. Responses such as "rope with a loop in it", and "two J28 0090 pieces of rope", were quite characteristic. _GUILFORD-MARTIN J28 0100 PERSONALITY INVENTORIES._ The three personality inventories (Guilford J28 0110 ~STDCR; Guilford-Martin ~GAMIN; Guilford-Martin J28 0120 ~OAGCo), were filled out by 12 of the Kohnstamm-positive J28 0130 subjects and 19 of the Kohnstamm-negative subjects. These were the J28 0140 same subjects who were given the Rorschach test. Some predictions J28 0150 had been made concerning factors ~R, ~N, ~I and ~Co on these J28 0160 inventories which appeared to be directly related to control and security J28 0170 aspects of personality functioning which were hypothesized as J28 0180 being of importance in differential Kohnstamm reactivity. Only J28 0190 ~Co differentiated between the two groups at less that the 5% level J28 0200 (**f). One prediction had been made about the difference J28 0201 in J28 0210 security or self-confidence between those subjects who shifted their Kohnstamm J28 0220 reactivity when informed and those who did not. The nonreactors J28 0230 had been separated into two groups on this assumption with the presumably J28 0240 "secure" nonreactors and "secure" reactors being used J28 0250 as the groups for comparative personality studies. It was predicted J28 0260 that those who shifted in their Kohnstamm reactivity would differ significantly J28 0270 from those who did not on the factor ~I which the investigators J28 0280 refer to as the "Inferiority" factor. All of the subjects J28 0290 in the Kohnstamm-negative and Kohnstamm-positive groups (as defined J28 0300 for purposes of the personality studies) were compared with those subjects J28 0310 who shifted in Conditions /3, or /4,. A ~t test on these J28 0320 two groups, shifters vs& nonshifters, gave a "~t" value of 2.405 J28 0321 which J28 0330 is significant on the two-tail test at the .028 level. #DISCUSSION# J28 0340 _INDIVIDUAL DIFFERENCES_ Individual differences in Kohnstamm J28 0350 reactivity to controlled Kohnstamm situations were found among the J28 0360 subjects used in the study. Only 27% (11 subjects) gave a positive J28 0370 Kohnstamm reaction when completely nai^ve concerning the phenomenon. J28 0380 There were 49% (20 subjects) who did not give a positive reaction J28 0390 even after they were informed of the normalcy of such a reaction and J28 0400 had been given a demonstration. There were 24% (10 subjects) who J28 0410 shifted from a negative to a positive reaction after they were reassured J28 0420 as to the normalcy of the Kohnstamm-positive reaction. Among J28 0430 this latter group there were also differences in the amount and kind J28 0440 of information necessary before a shift in reaction occurred. One subject J28 0450 changed when given only the information that some people have something J28 0460 happen to their arm when they relax. Five subjects (12%) did J28 0470 not change until they had been told that some people have something J28 0480 happen to their arm, what that something was, and also were given a J28 0485 demonstration. J28 0490 Four subjects (10%) did not change even then but needed J28 0500 the additional information that an arm-elevation under these circumstances J28 0510 was a perfectly normal reflex reaction which some people showed J28 0520 while others did not. At no time was it implied by the experimenter J28 0530 that the subject's initial reaction was deviant. The subjects were J28 0540 only given information about . J28 0550 Those who responded with an arm-elevation in the nai^ve state J28 0560 did not change their reaction when told that there were some normal J28 0570 people who did not react in this fashion. This information was accepted J28 0580 with the frequent interpretation that those persons who did not J28 0590 show arm-levitation must be preventing it. These subjects implied that J28 0600 they too could prevent their arms from rising if they tried. J28 0610 The positive Kohnstamm reactivity in Condition /1, (the nai^ve J28 0620 state) is not adequately explained by such a concept as suggestibility J28 0630 (if suggestibility is defined as the influence on behavior by verbal J28 0640 cues). In no way, either verbally or behaviorally, did the experimenter J28 0650 indicate to the subjects any preferred mode of responding to the voluntary J28 0660 contraction. Moreover, when the experimenter did inform those J28 0670 subjects that there were some normal people who did not have their arm J28 0680 rise once they relaxed, the Kohnstamm-positive subjects were uninfluenced J28 0690 in their subsequent reactions to the Kohnstamm situation. They J28 0700 continued to give an arm-elevation. A differential suggestibility would J28 0710 have to be invoked to explain the failure of this additional information J28 0720 to influence the Kohnstamm-positive reactors and yet attribute J28 0730 their nai^ve Kohnstamm reactivity to suggestion. Autosuggestibility, J28 0740 the reaction of the subject in such a way as to conform to his own J28 0750 expectations of the outcome (i&e&, that the arm-rise is a reaction J28 0760 to the pressure exerted in the voluntary contraction, because of his J28 0770 knowledge that "to every reaction there is an equal and opposite reaction") J28 0780 also seems inadequate as an explanation for the following J28 0790 reasons: (1) the subjects' apparently genuine experience of surprise J28 0800 when their arms rose, and (2) manifestations of the phenomenon despite J28 0810 anticipations of something else happening (e&g&, of becoming dizzy J28 0820 and maybe falling, an expectation spontaneously volunteered by one J28 0830 of the subjects). A suggestion hypothesis also seems inadequate J28 0840 as an explanation for those who shifted their reactions after they J28 0850 were informed of the possibilities of "normal" reactions different J28 0860 from those which they gave. While they were told that there were some J28 0870 normal people who reacted differently than they had, they were also informed J28 0880 that there were other normals who reacted as they had. There J28 0890 was no implication made that their initial reaction (absence of an arm-elevation) J28 0900 was less preferred than the presence of levitation. A more J28 0910 tenable explanation for the change in reactions is that the added knowledge J28 0920 and increased familiarity with the total situation made it possible J28 0930 for these subjects to be less guarded and to relax, since any reaction J28 0940 seemed acceptable to the examiner as "normal". The J28 0950 nai^ve state, Condition /1,, could therefore be viewed as an inhibiting J28 0960 one for 24% of the subjects in this study. They were not free J28 0970 to be themselves in this situation, an interpersonal one, where there J28 0980 was an observer of their reactions and they had no guide for acceptable J28 0990 behavior. Instructions to relax, i&e&, to be "spontaneous", J28 1000 and react immediately to whatever impulse they might have, was not sufficiently J28 1010 reassuring until some idea of the possibilities of normal reactions J28 1020 had been given. While other conditions might be even more effective J28 1030 in bringing about a change from immobility to mobility in Kohnstamm J28 1040 reactivity, it is our hypothesis that all such conditions would J28 1050 have as a common factor the capacity to induce an attitude in the subject J28 1060 which enabled him to divorce himself temporarily from feelings of J28 1070 responsibility for his behavior. Alcohol ingestion succeeded in J28 1080 changing immobility to mobility quite strikingly in one pilot subject J28 1090 (the only one with whom this technique was tried). This subject, who J28 1100 has been undergoing psychoanalytic psychotherapy for five years, did J28 1110 not give a positive Kohnstamm reaction under any of the four standardized J28 1120 conditions used in this experiment while sober. After two drinks J28 1130 containing alcohol, her arm flew upward very freely. There was evident J28 1140 delight on the part of the subject in response to her experience of J28 1150 the freedom of movement. She described herself as having the same kind J28 1160 of "irresponsible" feeling as she had once experienced under hypnosis. J28 1170 She ascribed her delight with both experiences to the effect J28 1180 they seemed to have of temporarily removing from her the controls which J28 1190 she felt so compulsively necessary to maintain even when it might J28 1200 seem appropriate to relax these controls. Many subjects attributed J28 1201 differences J28 1210 in Kohnstamm reactivity to differences in degrees of subjective J28 1220 control- voluntary as the Kohnstamm-positive subjects perceived J28 1230 it and involuntary as the Kohnstamm-negative subjects perceived it. J28 1240 These suggested interpretations were given by the subjects spontaneously J28 1250 when they were told that there were people who reacted differently J28 1260 than they had. The Kohnstamm-positive subjects described the vivid J28 1270 experience of having their arms rise as one in which they exercised no J28 1280 control. They explained its absence in others on the basis of an intervention J28 1290 of control factors. They felt that they too could counteract J28 1300 the upward arm movement by a voluntary effort after they had once experienced J28 1310 the reaction. Some of those who did not initially react with J28 1320 an arm-elevation also associated their behavior in the situation with J28 1330 control factors- an inability to relinquish control voluntarily. J28 1340 One subject spontaneously asked (after her arm had finally risen), "Do J28 1350 you suppose I was unconsciously keeping it down before"? Another J28 1360 said that her arm did not go up at first "because I wouldn't J28 1370 let it; I thought it wasn't supposed to". This subject was J28 1371 one J28 1380 who gave an arm-elevation on the second trial in the nai^ve state but J28 1390 not in the first. She had felt that her arm wanted to go up in the J28 1400 first trial, but had consciously prevented it from so doing. She J28 1410 explained nonreactivity of others by saying that they were "not letting J28 1420 themselves relax". When informed that there were some persons who J28 1430 did not have their arm go up, she commented, "I don't see how J28 1440 they can prevent it". In contrast to this voluntary-control explanation J28 1450 for nonreactivity given by the Kohnstamm-positive subjects, the J28 1451 Kohnstamm-negative J28 1460 subjects offered an involuntary-control hypothesis J28 1470 to explain nonreactivity. They felt that they were relaxing as much as J28 1480 they could and that any control factors which might be present to prevent J28 1490 response must be on an unconscious level. The above discussion J28 1500 does not mean to imply that control factors were completely in J28 1510 abeyance in the Kohnstamm-positive subjects; but rather that they could J28 1520 be diminished sufficiently not to interfere with arm-levitation. J28 1530 One Kohnstamm-positive subject who had both arms rise while being tested J28 1540 in the nai^ve condition described her subjective experience as J28 1550 follows: "You feel they're going up and you're on a stage and J28 1560 it's not right for them to do so and then you think maybe that's J28 1570 what's supposed to happen". She then described her experience as J28 1580 one in which she first had difficulty accepting for herself a state of J28 1590 being in which she relinquished control. However, she was able to relax J28 1600 and yield to the moment. It is our hypothesis that Kohnstamm-positive J28 1610 subjects are less hesitant about relinquishing control than are J28 1620 Kohnstamm-negative subjects; that they can give up their control and J28 1630 allow themselves to be reactors rather than actors. It is our belief J28 1640 that this readiness to relinquish some control was evidenced by the J28 1641 Kohnstamm-positive J28 1650 subjects in some of the other experimental situations J28 1660 to be discussed below. Thus, this readiness to relax controls, evidenced J28 1670 in the Kohnstamm situation, appears to be a more general personality J28 1680 factor. _ANISEIKONIC ILLUSION_ The Kohnstamm-positive subjects J28 1690 seemed to be freer to experience the unusual and seemingly impossible J28 1700 in the external world. There was a significantly greater number J28 1710 in this group who reported a desk as being in a tilted position while J28 1720 a tennis ball resting on it remained stationary on the incline. This J28 1730 occurred in spite of the rational awareness that the ball should be going J28 1750 downhill. They knew that their perceptual experience differed from J28 1760 objective reality since they had seen the desk and ball prior to putting J28 1770 on the aniseikonic lenses. Yet they were not so bound by past experience J28 1780 and constriction as to deny their immediate perceptions and to J28 1790 be dominated by their knowledge of what the experience should be. The J28 1800 change in perceptions by some of the Kohnstamm-negative subjects, J28 1810 after they had been informed of the possibilities of normal reactions, J28 1820 suggests that their constriction and guardedness is associated with J28 1830 their general mode of responding to strange or unknown situations. They J28 1840 were able to experience at first, in terms of past conventionality. J28 1850 When informed as to the various possibilities of normal reactions, they J28 1860 were then able to experience the uniqueness of the present. It might J28 1870 be postulated that these subjects are unduly afraid of being wrong; J28 1880 that they perceive new internal and environmental situations as "threatening" J28 1890 until they are tested and proved otherwise. While J28 1900 the interpretations that have been given are inferences only, they J28 1910 gain support from such comments as the following, which was made by one J28 1920 of the Kohnstamm-negative subjects who did not, on the first trial, J28 1930 perceive the tilt illusion. J29 0010 _CONTROL OF SOCIOECONOMIC STATUS_ It would have been desirable for J29 0020 the two communities to have differed only in respect to the variable J29 0030 being investigated: the degree of structure in teaching method. The J29 0040 structured schools were in an industrial city, with three-family tenement J29 0050 houses typical of the residential areas, but with one rather sizable J29 0060 section of middle-class homes. The unstructured schools were in J29 0070 a large suburban community, predominantly middle- to upper-middle class, J29 0080 but fringed by an industrial area. In order to equate the samples J29 0090 on socioeconomic status, we chose schools in both cities on the basis J29 0100 of socioeconomic status of the neighborhoods. School principals and guidance J29 0110 workers made ratings of the various neighborhoods and the research J29 0120 team made independent observations of houses and dwelling areas. J29 0130 An objective scale was developed for rating school neighborhoods from J29 0140 these data. Equal proportions of children in each city were drawn from J29 0150 upper-lower and lower-middle class neighborhoods. _SUBJECTS_ Individual J29 0160 differences in maturation and the development of readiness for J29 0170 learning to read indicate that not until the third grade have most J29 0180 children had ample opportunity to demonstrate their capacity for school J29 0190 achievement. Therefore, third-grade children were chosen as subjects J29 0200 for this study. For purposes of sample selection only (individual J29 0210 tests were given later) we obtained group test scores of reading J29 0220 achievement and intelligence from school records of the entire third-grade J29 0230 population in each school system. The subjects for this study were J29 0240 randomly selected from stratified areas of the distribution, one-third J29 0250 as underachievers, one-third medium, and one-third over-achievers. J29 0260 Children whose reading scores were at least one standard deviation J29 0270 below the regression line of each total third-grade school population J29 0280 were considered under-achievers for the purposes of sample selection. J29 0290 Over-achievers were at least one standard deviation above the regression J29 0300 line in their school system. The final sample was not significantly J29 0310 different from a normal distribution in regard to reading achievement J29 0320 or intelligence test scores. Twenty-four classrooms in twelve unstructured J29 0330 schools furnished 156 cases, 87 boys and 69 girls. Eight classrooms J29 0340 in three structured schools furnished 72 cases, 36 boys and 36 J29 0350 girls. Administrative restrictions necessitated the smaller sample size J29 0360 in the structured schools. It was assumed that the sampling J29 0370 procedure was purely random with respect to the personality variables J29 0380 under investigation. _RATING SCALE OF COMPULSIVITY_ An interview J29 0390 schedule of open-ended questions and a multiple-choice questionnaire J29 0400 were prepared, and one parent of each of the sample children was seen J29 0410 in the home. The parent was asked to describe the child's typical J29 0420 behavior in certain standard situations in which there was an opportunity J29 0430 to observe tendencies toward perfectionism in demands upon self J29 0440 and others, irrational conformity to rules, orderliness, punctuality, J29 0450 and need for certainty. The interviewers were instructed not to suggest J29 0460 answers and, as much as possible, to record the parents' actual J29 0470 words as they described the child's behavior in home situations. J29 0480 The rating scale of compulsivity was constructed by first perusing J29 0490 the interview records, categorizing all evidence related to compulsivity, J29 0500 then arranging a distribution of such information apart from the J29 0510 case records. Final ratings were made on the basis of a point system J29 0520 which was developed after studying the distributions of actual behaviors J29 0530 recorded and assigning weight values to each type of behavior that J29 0540 was deviant from the discovered norms. Children scoring high in compulsivity J29 0550 were those who gave evidence of tension or emotionality in situations J29 0560 where there was lack of organization or conformity to standards J29 0570 and expectations, or who made exaggerated efforts to achieve these goals. J29 0580 The low compulsive child was one who appeared relatively unconcerned J29 0590 about such matters. For instance, the following statement was rated J29 0600 low in compulsivity, "She's naturally quite neat about things, J29 0610 but it doesn't bother her at all if her room gets messy. But she J29 0620 cleans it up very well when I remind her". _MEASUREMENT OF ANXIETY_ J29 0630 Castaneda, & revised the Taylor Anxiety Scale for J29 0640 use with children. The Taylor Scale was adapted from the Minnesota J29 0650 Multiphastic Personality Inventory, with item selection based upon J29 0660 clinical definitions of anxiety. There is much research evidence to J29 0670 validate the use of the instrument in differentiating individuals who J29 0680 are likely to manifest anxiety in varying degrees. Reliability and validation J29 0690 work with the Children's Anxiety Scale by Castaneda, & demonstrated results closely similar to the findings with J29 0710 the adult scale. Although the Taylor Scale was designed as a group J29 0720 testing device, in this study it was individually administered by psychologically J29 0730 trained workers who established rapport and assisted the children J29 0740 in reading the items. _RELATIONSHIP OF ANXIETY TO COMPULSIVITY_ J29 0750 The question may be raised whether or not we are dealing with J29 0760 a common factor in anxiety and compulsivity. The two ratings yield a J29 0770 correlation of +.04, which is not significantly different from zero; J29 0780 therefore, we have measured two different characteristics. In theory, J29 0790 compulsive behavior is a way of diminishing anxiety, and one might expect J29 0800 a negative association except for the possibility that for many J29 0810 children the obsessive-compulsive defenses are not sufficient to quell J29 0820 the amount of anxiety they suffer. The issue of interaction between J29 0830 anxiety and compulsivity will be taken up later. _CRITERION MEASUREMENT_ J29 0840 In the primary grades, reading permeates almost every aspect of J29 0850 school progress, and the children's early experiences of success or J29 0860 failure in learning to read often set a pattern of total achievement J29 0870 that is relatively enduring throughout the following years. In establishing J29 0880 criterion measurements, it was therefore thought best to broaden J29 0890 the scope beyond the reading act itself. The predicted interaction J29 0900 effect should, if potent, extend its influence over all academic achievement. J29 0910 The Stanford Achievement Test, Form ~J, was administered J29 0920 by classroom teachers, consisting of a battery of six sub-tests: J29 0930 Paragraph Meaning, Word Meaning, Spelling, Language, Arithmetic J29 0940 Computation, and Arithmetic Reasoning. All of these sub-tests J29 0950 involve reading except Arithmetic Computation. Scores are stated J29 0960 in grade-equivalents on a national norm. The battery median grade-equivalent J29 0970 was used in data analysis in this study. The Wechsler J29 0980 Intelligence Scale for Children was administered to each sample J29 0990 third-grade child by a clinical worker. The relationship of intelligence J29 1000 test scores to school achievement is a well-established fact (in this J29 1010 case, **f); therefore, in the investigation of the present hypothesis, J29 1020 it was necessary to control this factor. The criterion score J29 1030 used in the statistical analysis is an index of over- or under-achievement. J29 1040 It is the discrepancy between the actual attained achievement J29 1050 test score and the score that would be predicted by the I&Q&. J29 1060 For example, on the basis of the regression equation, a child with J29 1070 an I&Q& of 120 in this sample would be expected to earn an achievement J29 1080 test score of 4.8 (grade equivalent). If a child with an I&Q& J29 1090 of 120 scored 5.5 in achievement, his discrepancy score would be J29 1100 +.7, representing .7 of one year of over-achievement. A child with an J29 1110 I&Q& of 98 would be expected to earn an achievement test score J29 1120 of 3.5. If such a child scored 3.0, his discrepancy score would be -.5, J29 1130 representing .5 of one year of under-achievement. In this manner, J29 1140 the factors measured by the intelligence test were controlled, allowing J29 1150 discovered differences in achievement to be interpreted as resulting J29 1160 from other variables. #RESULTS# _TEST OF INTERACTION OF COMPULSIVITY J29 1170 AND TEACHING METHODS_ Tables 1 and 2 present the results of J29 1180 the statistical analysis of the data when compulsivity is used as the J29 1190 descriptive variable. Figure 1 portrays the mean achievement scores of J29 1200 each sub-group graphically. First of all, as we had surmised, the highly J29 1210 compulsive children in the structured setting score significantly J29 1220 better (**f) on achievement than do similar children in the unstructured J29 1230 schools. It can be seen too that when we contrast levels of compulsivity J29 1240 within the structured schools, the high compulsive children do J29 1250 better (**f). No significant difference was found in achievement between J29 1260 high and low compulsive children within the unstructured school. The J29 1270 hypothesis of there being an interaction between compulsivity and teaching J29 1280 method was supported, in this case, at the .05 level. While J29 1290 we had expected that compulsive children in the unstructured school J29 1300 setting would have difficulty when compared to those in the structured, J29 1310 we were surprised to find that the achievement of the high compulsives J29 1320 within the schools where the whole-word method is used in beginning J29 1330 reading compares favorably with that of the low compulsives. Indeed J29 1340 their achievement scores were somewhat better on an absolute basis J29 1350 although the difference was not significant. We speculate that compulsives J29 1360 in the unstructured schools are under greater strain because of J29 1370 the lack of systemization in their school setting, but that their need J29 1380 to organize (for comfort) is so intense that they struggle to induce J29 1390 the phonic rules and achieve in spite of the lack of direction from the J29 1400 environment. It is interesting to note that medium compulsives J29 1410 in the unstructured schools made the lowest achievement scores (although J29 1420 not significantly lower). Possibly their compulsivity was not strong J29 1430 enough to cause them to build their own structure. Our conjecture J29 1440 is, then, that regardless of the manner in which school lessons J29 1450 are taught, the compulsive child accentuates those elements of each J29 1460 lesson that aid him in systematizing his work. When helped by a high J29 1470 degree of structure in lesson presentation, then, and only then, does J29 1480 such a child attain unusual success. _TEST OF INTERACTION OF ANXIETY J29 1490 AND TEACHING METHODS_ The statistical analyses of achievement in J29 1500 relation to anxiety and teaching methods and the interactions of the J29 1510 two are presented in Tables 3 and 4. Figure 2 is a graph of the mean J29 1520 achievement scores of each group. As predicted, the highly anxious children J29 1530 in the unstructured schools score more poorly (**f) than those J29 1531 in J29 1540 the structured schools. The interaction effect, which is significant J29 1550 at the .01 level, can be seen best in the contrast of mean scores. While J29 1560 high anxiety children achieve significantly less well (**f) in the J29 1570 unstructured school than do low anxiety children, they appear to do at J29 1580 least as well as the average in the structured classroom. The J29 1590 most striking aspect of the interaction demonstrated is the marked decrement J29 1600 in performance suffered by the highly anxious children in unstructured J29 1610 schools. According to the theory proposed, this is a consequence J29 1620 of the severe condition of perceived threat that persists unabated J29 1630 for the anxious child in an ambiguous sort of school environment. The J29 1640 fact that such threat is potent in the beginning reading lessons is J29 1650 thought to be a vital factor in the continued pattern of failure or J29 1655 under-achievement J29 1660 these children exhibit. The child with high anxiety may J29 1670 first direct his anxiety-released energy toward achievement, but because J29 1680 his distress severely reduces the abilities of discrimination and J29 1690 memorization of complex symbols, the child may fail in his initial attempts J29 1700 to master the problem. Failure confirms the threat, and the intensity J29 1710 of anxiety is increased as the required learning becomes more J29 1720 difficult, so that by the time the child reaches the third grade the J29 1730 decrement in performance is pronounced. The individual with high J29 1740 anxiety in the structured classroom may approach the learning task J29 1750 with the same increased energy and lowered powers of discrimination. But J29 1760 the symbols he is asked to learn are simple. As shown earlier, the J29 1770 highly anxious individual may be superior in his memorizing of simple J29 1780 elements. Success reduces the prospect of threat and his powers of J29 1790 discrimination are improved. By the time the child first attacks the J29 1800 actual problem of reading, he is completely familiar and at ease with J29 1810 all of the elements of words. Apparently academic challenge in the structured J29 1820 setting creates an optimum of stress so that the child with high J29 1830 anxiety is able to achieve because he is aroused to an energetic state J29 1840 without becoming confused or panicked. Sarason & J29 1850 present evidence that the anxious child will suffer in the test-like J29 1860 situation, and that his performance will be impaired unless he receives J29 1870 supporting and accepting treatment from the teacher. Although the J29 1880 present study was not a direct replication of their investigations, the J29 1890 results do not confirm their conclusion. Observers, in the two school J29 1900 systems studied here, judged the teachers in the structured schools J29 1910 to be more impersonal and demanding, while the atmosphere in the J29 1920 unstructured schools was judged to be more supporting and accepting. J29 1930 Yet the highly anxious child suffered a tremendous disadvantage only J29 1940 in the unstructured school, and performed as well or better than average J29 1950 in the structured setting. J30 0010 _ANALYSIS_ Analysis means the evaluation of subparts, the comparative J30 0020 ratings of parts, the comprehension of the meaning of isolated elements. J30 0030 Analysis in roleplaying is usually done for the purpose of understanding J30 0040 strong and weak points of an individual or as a process to J30 0050 eliminate weak parts and strengthen good parts. _IMPERSONAL PURPOSES_ J30 0060 Up to this point stress has been placed on roleplaying in terms J30 0070 of individuals. Roleplaying can be done for quite a different purpose: J30 0080 to evaluate procedures, regardless of individuals. For example: J30 0090 a sales presentation can be analyzed and evaluated through roleplaying. J30 0100 _EXAMPLES_ Let us now put some flesh on the theoretical bones J30 0110 we have assembled by giving illustrations of roleplaying used for evaluation J30 0120 and analysis. One should keep in mind that many of the exciting J30 0130 possiblities of roleplaying are largely unexplored and have not been J30 0140 used in industry to the extent that they have been in military and other J30 0150 areas. _EVALUATION_ The president of a small firm selling restaurant J30 0160 products, had considerable difficulty in finding suitable salesmen J30 0170 for his business. Interviewing, checking references, training the J30 0180 salesmen, having them go with more experienced salesmen was expensive- J30 0190 and the rate of attrition due to resignations or unsatisfactory J30 0200 performance was too high. It was his experience that only one good salesman J30 0210 was found out of every seven hired- and only one was hired out J30 0220 of every seven interviewed. Roleplaying was offered as a solution- J30 0230 and the procedure worked as follows: all candidates were invited J30 0240 to a hotel conference room, where the president explained the difficulty J30 0250 he had, and how unnecessary it seemed to him to hire people who J30 0260 just did not work out. In place of asking salesmen to fill questionnaires, J30 0270 checking their references, interviewing them, asking them to J30 0280 be tried out, he told them he would prefer to test them. Each person J30 0290 was to enter the testing room, carrying a suitcase of samples. Each salesman J30 0300 was to read a sheet containing a description of the product. In J30 0310 the testing room he was to make, successively, three presentations J30 0320 to three different people. In the testing room, three of the veteran J30 0330 salesmen served as antagonists. One handled the salesman in a J30 0340 friendly manner, another in a rough manner, and the third in a hesitating J30 0350 manner. Each was told to purchase material if he felt like it. The J30 0360 antagonists came in, one at a time, and did not see or hear the other J30 0370 presentations. After each presentation, the antagonist wrote his judgment J30 0380 of the salesmen; and so did the observers consisting of the J30 0390 president, three of his salesmen and a psychologist. Ten salesmen J30 0400 were tested in the morning and ten more in the afternoon. This procedure J30 0410 was repeated one day a month for four months. The batting average J30 0420 of one success out of seven increased to one out of three. The president J30 0430 of the firm, calculating expenses alone, felt his costs had dropped J30 0440 one-half while success in selection had improved over one hundred J30 0450 per cent. The reason for the value of this procedure was simply J30 0460 that the applicants were tested "at work" in different situations J30 0470 by the judgment of a number of experts who could see how the salesmen J30 0480 conducted themselves with different, but typical restaurant owners J30 0490 and managers. They were, in a sense, "tried out" in realistic situations. J30 0500 From the point of view of the applicants, less time J30 0510 was wasted in being evaluated- and they got a meal out of it as well J30 0520 as some insights into their performances. Another use of roleplaying J30 0530 for evaluation illustrates how this procedure can be used in J30 0540 real life situations without special equipment or special assistants during J30 0550 the daily course of work. The position of receptionist was J30 0560 opened in a large office and an announcement was made to the other J30 0570 girls already working that they could apply for this job which had higher J30 0580 prestige and slightly higher salary than typing and clerking positions. J30 0590 All applicants were generally familiar with the work of the receptionist. J30 0600 At the end of work one day, the personnel man took the applicants J30 0610 one at a time, asked them to sit behind the receptionist's desk J30 0620 and he then played the role of a number of people who might come to J30 0630 the receptionist with a number of queries and for a number of purposes. J30 0640 Each girl was independently "tested" by the personnel man, and J30 0650 he served not only as the director, but as the antagonist and the observer. J30 0660 Somewhat to his surprise he found that one girl, whom J30 0670 he would never have considered for the job since she had appeared somewhat J30 0680 mousy and also had been in the office a relatively short time, did J30 0690 the most outstanding job of playing the role of receptionist, showing J30 0700 wit, sparkle, and aplomb. She was hired and was found to be entirely J30 0710 satisfactory when she played the role eight hours a day. _ANALYSIS_ J30 0720 In considering roleplaying for analysis we enter a more complex area, J30 0730 since we are now no longer dealing with a simple over-all decision J30 0740 but rather with the examination and evaluation of many elements seen J30 0750 in dynamic functioning. Some cases in evidence of the use of roleplaying J30 0760 for analysis may help explain the procedure. An engineer J30 0770 had been made the works manager of a firm, supplanting a retired employee J30 0780 who had been considered outstandingly successful. The engineer had J30 0790 more than seven years of experience in the firm, was well trained, was J30 0800 considered a hard worker, was respected by his fellow engineers for J30 0810 his technical competence and was regarded as a "comer". However, J30 0820 he turned out to be a complete failure in his new position. He seemed J30 0830 to antagonize everyone. Turnover rates of personnel went up, production J30 0840 dropped, and morale was visibly reduced. Despite the fact that he J30 0850 was regarded as an outstanding engineer, he seemed to be a very poor J30 0860 administrator, although no one quite knew what was wrong with him. At J30 0870 the insistence of his own supervisor- the president of the firm, he J30 0880 enrolled in a course designed to develop leaders. He played J30 0890 a number of typical situations before observers, other supervisors who J30 0900 kept notes and then explained to him in detail what he did they thought J30 0910 was wrong. Entirely concerned with efficiency, he was merciless in J30 0920 criticizing people who made mistakes, condemning them to too great an J30 0930 extent. He did not really listen to others, had little interest in their J30 0940 ideas, and wanted to have his own way- which was the only right J30 0950 way. The entire group of managers explained, in great detail, a number J30 0960 of human relations errors that he made. One by one, these J30 0970 errors were discussed and one by one he rejected accepting them as errors. J30 0980 He admitted his behavior, and defended it. He refused to change J30 0990 his approach, and instead he attacked high and low- the officials for J30 1000 their not backing him, and subordinates for their laxness, stupidity, J30 1010 and stubbornness. After the diagnosing, he left the course, convinced J30 1020 that it could do him no good. We may say that his problem J30 1030 was diagnosed but that he refused treatment. The engineer turned works J30 1040 manager had a particular view of life- and refused to change it. We J30 1050 may say that his attitude was foolish, since he may have been a success J30 1060 had he learned some human relations skills; or we may say that J30 1070 his attitude was commendable, showing his independence of mind, in his J30 1080 refusal to adjust to the opinions of others. In any case, he refused J30 1090 to accept the implications of the analysis, that he needed to be made J30 1100 over. Another case may be given in illustration of a successful J30 1110 use of analysis, and also of the employment of a procedure for intensive J30 1120 analysis. In a course for supermarket operators, a district manager J30 1130 who had been recently appointed to his position after being outstandingly J30 1140 successful as a store manager, found that in supervising other J30 1150 managers he was having a difficult time. On playing some typical situations J30 1160 before a jury of his peers he showed some characteristics rated J30 1170 as unsatisfactory. He was told he displayed, for example, a sense J30 1180 of superiority- and he answered: "Well, I am supposed to know J30 1190 all the answers, aren't I"? He was criticized for his curtness J30 1200 and abruptness- and he answered: "I am not working to become J30 1210 popular". On being criticized for his arbitrary behavior- he answered: J30 1220 "I have to make decisions. That's my job". In short, J30 1230 as frequently happens in analyses, the individual feels threatened and J30 1240 defends himself. However, in this case the district manager was led J30 1250 to see the errors of his ways. The necessary step between diagnosis and J30 1260 training is acceptance of the validity of the criticisms. How this J30 1270 was accomplished may be described, since this sometimes is a crucial J30 1280 problem. The director helped tailor-make a check list of the district J30 1290 manager's errors by asking various observers to write out sentences J30 1300 commenting on the mistakes they felt he made. These errors were J30 1310 then collected and written on a blackboard, condensing similar ideas. J30 1320 Eighteen errors were located, and then the director asked each individual J30 1330 to vote whether or not they felt that this manager had made the J30 1340 particular errors. They were asked to vote "true" if they thought J30 1350 they had seen him make the error, "false" if they thought he had J30 1360 not; and "cannot say" if they were not certain. The manager J30 1370 sat behind the group so he could see and count the hands that went J30 1380 up, and the director wrote the numbers on the blackboard. No comments J30 1390 were made during the voting. The results looked as follows: **f. J30 1400 The first eight of these eighteen statements, which received J30 1410 at least one-half of the votes, were duplicated to form an analysis J30 1420 checklist for the particular manager, and when this particular manager J30 1430 roleplayed in other situations, the members checked any items that appeared. J30 1440 To prevent the manager from deliberately controlling himself J30 1450 only during the sessions, they were rather lengthy (about twenty minutes), J30 1460 the situations were imperfectly described to the manager so that J30 1470 he would not know what to expect, new antagonists were brought on the J30 1480 scene unexpectedly, and the antagonists were instructed to deliberately J30 1490 behave in such ways as to upset the manager and get him to operate in J30 1500 a manner for which he had been previously criticized. After J30 1510 every session, the check marks were totaled up and graphed, and in this J30 1520 way the supervisor's progress was charted. _SUMMARY_ In life J30 1530 we learn to play our roles and we "freeze" into patterns which become J30 1540 so habitual that we are not really aware of what we do. We can see J30 1550 others more clearly than we can see ourselves, and others can see us J30 1560 better than we see ourselves. To learn what we do is the first step J30 1570 for improvement. To accept the validity of the judgments of others is J30 1580 the second step. To want to change is the third step. To practice new J30 1590 procedures under guided supervision and with constant feedback is the J30 1600 fourth step. To use these new ways in daily life is the last step. J30 1610 Roleplaying used for analysis follows these general steps leading to J30 1620 training. When an evaluative situation is set up, and no concern J30 1630 is with the details that lead to an over-all estimate, we say that J30 1640 roleplaying is used for evaluation. Observers can see a person engaged J30 1650 in spontaneous behavior, and watch him operating in a totalistic fashion. J30 1660 This behavior is more "veridical"- or true than other J30 1670 testing behavior for some types of evaluation, and so can give quick and J30 1680 accurate estimates of complex functioning. While roleplaying J30 1690 for testing is not too well understood at the present time, it represents J30 1700 one of the major uses of this procedure. #CHAPTER /10, SPONTANEITY J30 1710 TRAINING# THE OBJECTIVE OF THIS CHAPTER is to clarify J30 1720 the distinctions between spontaneity theory and other training concepts. J30 1730 In addition, the basic approach utilized in applying roleplaying will J30 1740 be reviewed. The goal will be to provide the reader with an integrated J30 1750 rationale to aid him in applying roleplaying techniques in this J30 1760 unique training area. The reasons for extracting this particular roleplaying J30 1770 application from the previous discussion of training are twofold: J30 1780 _1._ Spontaneity training theory is unique and relatively new. J31 0010 It is not easy for the therapist to discern when, in the patient's J31 0020 communicating, an introject has appeared and is holding sway. One J31 0030 learns to become alert to changes in his vocal tone- to his voice's J31 0040 suddenly shifting to a quality not like his usual one, a quality J31 0050 which sounds somehow artificial or, in some instances, parrotlike. The J31 0060 content of his words may lapse back into monotonous repetition, as J31 0070 if a phonograph needle were stuck in one groove; only seldom is it so J31 0080 simple as to be a matter of his obviously parroting some timeworn axiom, J31 0090 common to our culture, which he has evidently heard, over and over, J31 0100 from a parent until he experiences it as part of him. One hebephrenic J31 0110 woman often became submerged in what felt to me like a somehow J31 0120 phony experience of pseudo-emotion, during which, despite her wracking J31 0130 sobs and streaming cheeks, I felt only a cold annoyance with her. J31 0140 Eventually such incidents became more sporadic, and more sharply demarcated J31 0150 from her day-after-day behavior, and in one particular session, J31 0160 after several minutes of such behavior- which, as usual, went on J31 0170 without any accompanying words from her- she asked, eagerly, "Did J31 0180 you see Granny"? At first I did not know what she meant; I J31 0190 thought she must be seeing me as some one who had just come from J31 0200 seeing J31 0210 her grandmother, in their distant home-city. Then I realized that J31 0220 she had been deliberately showing me, this time, what Granny was like; J31 0230 and when I replied in this spirit, she corroborated my hunch. J31 0240 At another phase in the therapy, when a pathogenic mother-introject J31 0250 began to emerge more and more upon the investigative scene, she muttered J31 0260 in a low but intense voice, to herself, "I hate that woman inside J31 0270 me"! I could evoke no further elaboration from her about this; J31 0280 but a few seconds later she was standing directly across the room J31 0290 from me, looking me in the eyes and saying in a scathingly condemnatory J31 0300 tone, "Your J31 0310 father despises you"! Again, I at first misconstrued J31 0320 this disconcertingly intense communication, and I quickly cast J31 0330 through my mind to account for her being able to speak, with such utter J31 0340 conviction, of an opinion held by my father, now several years deceased. J31 0350 Then I replied, coldly, "If you despise me, why don't you J31 0360 say so, directly"? She looked confused at this, and I felt sure J31 0370 it had been a wrong response for me to make. It then occurred to me to J31 0380 ask, "Is that what that woman told you"? She clearly agreed J31 0390 that this had been the case. I realized, now, that she had been showing J31 0400 me, in what impressed me as being a very accurate way, something her J31 0410 mother had once said to her; it was as if she was showing me one of J31 0420 the reasons why she hated that woman inside her. What had been an unmanageably J31 0430 powerful introject was now, despite its continuing charge J31 0440 of energy disconcerting to me, sufficiently within control of her ego J31 0450 that she could use it to show me what this introjected mother was like. J31 0460 Earlier, this woman had been so filled with a chaotic variety J31 0470 of introjects that at times, when she was in her room alone, it would J31 0480 sound to a passerby as though there were several different persons in J31 0490 the room, as she would vocalize in various kinds of voice. A somewhat J31 0500 less fragmented hebephrenic patient of mine, who used to often seclude J31 0510 herself in her room, often sounded through the closed door- as I J31 0520 would find on passing by, between our sessions- for all the world J31 0530 like two persons, a scolding mother and a defensive child. Particularly J31 0540 hard for the therapist to grasp are those instances in which J31 0550 the patient is manifesting an introject traceable to something in the J31 0560 therapist, some aspect of the therapist of which the latter is himself J31 0570 only poorly aware, and the recognition of which, as a part of himself, J31 0580 he finds distinctly unwelcome. I have found, time and again, that J31 0590 some bit of particularly annoying and intractable behavior on the part J31 0600 of a patient rests, in the final analysis, on this basis; and only J31 0610 when I can acknowledge this, to myself, as being indeed an aspect of J31 0620 my personality, does it cease to be a prominently troublesome aspect of J31 0630 the patient's behavior. For example, one hebephrenic man used to J31 0640 annoy me, month after month, by saying, whenever I got up to leave and J31 0650 made my fairly steoreotyped comment that I would be seeing him on the J31 0660 following day, or whenever, "You're welcome", in a notably condescending J31 0670 fashion- as though it were his due for me to thank him J31 0680 for the privilege of spending the hour with him, and he were thus pointing J31 0690 up my failure to utter a humbly grateful, "thank you" to him J31 0700 at the end of each session. Eventually it became clear to me, partly J31 0710 with the aid of another schizophrenic patient who could point out my J31 0720 condescension to me somewhat more directly, that this man, with his J31 0725 condescending, J31 0730 "You're welcome", was very accurately personifying J31 0740 an element of obnoxious condescension which had been present in my own J31 0750 demeanor, over these months, on each of these occasions when I had J31 0760 bid him good-bye with the consoling note, each time, that the healing J31 0770 Christ would be stooping to dispense this succor to the poor suffered J31 0780 again on the morrow. Another patient, a paranoid woman, for many J31 0790 months infuriated not only me but the ward-personnel and her fellow J31 0800 patients by arrogantly behaving as though she owned the whole building, J31 0810 as though she were the only person in it whose needs were to be met. J31 0820 This behavior on her part subsided only after I had come to see the J31 0830 uncomfortably close similarity between, on the one hand, her arranging J31 0840 the ventilation of the common living room to her own liking, or turning J31 0850 the television off or on without regard to the wishes of the others, J31 0860 and on the other hand, my own coming stolidly into her room despite J31 0870 her persistent and vociferous objections, bringing my big easy chair J31 0880 with me, usually shutting the windows of her room which she preferred J31 0890 to keep in a very cold state, and plunking myself down in my chair- J31 0900 in short, behaving as if I owned her room. #4. CONDENSATION:# J31 0910 Here a variety of meanings and emotions are concentrated, or reduced, J31 0920 in their communicative expression, to some comparatively simple-seeming J31 0930 verbal or nonverbal statement. One finds, for example, J31 0935 that a terse and stereotyped J31 0940 verbal expression, seeming at first to be J31 0950 a mere hollow convention, reveals itself over the months of therapy J31 0960 as the vehicle for expressing the most varied and intense feelings, and J31 0970 the most unconventional of meanings. More than anything, it is the J31 0980 therapist's intuitive sensing of these latent meanings in the stereotype J31 0990 which helps these meanings to become revealed, something like a spread-out J31 1000 deck of cards, on sporadic occasions over the passage of the J31 1010 patient's and his months of work together. one cannot assume, of course, J31 1020 that all these accumulated meanings were inherent in the stereotype J31 1030 at the beginning of the therapy, or at any one time later on when J31 1040 the stereotype was uttered; probably it is correct to think of it as J31 1050 a matter of a well-grooved, stereotyped mode of expression- and no, J31 1060 or but a few, other communicational grooves, as yet- being , J31 1070 available for the patient's use, as newly-emerging emotions and J31 1080 ideas well up in him over the course of months. But it is true that the J31 1090 therapist can sense, when he hears this stereotype, that there are J31 1100 at this moment many emotional determinants at work in it, a blurred babel J31 1110 of indistinct voices which have yet to become clearly delineated from J31 1120 one another. Sometimes it is not a verbal stereotype- a J31 1130 "How are you now"? or an "I want to go home", or whatever- J31 1140 but a nonverbal one which reveals itself, gradually, as the condensed J31 1150 expression of more than one latent meaning. A hebephrenic man used J31 1160 to give a repetitious wave of his hand a number of times during his J31 1165 largely-silent J31 1170 hours with his therapist. When the therapist came to feel J31 1180 on sufficiently sure ground with him to ask him, "What is that, J31 1190 Bill- hello or farewell"?, the patient replied, "Both, Dearie- J31 1200 two in one". Of all the possible forms of nonverbal expression, J31 1210 that which seems best to give release, and communicational expression, J31 1220 to complex and undifferentiated feelings is laughter. It is J31 1230 no coincidence that the hebephrenic patient, the most severely dedifferentiated J31 1240 of all schizophrenic patients, shows, as one of his characteristic J31 1250 symptoms, laughter- laughter which now makes one feel scorned J31 1260 or hated, which now makes one feel like weeping, or which now gives J31 1270 one a glimpse of the bleak and empty expanse of man's despair; and J31 1280 which, more often than all these, conveys a of feelings which J31 1290 could in no way be J31 1300 conveyed by any number of words, words which are so J31 1310 unlike this welter in being formed and discrete from one another. To J31 1320 a much less full extent, the hebephrenic person's belching or flatus J31 1330 has a comparable communicative function; in working with these patients J31 1340 the therapist eventually gets to do some at least private mulling J31 1350 over of the possible meaning of a belch, or the passage of flatus, J31 1360 not only because he is reduced to this for lack of anything else to analyze, J31 1370 but also because he learns that even these animal-like sounds constitute J31 1380 forms of communication in which, from time to time, quite different J31 1390 things are being said, long before the patient can become sufficiently J31 1400 aware of these, as distinct feelings and concepts, to say them J31 1410 in words. As I have been intimating, in the schizophrenic- J31 1420 and perhaps also in the dreams of the neurotic; this is a question J31 1430 which I have no wish to take up- condensation is a phenomenon in which J31 1440 one finds not a condensed expression of various feelings and ideas J31 1450 which are, at an unconscious level, well sorted out, but rather a condensed J31 1460 expression of feelings and ideas which, even in the unconscious, J31 1470 have yet to become well differentiated from one another. Freeman, J31 1480 Cameron and McGhie, in their description of the disturbances of thinking J31 1490 found in chronic schizophrenic patients, say, in regard to condensation, J31 1500 that "**h the lack of adequate discrimination between the J31 1510 self and the environment, and the objects contained therein **h in itself J31 1520 is the prototypical condensation". In my experience, a J31 1530 great many of the patient's more puzzling verbal communications are J31 1540 so for the reason that concrete meanings have not become differentiated J31 1550 from figurative meanings in his subjective experience. Thus he may J31 1560 be referring to some concrete thing, or incident, in his immediate environment J31 1570 by some symbolic-sounding, hyperbolic reference to transcendental J31 1580 events on the global scene. Recently, for example, a paranoid woman's J31 1590 large-scale philosophizing, in the session, about the intrusive J31 1600 curiosity which has become, in her opinion, a deplorable characteristic J31 1610 of mid-twentieth-century human culture, developed itself, before the J31 1620 end of the session, into a suspicion that I was surreptitiously peeking J31 1630 at her partially exposed breast, as indeed I was. Or, equally J31 1640 often, a concretistic-seeming, particularistic-seeming statement may consist, J31 1650 with its mundane exterior, in a form of poetry- may be full J31 1660 of meaning and emotion when interpreted as a figurative expression: J31 1670 a metaphor, a smile, an allegory, or some other symbolic mode of speaking. J31 1680 Of such hidden meanings the patient himself is, more often J31 1690 than not, entirely unaware. His subjective experience may be a remarkably J31 1700 concretistic one. One hebephrenic women confided to me, "I J31 1710 live in a world of words", as if, to her, words were fully concrete J31 1720 objects; Burnham, in his excellent article (1955) concerning schizophrenic J31 1730 communication, includes mention of similar clinical material. J31 1740 A borderline schizophrenic young man told me that to him the various J31 1750 theoretical concepts about which he had been expounding, in a most articulate J31 1760 fashion, during session after session with me, were like great J31 1770 cubes of almost tangibly solid matter up in the air above him; as he J31 1780 spoke I was reminded of the great bales of cargo which are swung, high J31 1790 in the air, from a docked steamship. J32 0010 The many linguistic techniques for reducing the amount of dictionary J32 0020 information that have been proposed all organize the dictionary's J32 0030 contents around prefixes, stems, suffixes, etc&. A significant J32 0040 reduction J32 0050 in the voume of store information is thus realized, especially J32 0060 for a highly inflected language such as Russian. For English the reduction J32 0070 in size is less striking. This approach requires that: (1) J32 0080 each text word be separated into smaller elements to establish a correspondence J32 0090 between the occurrence and dictionary entries, and (2) the information J32 0100 retrieved from several entries in the dictionary be synthesized J32 0110 into a description of the particular word. The logical scheme used J32 0120 to accomplish the former influences the placement of information in J32 0130 the dictionary file. Implementation of the latter requires storage of J32 0140 information needed only for synthesis. We suggest the application J32 0150 of certain data-processing techniques as a solution to the problem. J32 0160 But first, we must define two terms so that their meaning will be J32 0170 clearly understood: _1._

- any unique sequence of alphabetic J32 0180 characters that can appear in a language preceded and followed J32 0190 by a space. _2._ - an instance of a form in text. J32 0200 We propose a method for selecting only dictionary information J32 0210 required by the text being translated and a means for passing the information J32 0220 directly to the occurrences in text. We accomplish this by compiling J32 0230 a list of text forms as text is read by the computer. A random-storage J32 0240 scheme, based on the spelling of forms, provides an economical J32 0250 way to compile this text-form list. Dictionary forms found to match J32 0260 forms in the text list are marked. A location in the computer store J32 0270 is also named for each marked form; dictionary information about the J32 0280 form stored at this location can be retrieved directly by occurrences J32 0290 of the form in text. Finally, information is retrieved from the dictionary J32 0300 as required by stages of the translation process- the grammatic J32 0310 description for sentence-structure determination, equivalent-choice J32 0320 information for semantic analysis, and target-language equivalents J32 0330 for output construction. The dictionary is a form dictionary, J32 0340 at least in the sense that complete forms are used as the basis for matching J32 0350 text occurrences with dictionary entries. Also, the dictionary J32 0360 is divided into at least two parts: the list of dictionary forms and J32 0370 the file of information that pertains to these forms. A more detailed J32 0380 description of dictionary operations- text lookup and dictionary J32 0390 modification- give a clearer picture. Text lookup, as we will J32 0400 describe it, consists of three steps. The first is compiling a list J32 0410 of text forms, assigning an information cell to each, and replacing text J32 0420 occurrences with the information cell assigned to the form of each J32 0430 occurrence. For this step the computer memory is separated into three J32 0440 regions: cells in the ~W-region are used for storage of the forms J32 0450 in the text-form list; cells in the ~X-region and ~Y region J32 0460 are reserved as information cells for text forms. When an occurrence J32 0470 **f is isolated during text reading, a random memory address **f, J32 0480 the address of a cell in the ~X-region, is computed from the form J32 0490 of **f. Let **f denote the form of **f. If cell **f has not previously J32 0500 been assigned as the information cell of a form in the text-form J32 0510 list, it is now assigned as the information cell of **f. The form itself J32 0520 is stored in the next available cells of the ~W-region, beginning J32 0530 in cell **f. The address **f and the number of cells required to J32 0540 store the form are written in **f; the information cell **f is saved J32 0550 to represent the text occurrence. Text reading continues with the next J32 0560 occurrence. Let us assume that **f is identical to the form J32 0570 of an occurrence **f which preceded **f in the text. When this situation J32 0580 exists, the address **f will equal **f which was produced from **f. J32 0590 If **f was assigned as the information cell for **f, the routine can J32 0600 detect that **f is identical to **f by comparing **f with the form J32 0610 stored at location **f. The address **f is stored in the cell **f. When, J32 0620 as in this case, the two forms match, the address **f is saved to J32 0630 represent the occurrence **f. Text reading continues with the next J32 0640 occurrence. J32 0650 A third situation is possible. The formula for computing J32 0660 random addresses from the form of each occurrence will not give a J32 0670 distinct address for each distinct form. Thus, when more than one distinct J32 0680 form leads to a particular cell in the ~X-region, a chain of J32 0690 information cells must be created to accommodate the forms, one cell J32 0700 in the chain for each form. If **f leads to an address **f that is equal J32 0710 to the address computed from **f, even though **f does not match **f, J32 0720 the chain of information cells is extended from **f by storing the J32 0730 address of the next available cell in the ~Y-region, **f, in **f. J32 0731 The J32 0740 cell **f becomes the second information cell in the chain and is assigned J32 0750 as the information cell of **f. A third cell can be added by storing J32 0760 the address of another ~Y-cell in **f; similarly, as many cells J32 0770 are added as are required. Each information cell in the chain contains J32 0780 the address of the ~Y-cell where the form to which it is assigned J32 0790 is stored. Each cell except the last in the chain also contains J32 0800 the address of the ~Y-cell that is the next element of the chain; J32 0810 the absence of such a link in the last cell indicates the end of the J32 0820 chain. Hence, when the address **f is computed from **f, the cell **f J32 0821 and J32 0830 all ~Y-cells in its chain must be inspected to determine whether J32 0840 **f is already in the form list or whether it should be added to the form J32 0850 list and the chain. When the information cell for **f has been determined, J32 0860 it is saved as a representation of **f. Text reading continues J32 0870 with the next occurrence. Text reading is terminated when J32 0880 a pre-determined number of forms have been stored in the text-form list. J32 0890 This initiates the second step of glossary lookup- connecting the J32 0900 information cell of forms in the text-form list to dictionary forms. J32 0910 Each form represented by the dictionary is looked up in the text-form J32 0920 list. Each time a dictionary form matches a text form, the information J32 0930 cell of the matching text form is saved. The number of dictionary J32 0940 forms skipped since the last one matched is also saved. These two pieces J32 0950 of information for each dictionary form that is matched by a text J32 0960 form constitute the table of dictionary usage. If each text form is J32 0970 marked when matched with a dictionary form, the text forms not contained J32 0980 in the dictionary can be identified when all dictionary forms have J32 0990 been read. The appropriate action for handling these forms can be taken J32 1000 at that time. Each dictionary form is looked up in the text-form J32 1010 list by the same method used to look up a new text occurrence in J32 1020 the form list during text reading. A random address **f that lies within J32 1030 the ~X-region of memory mentioned earlier is computed from the J32 1040 ~i-th dictionary form. If cell **f is an information cell, it and J32 1050 any information cells in the ~Y-region that have been linked to **f J32 1060 each contain an address in the ~W-region where a potentially matching J32 1070 form is stored. The dictionary form is compared with each of these J32 1080 text forms. When a match is found, an entry is made in the table of J32 1090 dictionary usage. If cell **f is not an information cell we conclude J32 1100 that the ~i-th dictionary form is not in the text list. These J32 1110 two steps essentially complete the lookup operation. The final step J32 1120 merely uses the table of dictionary usage to select the dictionary information J32 1130 that pertains to each form matched in the text-form list, and J32 1140 uses the list of information cells recorded in text order to attach J32 1150 the appropriate information to each occurrence in text. The list of J32 1160 text forms in the ~W-region of memory and the contents of the information J32 1170 cells in the ~X and ~Y-regions are no longer required. Only J32 1180 the assignment of the information cells is important. The J32 1190 first stage of translation after glossary lookup is structural analysis J32 1200 of the input text. The grammatical description of each occurrence in J32 1210 the text must be retrieved from the dictionary to permit such an analysis. J32 1220 A description of this process will serve to illustrate how any J32 1230 type of information can be retrieved from the dictionary and attached J32 1240 to each text occurrence. The grammatic descriptions of all forms J32 1250 in the dictionary are recorded in a separate part of the dictionary J32 1260 file. The order is identical to the ordering of the forms they describe. J32 1270 When entries are being retrieved from this file, the table of dictionary J32 1280 usage indicates which entries to skip and which entries to store J32 1290 in the computer. This selection-rejection process takes place as the J32 1300 file is read. Each entry that is selected for storage is written into J32 1310 the next available cells of the ~W-region. The address of the J32 1320 first cell and the number of cells used is written in the information J32 1330 cell for the form. (The address of the information cell is also supplied J32 1340 by the table of dictionary usage.) When the complete file has been J32 1350 read, the grammatic descriptions for all text forms found in the dictionary J32 1360 have been stored in the ~W-region; the information cell assigned J32 1370 to each text form contains the address of the grammatic description J32 1380 of the form it represents. Hence, the description of each text J32 1390 occurrence can be retrieved by reading the list of text-ordered information-cell J32 1400 addresses and outputting the description indicated by the information J32 1410 cell for each occurrence. The only requirements on J32 1420 dictionary information made by the text-lookup operation are that each J32 1430 form represented by the dictionary be available for lookup in the text-form J32 1440 list and that information for each form be available in a sequence J32 1450 identical with the sequence of the forms. This leaves the ordering J32 1460 of entries variable. (Here an entry is a form plus the information J32 1470 that pertains to it.) Two very useful ways for modifying a form-dictionary J32 1480 are the addition to the dictionary of complete paradigms J32 1490 rather than single forms and the application of a single change to more J32 1500 than one dictionary form. The former is intended to decrease the amount J32 1510 of work necessary to extend dictionary coverage. The latter is useful J32 1520 for modifying information about some or all forms of a word, hence J32 1530 reducing the work required to improve dictionary contents. Applying J32 1540 the techniques developed at Harvard for generating a paradigm from J32 1550 a representative form and its classification, we can add all forms of J32 1560 a word to the dictionary at once. An extension of the principle would J32 1570 permit entering a grammatic description of each form. Equivalents could J32 1580 be assigned to the paradigm either at the time it is added to the J32 1590 dictionary or after the word has been studied in context. Thus, one can J32 1600 think of a dictionary entry as a word rather than a form. If J32 1610 all forms of a paradigm are grouped together within the dictionary, J32 1620 a considerable reduction in the amount of information required is possible. J32 1630 For example, the inflected forms of a word can be represented, J32 1640 insofar as regular inflection allows, by a stem and a set of endings to J32 1650 be attached. (Indeed, the set of endings can be replaced by the J32 1660 of a set of endings.) The full forms can be derived from such information J32 1670 just prior to the lookup of the form in the text-form list. J32 1680 Similarly, if the equivalents for the forms of a word do not vary, the J32 1690 equivalents need be entered only once with an indication that they J32 1691 apply J32 1700 to each form. The dictionary system is in no way dependent upon J32 1710 such summarization or designed around it. When irregularity and variation J32 1720 prevent summarizing, information is written in complete detail. Entries J32 1730 are summarized only when by doing so the amount of information J32 1740 retained in the dictionary is reduced and the time required for dictionary J32 1750 operations is decreased. J33 0010 In sentences, patterns of stress are determined by complex combinations J33 0020 of influences that can only be suggested here. The tendency is toward J33 0030 putting dominant stress at the end. There is a parallel to this tendency J33 0040 in the assignment of time in long-known hymn tunes. Thus the J33 0050 first lines of one of Charles Wesley's hymns are as follows. J33 0060 "A charge to keep I have, A God to glorify". In the J33 0070 tune to which this hymn is most often sung, "Boylston", the syllables J33 0080 and , ending their lines, have twice the time any J33 0090 other syllables have. Dominant stress is of course more than extended J33 0100 duration, and normally centers on syllables that would have primary stress J33 0110 or phrase stress if the words or longer units they are parts of J33 0120 were spoken alone: a dominant stress given to would normally J33 0130 center on its first syllable rather than its last. But the parallel J33 0140 is significant. When the answer to is , dominant stress will usually be on the complement J33 0160 . From the point of view of syntactic analysis the J33 0170 head word in the statement is the predicator , and from J33 0180 the point of view of meaning it would seem that the trouble centers J33 0190 in the breaking; but dominant stress will be assigned to J33 0200 only in rather exceptional versions of the sentence. In dominant stress will usually be on the complement ; J33 0220 in it will usually be on the predicator . J33 0230 In dominant stress will J33 0240 generally be on the complement ; in the double sentence J33 0250 it will generally J33 0260 be on the subjects and . In dominant stress will generally be on the subject J33 0280 ; in it will generally be on J33 0290 the complement . Dominant stress is on J33 0300 both in , where is the complement, J33 0310 and in , where it is the subject. Adverbial J33 0320 second complements, however, are likely not to have dominant stress J33 0330 when they terminate sentences. If the answer to J33 0340 is , dominant stress will ordinarily J33 0350 be on the first complement, , not the second complement J33 0360 . Final adjuncts may or may not have dominant stress. If the J33 0370 answer to is , J33 0380 dominant stress may or may not be on the adjunct . J33 0390 When prepositional complements are divided as in they are likely to lose dominant stress. Context J33 0410 is of extreme importance. What is new in the context is likely J33 0420 to be made more prominent than what is not. Thus in a context in which J33 0430 there has been discussion of snow but mention of local conditions is J33 0440 new, dominant stress will probably be on in , but in a context in which there has been discussion of local J33 0460 weather but no mention of snow, dominant stress will probably be on . J33 0470 The personal pronouns and substitute are normally unstressed J33 0480 because they refer to what is prominent in the immediate context. J33 0490 In dominant stress is probably on ; J33 0500 but if George has just been mentioned prominently (and J33 0510 the trip to be made has been under discussion), what is said is probably J33 0520 , and dominant stress is probably on the preposition J33 0530 . When a gesture accompanies the personal J33 0540 pronoun has dominant stress because "he" has not been mentioned J33 0550 previously. If both George and a piece of information George J33 0560 does not have are prominent in the context, but the idea of telling George J33 0570 is new, then dominant stress will probably be on in But when what is new in a particular context J33 0590 is also fairly obvious, there is normally only light stress or no stress J33 0600 at all. Thus the unstressed of gets J33 0610 its significance from its use with : nothing can snow snow J33 0620 but "it". In J33 0630 the modifier takes dominant stress away from its head J33 0640 : the fact that the young creatures of interest are people J33 0650 seems rather obvious. If replaced , it would normally J33 0660 have dominant stress. In the word J33 0670 makes little real contribution to meaning and has weaker stress J33 0680 than . If is substituted for (with more J33 0690 exact contribution to meaning), it will have dominant stress. In dominant stress is likely to go to rather than J33 0710 to semantically pale . In dominant stress on implies that J33 0730 the young woman spoken to is still pretty. Dominant stress on J33 0740 would be almost insulting here. In the written language J33 0750 can be underlined or italicized to guide the reader here, but much J33 0760 of the time the written language simply depends on the reader's alertness, J33 0770 and a careless reader will have to back up and reread. J33 0780 Often dominant stress simply indicates a centering of attention or emotion. J33 0790 Thus in dominant stress J33 0800 is likely to be on , and will have strong J33 0810 stress also. In dominant stress will ordinarily J33 0820 be on , where the notion of stored-up antipathy seems to J33 0830 center. In strong stress on J33 0840 indicates that the job being done is not real painting but simply an J33 0850 effort at painting. Where there is comparison or contrast dominant J33 0860 stresses normally operate to center attention. Thus in strong stresses are normal for J33 0880 and , but in J33 0890 strong stresses are normal for and . In J33 0900 both J33 0910 and have stronger stress than they would ordinarily have if J33 0920 there were no contrast. In the J33 0930 desire to contrast the first parts of words which are alike in their last J33 0940 components produces an exceptional disregard of the normal patterns J33 0950 of stress of and . Sometimes strong stress J33 0960 serves to focus an important secondary relationship. Thus in strong stress on marks J33 0980 Mary as the first in a series of people who wrote accounts of the trip, J33 0990 strong stress on marks the writing as the first of a series J33 1000 of actions of Mary's concerned with an account of her trip (about J33 1010 which she may later have made speeches, for example), and strong stress J33 1020 on makes the trip the first of a series of subjects about J33 1030 which Mary wrote accounts. In the situation J33 1040 is very similar. Strong stress on treats hunger as J33 1050 an additional stimulus, strong stress on treats stimulation J33 1060 as an additional effect of hunger, strong stress on treats J33 1070 man as an additional creature who responds to the stimulation of hunger. J33 1080 Here again, in the written language it is possible to help the J33 1090 reader get his stresses right by using underlining or italics, but much J33 1100 of the time there is simply reliance on his understanding in the light J33 1110 of context. When a word represents a larger construction of J33 1120 which it is the only expressed part, it normally has more stress than J33 1130 it would have in fully expressed construction. Thus when is the response to J33 1150 the stress on , which here represents , is quite strong. In the of the second main declarative represents J33 1180 and therefore has stress. , with this deprived of stress, makes J33 1200 the complement in the clause. In the possessive represents J33 1220 and is stressed. When represents itself and J33 1230 a complement (being equivalent, say, to ) in it has strong stress; when it represents J33 1250 only itself and is its complement (so that J33 1260 is semantically equivalent to ), has stronger stress J33 1270 than does. Omission of a subordinator pronoun, however, does J33 1280 not result in an increase in stress on a prepositional adverb for which J33 1290 the subordinator pronoun would be object. Thus has light stress J33 1300 both in and in . But when represents J33 1320 in , and similarly J33 1340 in , there is much stronger stress J33 1350 on . In the final J33 1360 is lightly stressed because it represents . In J33 1370 , of course, is normally unstressed. When is equivalent in meaning to , dominant stress J33 1390 is ordinarily on . When the same sequence is equivalent in J33 1400 meaning to , dominant stress J33 1410 is ordinarily on . It is clear that patterns J33 1411 of stress sometimes J33 1420 show construction unambiguously in the spoken language where J33 1430 without the help of context it would be ambiguous in the written. J33 1440 Other examples follow. "I'll come by Tuesday. I J33 1450 can't be happy long without drinking water". In the first of these J33 1460 sentences if is the complement of and is J33 1470 an adjunct of time equivalent to , there will be strong J33 1480 stress on in the spoken language; but if a complement for J33 1490 is implied and is a prepositional unit used as J33 1500 an adjunct, will be unstressed or lightly stressed at most. In J33 1510 the second sentence if is a gerundial clause and J33 1520 is roughly equivalent in meaning to , there will be stronger stress on than on J33 1540 ; but if is a gerundial noun modifying J33 1550 and is equivalent to , there will be stronger stress on than on J33 1570 . But the use of stress in comparison and contrast, for example, J33 1580 can undermine distinctions such as these. And patterns of stress J33 1590 are not always unambiguous by any means. In only context can indicate whether is equivalent in meaning to J33 1620 or to , and in and only the meanings J33 1640 of and make it clear that is syntactically J33 1650 a second complement in the first sentence and a preposition followed J33 1660 by its object in the second. #SYLLABIFICATION.#- Syllables are J33 1670 linguistic units centering in peaks which are usually vocalic but, as J33 1680 has been noted, are consonantal under certain circumstances, and which J33 1690 may or may not be combined with preceding and/or following consonants J33 1700 or combinations of consonants. Syllables are genuine units, but division J33 1710 of words and sentences into them presents great difficulties. Sometimes J33 1720 even the number of syllables is not clear. Doubt on this point J33 1730 is strongest before /l/ and /@/ or /r/. From the point of view J33 1731 of J33 1740 word formation might be expected to have two syllables. Historically J33 1750 ~ is the formative that is employed also in , J33 1760 and ~ is the common suffix. When ~ is added, J33 1770 clearly has two syllables. But there is every reason to regard J33 1780 as a monosyllable, and because of the fact that /l/ commonly J33 1790 has the quality of /@/ when it follows vowel sounds, seems J33 1800 to be a perfectly satisfactory rhyme with . J34 0010 It is obvious enough that linguists in general have been less J34 0020 successful in coping with tone systems than with consonants or vowels. J34 0030 No single explanation is adequate to account for this. Improvement, J34 0040 however, is urgent, and at least three things will be needed. J34 0050 The first is a wide-ranging sample of successful tonal analyses. Even J34 0060 beginning students in linguistics are made familiar with an appreciable J34 0070 variety of consonant systems, both in their general outlines and in J34 0080 many specific details. An advanced student has read a considerable J34 0090 number of descriptions of consonantal systems, including some of the more J34 0100 unusual types. By contrast, even experienced linguists commonly know J34 0110 no more of the range of possibilities in tone systems than the over-simple J34 0120 distinction between register and contour languages. This limited J34 0130 familiarity with the possible phenomena has severely hampered work J34 0140 with tone. Tone analysis will continue to be difficult and unsatisfactory J34 0150 until a more representative selection of systems is familar to J34 0160 every practicing field linguist. Papers like these four, if widely read, J34 0170 will contribute importantly to improvement of our analytic work. J34 0180 The second need is better field techniques. The great majority J34 0190 of present-day linguists fall into one or more of a number of overlapping J34 0210 types: those who are convinced that tone cannot be analysed, those who J34 0220 are personally scared of tone and tone languages generally, those who J34 0230 are convinced that tone is merely an unnecessary marginal feature in J34 0240 those languages where it occurs, those who have no idea how to proceed J34 0250 with tone analysis, those who take a simplistic view of the whole J34 0260 matter. The result has been neglect, fumbling efforts, or superficial J34 0270 treatment. As these maladies overlap, so must the cure. Analyses such J34 0280 as these four will simultaneously combat the assumptions that tone J34 0290 is impossible and that it is simple. They will give suggestions that J34 0300 can be worked up into field procedures. Good field techniques will not J34 0310 only equip linguists for better work, but also help them overcome negative J34 0320 attitudes. Actually, none of these papers says much directly about J34 0330 field techniques. But it is worth pondering that very little has J34 0340 been published on any phase of field techniques in linguistics. These J34 0350 things have been disseminated by other means, but always in the wake J34 0360 of extensive publication of analytic results. The third need J34 0370 is for better theory. We should expect that general phonologic theory J34 0380 should be as adequate for tone as for consonants and vowels, but it has J34 0390 not been. This can only be for one of two reasons: either the two J34 0400 are quite different and will require totally different theory (and hence J34 0410 techniques), or our existing theories are insufficiently general. J34 0420 If, as I suspect, the problem is largely of the second sort, then development J34 0430 of a theory better able to handle tone will result automatically J34 0440 in better theory for all phonologic subsystems. One issue J34 0450 that must be faced is the relative difficulty of analysis of different J34 0460 phonologic subsystems. Since tone systems typically comprise fewer J34 0470 units than either consonant or vowel systems, we might expect that they J34 0480 would be the easiest part of a phonologic analysis. Actual practice J34 0490 does not often work out this way. Tone systems are certainly more complex J34 0500 than the number of units would suggest, and often analytically J34 0510 more difficult than much larger consonantal systems. Welmers has J34 0520 suggested one explanation. Tone languages use for linguistic contrasts J34 0530 speech parameters which also function heavily in nonlinguistic use. J34 0540 This may both divert the attention of the uninitiate and cause confusion J34 0550 for the more knowledgeable. The problem is to disentangle the J34 0560 linguistic features of pitch from the co-occurring nonlinguistic J34 0565 features. J34 0570 Of course, something of the same sort occurs with other sectors of J34 0580 the phonology: consonantal articulations have both a linguistic and J34 0590 an individual component. But in general the individual variation is J34 0600 a small thing added onto basic linguistic features of greater magnitude. J34 0610 With tone, individual differences may be greater than the linguistic J34 0620 contrasts which are superimposed on them. Pitch differences from J34 0630 one speaker to another, or from one emotional state to another, may far J34 0640 exceed the small differences between tones. However, any such suggestion J34 0650 accounts for only some of the difficulties in hearing tone, or in J34 0660 developing a realistic attitude about tone, but not for the analytic J34 0670 difficulties that occur even when tone is meticulously recorded. J34 0680 A second explanation is suggested by the material described in Rowlands' J34 0690 paper. Tone and intonation often become seriously intermeshed. J34 0700 Neither can be adequately systematized until we are able to separate J34 0710 the two and assign the observed phenomena individually to one or the J34 0720 other. Other pairs of phonologic subsystems also interact or overlap J34 0730 in this way; for example, duration sometimes figures in both the J34 0740 vowel system and the intonation. Some phonetic features, for example J34 0750 glottal catch or murmur, are sometimes to be assigned to segmental phonemics J34 0760 and sometimes to accentual systems. But no other two phonologic J34 0770 systems are as difficult to disentangle as are tone and intonation in J34 0780 some languages. This explanation of tone difficulties, however, does J34 0790 not apply in all languages. In some (the Ewe type mentioned above) J34 0800 interaction of tone and intonation is restricted to the ends of intonation J34 0810 spans. In many of the syllables, intonation can be safely ignored, J34 0820 and much of the tonal analysis can be done without any study of intonation. J34 0830 Still, even in such languages tone analysis has not been as J34 0840 simple as one might expect. A third explanation is suggested J34 0850 by Richardson's analysis of Sukuma tone. There we see a basically J34 0860 simple phonemic system enmeshed in a very complex and puzzling morphophonemic J34 0870 system. While the phonemes can be very easily stated, no one J34 0880 is likely to be satisfied with the statement until phonemic occurrences J34 0890 can be related in some way to morphemic units, i&e& until the morphophonemics J34 0900 is worked out, or at least far enough that it seems reasonable J34 0910 to expect success. In the "typical tone language", J34 0920 tonal morphophonemics is of the same order of complexity as consonantal J34 0930 morphophonemics. The phonemic systems which must support these morphophonemic J34 0940 systems, however, are very different. The inventory of tones J34 0950 is much smaller, and commonly the contrasts range along one single J34 0960 dimension, pitch level. Consonantal systems are not merely larger, they J34 0970 are multidimensional. Morphophonemic rules may be thought of as joining J34 0980 certain points in the system. The possibilities in the consonantal J34 0990 system are very numerous, and only a small portion of them are actually J34 1000 used. Phonemes connected by a morphophonemic rule commonly show J34 1010 a good bit of phonetic similarity, possible because of the several dimensions J34 1020 of contrast in the system. Tonal morphophonemics, in a common J34 1030 case, can do nothing but either raise or lower the tone. The possibilities J34 1040 are few, and the total number of rules may be considerably greater. J34 1050 Often, therefore, there are a number of rules having the same J34 1060 effect, and commonly other sets of rules as well, having the opposite J34 1070 effect. Tonal morphophonemics is much more confusing to the beginning J34 1080 analyst than consonantal morphophonemics, even when the total number J34 1090 of rules is no greater. The difficulty of analysis of any subsystem J34 1100 in the phonology is an inverse function of the size- smaller systems J34 1110 are more troublesome- for any given degree of morphophonemic J34 1120 complexity. This hypothesis will account for a large part of the difficulties J34 1130 of tonal analysis, as well as the fact that vowel systems are J34 1140 often more puzzling than consonantal systems. The statement of the system J34 1150 is a different matter. Smaller systems can of course be stated J34 1160 much more succinctly. A phonemic system can be stated without reference J34 1170 to morphophonemics, but it cannot always be found without morphophonemics. J34 1180 And the more complex the morphophonemic system is in relation J34 1190 to the phonemic base, the less easily a phonemic system will be analysed J34 1200 without close attention to the morphophonemics- at least, the less J34 1210 satisfying will a phonemic statement be if it cannot be related through J34 1220 morphophonemic rules to grammatically meaningful structures. J34 1230 The design of orthographies has received much less attention from J34 1240 linguists than the problem deserves. There has been a tendency on the J34 1250 part of many American linguists to assume that a phonemic transcription J34 1260 will automatically be the best possible orthography and that the only J34 1270 real problem will then be the social one of securing acceptance. This J34 1280 seems naive. Most others have been content to give only the most J34 1290 general attention to the broadest and most obvious features of the phonology J34 1300 when designing orthographies. Apparently the feeling is that J34 1310 anything more would be involvement in technical abstrusenesses of possible J34 1320 pedantic interest but of no visible significance in practical affairs. J34 1330 The result of this attitude has been the domination of many orthography J34 1340 conferences by such considerations as typographic 'esthetics', J34 1350 which usually turns out to be nothing more than certain prejudices J34 1360 carried over from European languages. Many of the suggested systems J34 1370 seem to have only the most tenuous relationship to the language structures J34 1380 that they purport to represent. Linguists have not always been J34 1390 more enlightened than "practical people" and sometimes have insisted J34 1400 on incredibly trivial points while neglecting things of much greater J34 1410 significance. As a result, many people have been confirmed in their J34 1420 conviction that orthography design is not an activity to which experts J34 1430 can contribute anything but confusion. A& E& Sharp, J34 1440 in Vowel-Length and Syllabicity in Kikuyu, examines one set of related J34 1450 orthographic questions and its phonologic background in detail. His J34 1460 objective is merely to determine "what distinctions of length and J34 1470 syllabicity it may be desirable to make explicit in a Kikuyu orthography" J34 1480 (59). To do so, he finds it necessary to examine the relevant J34 1490 parts of the phonology thoroughly and in detail. In the process, he J34 1500 develops some very significant observations about problems of a sort J34 1510 that are often difficult. A few of his examples are of very great interest, J34 1520 and the whole discussion of some importance for theory. His orthographic J34 1530 recommendations are no simplistic acceptance of phonemics on J34 1540 the one hand or of superficiality on the other. Rather he weighs each J34 1550 phonologic fact in the light of its orthographic usefulness. He concludes J34 1560 that some changes can made in the current orthography which will J34 1570 appreciably improve its usefulness, but hesitates to suggest precise J34 1580 graphic devices to effect these changes. I hope his suggestions are J34 1590 given the consideration they deserve in Kikuyu circles. This, however, J34 1600 will not exhaust their practical usefulness, as they rather clearly J34 1610 indicate what thorough phonologic investigation can contribute to orthography J34 1620 design. We need many more studies of this sort if the design J34 1630 of written languages is to be put on a sound basis. One other J34 1640 paper deals with a phonologic problem: Vowel Harmony in Igbo, by J34 1650 J& Carnochan. This restates the already widely known facts in terms J34 1660 of prosodies. As a restatement it makes only a small contribution J34 1670 to knowledge of Igbo. But it would seem more intended as a tract advocating J34 1680 the prosodic theory than a paper directed to the specific problems J34 1690 of Igbo phonology. The paper has a certain value as a comparatively J34 1700 easy introduction to this approach, particularly since it treats J34 1710 a fairly simple and straightforward phenomenon where it is possible J34 1720 to compare it with a more traditional (though not structural) statement. J34 1730 It does show one feature of the system that has not been previously J34 1740 described. But it does not, as it claims, demonstrate that this could J34 1750 not be treated by traditional methods. It seems to me that it rather J34 1760 easily can. Five of the papers deal with grammatical problems. J34 1770 On the whole they maintain much the same high standard, but they J34 1780 are much more difficult to discuss in detail because of their wider J34 1790 variety of subject matter. My comments must be briefer than the papers J34 1800 deserve. W& H& Whiteley writes on The Verbal Radical J34 1810 in Iraqw. This must be considered primarily an amendment and supplement J34 1820 to his early A short Description of Item-Categories in Iraqw. J34 1830 It exhibits much the same descriptive technique and is open to much J34 1840 the same criticisms. The treatment seems unnecessarily loose-jointed J34 1850 and complex, largely because the method is lax and the analysis seems J34 1860 never to be pushed to a satisfactory or even a consistent stopping-point. J35 0010 There are more stems per item in Athabascan, which expresses the fact J35 0020 that the Athabascan languages have undergone somewhat more change in J35 0030 diverging from proto-Athabascan than the Yokuts languages from proto-Yokuts. J35 0040 This may be because the Athabascan divergence began earlier; J35 0050 or again because the Athabascan languages spread over a very much J35 0060 larger territory (including three wholly separated areas); or both. J35 0070 The differentiation however is not very much greater, as shown by J35 0080 the fact that Athabascan shows 3.46 stems per meaning slot as against J35 0090 2.75 for Yokuts, with a slightly greater number of languages represented J35 0100 in our sample: 24 as against 21. (On deduction of one-eighth from J35 0110 3.46, the stem/item rate becomes 3.03 against 2.75 in equivalent number J35 0120 of languages.) These general facts are mentioned to make clear J35 0130 that the total situation in the two families is similar enough to warrant J35 0140 comparison. The greatest difference in the two sets of figures J35 0150 is due to differences in the two sets of lists used. These differences J35 0160 in turn result from the fact that my Yokuts vocabularies were J35 0170 built up of terms selected mainly to insure unambiguity of English meaning J35 0180 between illiterate informants and myself, within a compact and uniform J35 0190 territorial area, but that Hoijer's vocabulary is based on Swadesh's J35 0200 second glottochronological list which aims at eliminating J35 0210 all items which might be culturally or geographically determined. Swadesh J35 0220 in short was trying to develop a basic list that was universal; J35 0230 I, one that was specifically adapted to the San Joaquin Valley. The J35 0240 result is that I included 70 animal names, but Swadesh only 4; J35 0250 and somewhat similarly for plants, 16 as against 4. Swadesh, and therefore J35 0260 Hoijer, felt compelled to omit all terms denoting species or even J35 0270 genera (); their J35 0280 classes of animal and plant terms are restricted to generalizations or J35 0290 recurrent parts (). J35 0300 The groups are therefore really non-comparable in content as well as J35 0310 in size. Other classes are included only by myself (interrogatives, J35 0320 adverbs) or only by Swadesh and Hoijer (pronouns, demonstratives). J35 0330 What we have left as reasonably comparable are four classes: J35 0340 (1) body parts and products, which with a proportionally nearly J35 0350 even representation (51 terms out of 253, 25 out of 100) come out with J35 0360 nearly even ratios; 2.6 and 2.7; (2) Nature (29 terms against J35 0370 17), ratios 3.3 versus 4.1; (3) adjectives (16, 15 terms), ratios 3.9 J35 0380 versus 4.7; (4) verbs (9, 22 terms), ratios 4.0 versus 3.4. J35 0390 It will be seen that where the scope is similar, the Athabascan ratios J35 0400 come out somewhat higher (as indeed they ought to with a total ratio J35 0410 of 2.8 as against 3.5 or 4:5) except for verbs, where alone the Athabascan J35 0420 ratio is lower. This exception may be connected with Hoijer's J35 0430 use of a much higher percentage of verbs: 22% of his total J35 0440 list as against 3.5% in mine. Or the exception may be due to a particular J35 0450 durability peculiar to the Athabascan verb. More word class ratios J35 0460 determined in more languages will no doubt ultimately answer the J35 0470 question. #5.# If word classes differ in their resistance or liability J35 0480 to stem replacement within meaning slot, it is conceivable that J35 0490 individual meanings also differ with fair consistence trans-lingually. J35 0500 Hoijer's Athabascan and my Yokuts share 71 identical meanings (with J35 0510 allowance for several near-synonyms like ). For Yokuts, J35 0530 I tabulated these 71 items in five columns, according as they were expressed J35 0540 by 1, 2, 3, 4, and more than 4 stems. The totals for these J35 0550 five categories are not too uneven, namely 20, 15, 11, 16, 9 respectively. J35 0560 For Athabascan, with a greater range of stems, the first two J35 0570 of five corresponding columns were identical, 1 and 2 stems; the three J35 0580 others had to be spread somewhat, and are headed respectively **f; J35 0590 **f; and **f stems. While the particular limits of these groupings J35 0591 may J35 0600 seem artificially arbitrary; they do fairly express a corresponding J35 0610 grouping of more variable material, and they eventuate also in five J35 0620 classes, along a similar scale, containing approximately equal numbers J35 0630 of cases, namely 19, 14, 15, 11, 12 in Athabascan. When now J35 0640 we count the frequency of the 71 items in the two language families appearing J35 0650 in the same column or grade, or one column or grade apart, or J35 0660 two or three or four, we find these differences: **f This distribution J35 0670 can be summarized by averaging the distance in grades apart: J35 0680 **f; which, divided by **f gives a mean of 1.07 grades apart. If J35 0690 the distribution of the 71 items were wholly concordant in the two families, J35 0700 the distance would of course be 0. If it were wholly random J35 0710 and unrelated, it would be 2.0, assuming the five classes were equal in J35 0720 ~, which approximately they are. The actual mean of 1.07 being J35 0730 about halfway between 0 of complete correlation and 2.0 of no correlation, J35 0740 it is evident that there is a pretty fair degree of similarity J35 0750 in the behavior even of particular INDIVIDUAL items of meaning J35 0760 as regards long-term stem displacement. #6.# In 1960, David D& J35 0770 Thomas published Basic Vocabulary in some Mon-Khmer Languages J35 0780 ~AL 2, no& 3, pp& 7-11), which compares 8 Mon-Khmer languages J35 0790 with the ~I-E language data on which Swadesh based the revised J35 0791 retention J35 0800 rate (**f) in place of original (**f), and his revised 100 word J35 0801 basic J35 0810 glottochronological list in Towards Greater Accuracy **h (~IJAL J35 0820 21:121-137). Thomas' findings are, first, "that the individual J35 0830 items vary greatly and unpredictably in their persistence"; J35 0840 but, second, "that the semantic groups are surprisingly unvarying J35 0850 in their average persistence" (as between ~M-K and ~I-E. His J35 0860 first conclusion, on behavior of individual items, is negative, whereas J35 0870 mine (on Ath& and Yok&) was partially positive. His second J35 0880 conclusion, J35 0890 on semantic word classes, agrees with mine. This second conclusion, J35 0900 independently arrived at by independent study of material from two J35 0910 pairs of language families as different and remote from one another J35 0920 as these four are, cannot be ignored. Thomas also presents a J35 0930 simple equation for deriving an index of persistence, which weights not J35 0940 only the number of stems ('roots') per meaning, but their relative J35 0950 frequency. Thus his persistence values for some stem frequencies per J35 0960 meaning is: stem identical in 8 languages, 100%; stem frequencies J35 0970 7 and 1, 86%; stem frequencies 4 and 4, 64%; stem frequencies J35 0980 4, 3, and 1, 57%. His formula will have to be weighed, may be J35 0990 altered or improved, and it should be tested on additional bodies of J35 1000 material. But consideration of the frequency of stems per constant meaning J35 1010 seems to be established as having significance in comparative situations J35 1020 with diachronic and classificatory relevance; and Gleason J35 1030 presumably is on the way with a further contribution in this area. J35 1040 As to relative frequencies of competing roots (7-1 vs& 4-4, etc&), J35 1050 Thomas with his 'weighting' seems to be the first to have considered J35 1060 the significance this might have. The problem needs further J35 1070 exploration. I was at least conscious of the distinction in my full J35 1080 Yokuts presentation that awaits publication, in which, in listing 'Two-Stem J35 1090 Meanings', I set off by asterisks those forms in which J35 1100 ~ of stem ~B was **f of stem ~A/3, the unasterisked ones J35 1110 standing for **f; or under 'Four Stems', I set off by asterisks J35 1120 cases where the combined ~ of stems **f was **f. #7.# These J35 1130 findings, and others which will in time be developed, will affect J35 1140 the method of glottochronological inquiry. If adjectival meanings show J35 1150 relatively low retentiveness of stems, as I am confident will prove J35 1160 to be the case in most languages of the world, why should our basic J35 1170 lists include 15 per cent of these unstable forms, but only 8 per cent J35 1180 of animals and plants which replace much more slowly? Had Hoijer J35 1190 substituted for his 15 adjectival slots 15 good animal and plant items, J35 1200 his rate of stem replacement would have been lower and the age of Athabascan J35 1210 language separation smaller. And irrespective of the outcome J35 1220 in centuries elapsed since splitting, calculations obviously carry more J35 1230 concordant and comparable meaning if they deal with the most stable J35 1231 units J35 1240 than with variously unstable ones. It is evident that Swadesh J35 1250 has not only had much experience with basic vocabulary in many languages J35 1260 but has acquired great tact and feeling for the expectable behavior J35 1270 of lexical items. Why then this urge to include unstable items J35 1280 in his basic list? It is the urge to obtain a list as free of geographical J35 1290 and cultural conditioning as possible. And why that insistence? J35 1300 It is the hope of attaining a list of items of UNIVERSAL occurrence. J35 1310 But it is becoming increasingly evident that such a hope is J35 1320 a snare. Not that such a list cannot be constructed; but the nearer J35 1330 it comes to attaining universality, the less significant will it be J35 1340 linguistically. Its terms will tend to be labile or vague, and they J35 1350 will fit actual languages more and more badly. The practical operational J35 1360 problem of lexicostatistics is the establishment of a basic J35 1370 list of items of meaning against which the particular forms or terms J35 1380 of languages can be matched as the medium of comparison. The most important J35 1390 quality of the meanings is that they should be as definable as J35 1400 possible. In proportion as meanings are concrete, we can better rely J35 1410 on their being insulated and distinctive. An elephant or a fox or a swan J35 1420 or a cocopalm or a banana possess in unusually high degree this quality J35 1430 of obvious, common-sense, indubitable IDENTITY, as do an eye J35 1440 or tooth or nail. They isolate out easily, naturally, and unambiguously J35 1450 from the continuum of nature and existence; and they should be J35 1460 given priority in the basic list as long as they continue to show these J35 1470 qualities. With the universal list as his weapon, Swadesh J35 1471 has J35 1480 extended his march of conquest farther and farther into the past, eight, J35 1490 ten, twelve millennia back. And he has proclaimed greater or less J35 1500 affiliation between all Western hemisphere languages. Some of this J35 1510 may prove to be true, or even considerable of it, whether by genetic J35 1520 ramification or by diffusion and coalescence. But the farther out he J35 1530 moves, the thinner will be his hold on conclusive evidence, and the larger J35 1540 the speculative component in his inferences. He has traversed provinces J35 1550 and kingdoms, but he has not consolidated them behind him, nor J35 1560 does he control them. He has announced results on Hokan, Penutian, J35 1570 Uto-Aztecan, and almost all other American families and phyla, and J35 1580 has diagrammed their degree of interrelation; but he has not worked J35 1590 out by lexicostatistics one comprehensively complete classification of J35 1600 even a single family other than Salish. That is his privilege. The J35 1610 remote, cloudy, possible has values of its own- values of scope, J35 1620 stimulus, potential, and imagination. But there is also a firm aspect J35 1630 to lexicostatistics: the aspect of learning the internal organization J35 1640 of obvious natural genetic groups of languages as well as their more J35 1650 remote and elusive external links; of classification first, with elapsed J35 1660 age merely a by-product; of acquiring evidential knowledge of J35 1670 what happened in Athabascan, in Yokuts, in Uto-Aztecan in the last J35 1680 few thousand years as well as forecasting what more anciently may have J35 1690 happened between them. This involves step-by-step progress, and such J35 1700 will have to be the day-by-day work of lexicostatistics as a growing J35 1710 body of scientific inquiry. If of the founders of glottochronology J35 1720 Swadesh has escaped our steady plodding, and Lees has repudiated his J35 1730 own share in the founding, that is no reason why we should swerve. #8.# J35 1740 There is no apparent reason why we should feel bound by Swadesh's J35 1750 rules and procedure since his predilections and aims have grown J35 1760 so vast. It seems time to consider a revision of operational procedures J35 1770 for lexicostatistic studies on a more humble, solid, and limited basis. J35 1780 I would propose, first, an abandonment of attempts at a J35 1790 universal lexical list, as intrinsically unachievable, and operationally J35 1800 inadequate in proportion as it is achieved. I would propose, J35 1810 next, as the prime requirement for constitution of new basic lists, J35 1820 items whose forms show as high an empirical retention rate as possible. J35 1830 There would be no conceivable sense in going to the opposite extreme J35 1840 of selecting items whose forms are the most unstable. An attempted J35 1850 middle course might lead to devices like a 5000-word alphabetized dictionary J35 1860 from which every fiftieth word was selected. J36 0010 Doubtless it was inevitable that differences of opinion should J36 0020 arise about the methods for applying these policies. It was nevertheless J36 0030 almost incredible that four years after Yalta there should be a J36 0040 complete split over Germany, with hot heads on both sides planning to J36 0050 use the Germans against their former allies, and with Nazi-minded Germans J36 0060 expecting to recover their power by fighting on one side or the J36 0070 other. #5. POLAND# _FRONTIERS._ When the Yalta Conference J36 0080 opened, the American policy of postponing all discussion of Russia's J36 0090 western boundaries until the peace conference had broken down. Starting J36 0100 in great force late in December, from a line stretching from J36 0110 East Prussia to Budapest, the Red armies had swept two hundred miles J36 0120 across Poland to the Oder, thirty miles from Berlin, and the Upper J36 0130 Danube region was being rapidly overrun, while the Western Allies J36 0140 had not yet occupied all of the left bank of the Rhine. The long J36 0150 delay in opening the Second Front was now working to Russia's advantage. J36 0160 The West was now glad to propose the 1919 Curzon Line, J36 0170 which was substantially Russia's 1941 border, as the boundary between J36 0180 Russia and Poland. When this proposal was made, Stalin spoke J36 0190 with stronger emotion than at any other time during the Conference. J36 0200 He stood up to emphasize his strong feeling on the subject. The bitter J36 0210 memory of Russia's exclusion from the Paris Peace Conference J36 0220 and of the West's effort to stamp out Bolshevism at its birth boiled J36 0230 up within him. "You would drive us into shame", he declared. J36 0240 The White Russians and the Ukrainians would say that Stalin and Molotov J36 0250 were far less reliable defenders of Russia than Curzon and Clemenceau. J36 0260 Yet after long and earnest discussion Stalin accepted J36 0270 the Curzon Line and even agreed voluntarily that there should be J36 0280 digressions from that line of five to eight kilometers in favor of Poland J36 0290 in some regions. He did not mind the Line itself, which Churchill J36 0300 declared in the House of Commons, on February 27, 1945, he had J36 0310 always believed to be "just and right", but he did not want it called J36 0320 by a hated name. The West had long since forgotten the events J36 0330 of 1919, but it was not so easy for the Red leaders, who felt that they J36 0340 had suffered great injustice in that period. In the Dunn-Atherton J36 0350 memorandum of February 4, 1942, the State Department had expected J36 0360 to be able to hold Russia in check by withholding agreement to J36 0370 her 1941 boundaries. Now Stalin made it clear that he meant to move J36 0380 Poland's western borders deep into Germany, back to the western J36 0390 Neisse-Oder River lines, taking not only East Prussia and all of J36 0400 Silesia but Pomerania and the tip of Brandenburg, back to and including J36 0410 Stettin. From six to nine million additional Germans would be J36 0420 evicted, though most would have fled, and Poland would receive far more J36 0430 from Germany than the poor territories, including the great Pripet J36 0440 Marshes, which she lost to Russia. Stalin declared that he preferred J36 0450 to continue the war a little longer, "although it costs us blood", J36 0460 in order to give Poland compensation in the West at the expense J36 0470 of the Germans. By this time Churchill was not so cordial toward J36 0480 moving Poland westward as he had been at Teheran, where he and J36 0490 Eden had both heartily approved the idea. After "a prolonged study J36 0500 of the Oder line on a map", at Teheran, Churchill "liked the J36 0510 picture". He would tell the Poles, he said, that they had been "given J36 0520 a fine place to live in, more than three hundred miles each way". J36 0530 At Yalta he thought more about the six million Germans who would J36 0540 have to leave, trying to find work in Germany, and Roosevelt objected J36 0550 to the Western Neisse River being chosen in the south, instead J36 0560 of the Eastern Neisse, both of which flow into the Oder. The J36 0570 issue was left in abeyance, presumably for the peace conference. However, J36 0580 there was no real question of the justice of creating a strong J36 0590 Poland, both industrially and agriculturally, and one unplagued by large J36 0600 minorities of Germans or Russians. The moving of millions of the J36 0610 German master-race, from the very heart of Junkerdom, to make room J36 0620 for the Polish Slavs whom they had enslaved and openly planned to exterminate J36 0630 was a drastic operation, but there was little doubt that it J36 0640 was historically justified. _GOVERNMENT._ Of more importance to J36 0650 the West than Poland's boundaries was the character of her government. J36 0660 At Yalta the West still believed that Eastern Europe could J36 0670 be kept in its orbit, in spite of the onrushing Soviet armies. Though J36 0680 little democracy had ever been practised in this region, and much of J36 0690 it was still ruled by feudalistic means, it was taken for granted that J36 0700 at least the forms of Western democracy would be established in this J36 0710 area and Western capitalism preserved within it. Believing devoutly J36 0720 as they did in Anglo-Saxon institutions, it was important to both J36 0730 Roosevelt and Churchill that the Poles should have them. The J36 0740 issue was acute because the exiled Polish Government in London, supported J36 0750 in the main by Britain, was still competing with the new Lublin J36 0760 Government formed behind the Red Army. More time was spent in J36 0770 trying to marry these imcompatibles than over any subject discussed at J36 0780 Yalta. The result was an agreement that the Lublin Government should J36 0790 be "reorganized on a broader democratic basis with the inclusion J36 0800 of democratic leaders from Poland itself and from the Poles abroad", J36 0810 and pledged to hold "free and unfettered elections as soon as possible J36 0820 on the basis of universal suffrage and secret ballot". All J36 0830 "democratic and anti-Nazi parties" were to have the right to campaign. J36 0840 Roosevelt acted as moderator of the long debate on this J36 0850 issue. It was a matter of principle with Churchill, since Britain had J36 0860 declared war in behalf of Poland. To Stalin it was a matter of J36 0870 life and death. He made this completely clear. Speaking with "great J36 0880 earnestness", he said: "For the Russian people, the question J36 0890 of Poland is not only a question of honor but also a question of security. J36 0900 Throughout history, Poland has been the corridor through which J36 0910 the enemy has passed into Russia. Twice in the last thirty years our J36 0920 enemies, the Germans, have passed through this corridor. It is in J36 0930 Russia's interest that Poland should be strong and powerful, in a J36 0940 position to shut the door of this corridor by her own force **h. It J36 0950 is necessary that Poland should be free, independent in power. Therefore, J36 0960 it is not only a question of honor but of life and death for the J36 0970 Soviet state". In other words, the Soviet Union was determined J36 0980 to create a Poland so strong as to be a powerful bulwark against J36 0990 Germany and so closely tied to Russia that there would never be any J36 1000 question of her serving as a against the Soviets J36 1010 or posing as an independent, balancing power in between Russia and J36 1020 Germany. Byrnes says that invariably thereafter the Soviets used J36 1030 the same security argument to justify their course in Poland. This reasoning J36 1040 was also as inevitable as anything could be. Any free elections J36 1050 that were to be held in Poland would have to produce a government J36 1060 in which Moscow had complete confidence, and all pressure from the West J36 1070 for free voting by anti-Soviet elements in Poland would be met J36 1075 by J36 1080 restrictions on voting by these elements. #6. LIBERATED EUROPE# J36 1090 In even greater degree the same rule applied to the remainder of Eastern J36 1100 Europe, where the upper classes had generally collaborated with J36 1110 the Nazis, even to the extent of sending millions of their peasants into J36 1120 Russia as a part of Hitler's armies. But at Yalta the conflicting J36 1130 expectations of East and West were merged into an agreement by J36 1140 the Big Three to assist all liberated countries in Europe "to J36 1150 create J36 1160 democratic institutions of their own choice". In any case "" [italics added] they J36 1180 would "form interim governmental authorities broadly representative J36 1190 of all democratic elements in the population and pledged to the earliest J36 1200 possible establishment through free elections of governments responsive J36 1210 to the will of the people". Other similar affirmations in the J36 1220 Declaration on Liberated Europe seemed to assure democratic institutions J36 1230 on the Western model. Later it developed that the Soviets had J36 1240 a very different interpretation of democracy, which will be discussed J36 1250 later, and their judgment never told them that the Big Three should J36 1260 unite in establishing democratic conditions, as we understand them, J36 1270 within their zone of influence. Professor McNeill thinks that J36 1280 at Yalta, Stalin did not fully realize the dilemma which faced him, J36 1290 that he thought the exclusion of the anti-Soviet voters from East J36 1295 European J36 1300 elections would not be greatly resented by his allies, while J36 1310 neither Roosevelt nor Churchill frankly faced "the fact that, in Poland J36 1320 at least, genuinely free democratic elections would return governments J36 1330 unfriendly to Russia", by any definition of international friendliness. J36 1340 Also war-time propaganda and cooperation had "obscured J36 1350 the differences between Russian and Western ideas of democracy", J36 1360 and it seemed better to have them covered by verbal formulae than to imperil J36 1370 the military victories over Germany and Japan. The application J36 1380 of these formulae could not please both sides, for they really J36 1390 attempted to marry the impossible to the inevitable. While obliged J36 1400 to concede governments in East Europe allied with the Soviet Union J36 1410 instead of opposed to it, we thought we had preserved our social and J36 1420 economic system in East Europe. This illusion was described J36 1430 in a far-sighted editorial in the , on J36 1440 March 5, 1947, in connection with the submission of the satellite peace J36 1450 treaties to the Senate. In doing so Marshall and Byrnes were "asking J36 1460 for the ratification of a grim lesson in the facts of international J36 1470 life". We had entertained exaggerated ideas about our victory J36 1480 automatically establishing our system throughout the world. "". J36 1520 [Italics added.] This is a penetrating description J36 1530 of our post-war illusion, which applied to other areas than East J36 1540 Europe. The same editorial continued that "We expected to democratize J36 1550 Japan and Korea and to see a new China pattern itself easily J36 1560 on our institutions. We expected, in short, that most of the world J36 1570 would make itself over in our image and that it would be relatively simple, J36 1580 from such a position, to deal with the localized aberrations of J36 1590 the Soviet Union". Yet actually "the image corresponded in no J36 1600 way to the actualities of the post-war world. Neither our military, our J36 1610 economic nor our ideological power reached far enough" to determine J36 1620 the fate of East Europe. Then the editorial added prophetically: J36 1630 "how far they may reach in Asia is yet undetermined, but they fall J36 1640 far short of our dreams of the war conferences". Here is J36 1650 the best short explanation of the origins of the Cold War that has been J36 1660 written. Failing to heed the lesson so clearly contained in the satellite J36 1670 treaties, President Truman re-declared the Cold War on March J36 1680 12, 1947, in the Truman Doctrine, exactly one week after the editorial was written, and a year after the Cold War J36 1700 had been announced by Churchill at Fulton, Missouri, in Truman's J36 1710 presence. Then China promptly went Communist, and Mr& Truman J36 1720 had to fight the interminable Korean war for the democratization of J36 1730 Korea before we learned how far our writ did "reach in Asia". J36 1740 Years of war, strain, and hatred; of heavy arms expenditures J36 1750 and constant danger of another world war had to ensue before the United J36 1760 States could bring itself to accept the two chief results of World J36 1770 War /2,- Communist control of East Europe and China. _A J36 1780 NEW BALANCE OF POWER._ While the Cold War raged it was easy to blame J36 1790 it all on Yalta. Yet, in summarizing a series of careful essays J36 1800 on the Yalta Conference, Forrest Pogue could find no basis for Yalta J36 1810 becoming "a symbol for betrayal and a shibboleth for the opponents J36 1820 of Roosevelt and international cooperation". When the Yalta Papers J36 1830 were finally published with great fanfare they had revealed no betrayal J36 1840 by anyone. J37 0010 An analysis of the election falls naturally in four parts. First J37 0020 is the long and still somewhat obscure process of preparation, planning J37 0030 and discussion. Preparation began slightly more than a year after J37 0040 independence with the first steps to organize rural communes. All J37 0050 political interests supported electoral planning, although there are some J37 0060 signs that the inherent uncertainties of a popular judgment led to J37 0070 some procrastination. The second major aspect of the election is the J37 0080 actual procedure of registration, nomination and voting. Considerable J37 0090 technical skill was used and the administration of the elections was J37 0100 generally above reproach. However, the regionally differentiated results, J37 0110 which appear below in tables, are interesting evidence of the problems J37 0120 of developing self-government under even the most favorable circumstances. J37 0130 A third aspect, and probably the one open to most controversy, J37 0140 is the results of the election. The electoral procedure prevented J37 0150 the ready identification of party affiliation, but all vitally interested J37 0160 parties, including the government itself, were busily engaged in J37 0170 determining the party identifications of all successful candidates the J37 0180 month following the elections. The fourth and concluding point will J37 0190 be to estimate the long-run significance of the elections and how they J37 0200 figure in the current pattern of internal politics. Elections J37 0210 have figured prominently in nearly every government program and official J37 0220 address since independence. They were stressed in the speeches J37 0230 of Si Mubarak Bekkai when the first Council of Ministers was formed J37 0240 and again when the Istiqlal took a leading role in the second Council. J37 0250 King Muhammad /5, was known to be most sympathetic to the formation J37 0260 of local self-government and made the first firm promise of elections J37 0270 on May Day, 1957. There followed a long and sometimes bitter J37 0280 discussion of the feasibility of elections for the fall of 1957, in J37 0290 which it appears that the Minister of the Interior took the most pessimistic J37 0300 view and that the Istiqlal was something less than enthusiastic. J37 0310 Since the complicated process of establishing new communes and J37 0320 reviewing the rudimentary plan left by the French did not even begin J37 0330 until the fall of 1957, this goal appears somewhat ambitious. From J37 0340 the very beginning the electoral discussions raised fundamental issues J37 0350 in Moroccan politics, precisely the type of questions that were J37 0360 most difficult to resolve in the new government. Until the Charter J37 0370 of Liberties was issued in the fall of 1958, there were no guarantees J37 0380 of the right to assemble or to organize for political purposes. The J37 0390 Istiqlal was still firmly united in 1957, but the P&D&I& (), the most important minor J37 0410 party at the time, objected to the Istiqlal's predominance in the J37 0420 civil service and influence in Radio Maroc. There were rumors that J37 0430 the Ministry of the Interior favored an arbitrary, "non-political" J37 0440 process, which were indirectly affirmed when the King personally intervened J37 0450 in the planned meetings. The day following his intervention J37 0460 the palace issued a statement reassuring the citizens that "**h the J37 0470 possibility of introducing appeals concerning the establishment of electoral J37 0480 lists, lists of candidates and finally the holding of the consultation J37 0490 itself **h" would be supported by the King himself. J37 0500 The Ifni crisis in the fall of 1957 postponed further consideration J37 0510 of elections, but French consultants were called in and notices of further J37 0520 investigation appeared from time to time. In January, 1958, the J37 0530 Minister of the Interior announced that an election law was ready J37 0540 to be submitted to the King, the rumors of election dates appeared once J37 0550 again, first for spring of 1958 and later for the summer. Although J37 0560 the government was probably prepared for elections by mid-1958, the J37 0570 first decision was no doubt made more difficult as party strife multiplied. J37 0580 In late 1957 the M&P& () appeared J37 0590 and in the spring of 1958 the internal strains of the Istiqlal was J37 0600 revealed when the third Council of Government under Balafrej was formed J37 0610 without support from progressive elements in the party. The parties J37 0620 were on the whole unprepared for elections, while the people were J37 0630 still experiencing post-independence let-down and suffering the after J37 0640 effects of poor harvests in 1957. Despite the internal and international J37 0650 crises that harassed Morocco the elections remained a central J37 0660 issue. They figured prominently in the Balafrej government of May, J37 0670 1958, which the King was reportedly determined to keep in office until J37 0680 elections could be held. But the eagerly sought "homogeneity" J37 0690 of the Balafrej Council of Government was never achieved as the Istiqlal J37 0700 quarreled over foreign policy, labor politics and economic development. J37 0710 By December, 1958, when 'Abdallah Ibrahim became President J37 0720 of the Council, elections had even greater importance. They were J37 0730 increasingly looked upon as a means of establishing the new rural J37 0740 communes as the focus of a new, constructive national effort. To minimize J37 0750 the chances of repeating the Balafrej debacle the Ibrahim government J37 0760 was formed and a special office was created J37 0770 in the Ministry of the Interior to plan and to conduct the elections. J37 0780 By this time there is little doubt but what election plans were complete. J37 0790 There remained only the delicate task of maneuvering the laws J37 0800 through the labyrinth of Palace politics and making a small number J37 0801 of J37 0810 policy decisions. From the rather tortuous history of electoral J37 0820 planning in Morocco an important point emerges concerning the first J37 0830 elections in a developing country and evaluating their results. In J37 0840 the new country the electoral process is considered as a means of resolving J37 0850 fundamental, and sometimes bitter, differences among leaders and J37 0860 also as a source of policy guidance. In the absence of a reservoir J37 0870 of political consensus each organized political group hopes that the elections J37 0880 will give them new prominence, but in a system where there is J37 0890 as yet no place for the less prominent. Lacking the respected and effective J37 0900 institutions that consensus helps provide, minority parties, such J37 0910 as the P&D&I& in 1957 and the progressive Istiqlal faction J37 0920 in 1958, clamor for elections when out of power, but are not at all J37 0930 certain they wish to be controlled by popular choice when in power. Those J37 0940 in power tend to procrastinate and even to repudiate the electoral J37 0950 process. The tendency to treat elections as an instrument of self-interest J37 0960 rather than an instrument of national interest had two important J37 0961 effects J37 0970 on electoral planning in Morocco. At the central level J37 0980 the voting system was selected over some form J37 0990 of the system, even though the latter had been J37 1000 recommended by Duverger and favored by all political parties. The J37 1010 choice of the single member district was dictated to a certain extent J37 1020 by problems of communication and understanding in the more remote areas J37 1030 of the country, but it also served to minimize the national political J37 1040 value of the elections. Although the elections were for local officials, J37 1050 it was not necessary to conduct the elections so as to prevent parties J37 1060 from publicly identifying their candidates. With multiple member J37 1070 districts the still fragmentary local party organizations could have J37 1080 operated more effectively and parties might have been encouraged to J37 1090 state their positions more clearly. Both parties and the Ministry of J37 1100 the Interior were busily at work after the elections trying to unearth J37 1110 the political affiliations of the successful candidates and, thereby, J37 1120 give the elections a confidential but known degree of national political J37 1130 significance. Since a national interpretation cannot be avoided J37 1140 it is unfortunate that the elections were not held in a way to maximize J37 1150 party responsibility and the educational effect of mass political participation. J37 1160 The general setting of the Moroccan election may J37 1170 also encourage the deterioration of local party organization. The concentration J37 1180 of effective power in Rabat leads not only to party bickering, J37 1190 but to distraction from local activity that might have had many J37 1200 auxiliary benefits in addition to contributing to more meaningful elections. J37 1210 Interesting evidence can be found in the results of the Chamber J37 1220 of Commerce elections, which took place three weeks before national J37 1230 elections. The Istiqlal sponsored U&M&C&I&A& () J37 1250 was opposed by candidates of the new U&N&F&P& () in nearly all urban centers. J37 1270 As the more conservative group with strong backing from wealthy J37 1280 businessmen, the U&M&C&I&A& was generally favored J37 1290 against the more progressive, labor-based U&N&F&P& The J37 1300 newer party campaigned heavily, while the older, more confident party J37 1310 expected the Moroccan merchants and small businessmen to support them J37 1320 as they had done for many years. The local Istiqlal and U&M&C&I&A& J37 1330 offices did not campaign and lost heavily. The J37 1340 value of the elections was lost, both as an experiment in increased political J37 1350 participation and as a reliable indicator of commercial interest, J37 1360 as shown in Table /1,. The chamber of Commerce elections J37 1370 were, of course, an important event in the preparation for rural commune J37 1380 elections. The U&N&F&P& learned that its urban organization, J37 1390 which depends heavily on U&M&T& support, was most J37 1400 effective. The Istiqlal found that the spontaneous solidarity of J37 1410 the independence struggle was not easily transposed to the more concrete, J37 1420 precise problems of internal politics. The overall effect was probably J37 1430 to stimulate more party activity in the communal elections than J37 1440 might have otherwise taken place. A second major point of this J37 1450 essay is to examine the formal arrangements for the elections. Although J37 1460 a somewhat technical subject, it has important political implications J37 1470 as the above discussion of the voting system indicated. Furthermore, J37 1480 the problems and solutions devised in the electoral experiences of J37 1490 the rapidly changing countries are often of comparative value and essential J37 1500 to evaluating election results. The of the elections J37 1510 was naturally an impartial and standardized procedure. As the J37 1520 background discussion indicated there were frequently expressed doubts J37 1530 that a government dominated by either party could fairly administer J37 1540 elections. The P&D&I& and later the Popular Movement protected J37 1550 the Istiqlal's "privileged position" until the fall of J37 1560 Balafrej, and then the Istiqlal used the same argument, which it had J37 1570 previously ignored, against the pro-U&N&F&P& tendencies J37 1580 of the Ibrahim government. The bulk of the preparation had, J37 1590 of course, proceeded under the supervision of the Ministry of the Interior, J37 1600 whose officials are barred from party activity and probably generally J37 1610 disinterested in party politics. Apart from some areas of recurring J37 1620 trouble, like Bani Mellal, where inexperienced officials had J37 1630 been appointed, there is little evidence that local officials intervened J37 1640 in the electoral process. Centrally, however, the administrative J37 1650 problem was more complex and the sheer prestige of office was very likely J37 1660 an unfair advantage. The King decided to remove Ibrahim a week J37 1670 before elections and to institute a non-party Council of Government J37 1680 under his personal direction. Although the monarch had frequently asserted J37 1690 that the elections were to be without party significance, his action J37 1700 was an implicit admission that party identifications were a factor. J37 1710 The new Council was itself inescapably of political meaning, which J37 1720 was most clearly revealed in the absence of any U&N&F&P& J37 1730 members and the presence of several Istiqlal leaders. Since the J37 1740 details of the elections were settled the change of government had no J37 1750 direct effect on the technical aspects of the elections, and may have J37 1751 been J37 1760 more important as an indication of royal displeasure with the U&N&F&P& J37 1770 Voting preparations began in the fall of 1959, J37 1780 although the actual demarcation and planning for the rural communes J37 1790 was completed in 1958. There were three major administrative tasks: J37 1800 the fixing of electoral districts, the registration of voters and the J37 1810 registration of candidates. Voter registration began in late November J37 1820 1959 and continued until early January, 1960. The government was J37 1830 most anxious that there be a respectable response. Periodic bulletins J37 1840 of the accomplishment in each province made the registration process J37 1850 into a kind of competition among provincial officials. A goal was fixed, J37 1860 as given in Table 2, and attention focused on its fulfillment. The J37 1870 qualifications to vote were kept very simple. Both men and women of J37 1880 twenty-one years of age could register and vote upon presenting proof J37 1890 of residence and identification. There were liberal provisions for J37 1900 dispensation where documents or records were lacking. The police were J37 1910 disqualified along with certain categories of naturalized citizens, criminals J37 1920 and those punished for Protectorate activities. The J37 1930 registration figures given in Table 2 must be interpreted with caution J37 1940 since the estimate for eligible electors were made without the benefit J37 1950 of a reliable census. J38 0010 Unemployed older workers who have no expectation of securing employment J38 0020 in the occupation in which they are skilled should be able to J38 0030 secure counseling and retraining in an occupation with a future. Some J38 0040 vocational training schools provide such training, but the current J38 0050 need exceeds the facilities. _CURRENT PROGRAMS_ The present Federal J38 0060 program of vocational education began in 1917 with the passage of J38 0070 the Smith-Hughes Act, which provided a continuing annual appropriation J38 0080 of $7 million to support, on a matching basis, state-administered J38 0090 programs of vocational education in agriculture, trades, industrial skills J38 0100 and home economics. Since 1917 some thirteen supplementary and related J38 0110 acts have extended this Federal program. The George-Barden J38 0120 Act of 1946 raised the previous increases in annual authorizations to J38 0130 $29 million in addition to the $7 million under the Smith Act. The J38 0140 Health Amendment Act of 1956 added $5 million for practical nurse J38 0150 training. The latest major change in this program was introduced J38 0160 by the National Defense Education Act of 1958, Title /8, of J38 0170 which amended the George-Barden Act. Annual authorizations of $15 J38 0180 million were added for area vocational education programs that meet national J38 0190 defense needs for highly skilled technicians. The Federal J38 0200 program of vocational education merely provides financial aid to encourage J38 0210 the establishment of vocational education programs in public J38 0220 schools. The initiative, administration and control remain primarily J38 0230 with the local school districts. Even the states remain primarily in J38 0240 an assisting role, providing leadership and teacher training. Federal J38 0250 assistance is limited to half of the total expenditure, and the J38 0260 state or local districts must pay at least half. The state may decide J38 0270 to encourage local programs by paying half of the cost, or the state J38 0280 may require the local district to bear this half or some part of it. J38 0290 Throughout the history of the program, state government expenditures J38 0300 in the aggregate have usually matched or exceeded the Federal expenditures, J38 0310 while local districts all together have spent more than either J38 0320 Federal or state governments. Today, Federal funds account for only J38 0330 one-fifth of the nation's expenditures for vocational education. The J38 0340 greatest impact of the matching-fund principle has been in initially J38 0350 encouraging the poorest states and school districts to spend enough J38 0360 to obtain their full allocation of outside funds. National defense J38 0370 considerations have been the major reason behind most Federal J38 0380 training expenditures in recent decades. During World War /2, about J38 0390 7.5 million persons were enrolled in courses organized under two special J38 0400 programs administered by state and local school authorities: (1) J38 0410 Vocational Education for National Defense, and (2) War Production J38 0420 Training. The total cost of the five-year program was $297 million. J38 0430 For the Smith-Hughes, George-Barden, and National Defense J38 0440 Act of 1958, the cumulative total of Federal expenditures in 42 years J38 0450 was only about $740 million. No comparable measures are available J38 0460 of enrollments and expenditures for private vocational education J38 0470 training. There are a great number and variety of private commercial J38 0480 schools, trade schools and technical schools. In addition, many large J38 0490 corporations operate their own formal training programs. A recent study J38 0500 indicated that 85 per cent of the nation's largest corporations J38 0510 conducted educational programs involving some class meetings and examinations. J38 0520 Most skilled industrial workers, nevertheless, still J38 0530 acquire their skills outside of formal training institutions. The National J38 0540 Manpower Council of Columbia University has estimated that J38 0550 three out of five skilled workers and one out of five technicians have J38 0560 not been formally trained. There is little doubt that the students J38 0570 benefit from vocational education. Employers prefer to hire youth J38 0580 with such training rather than those without, and most graduates of J38 0590 vocational training go to work in jobs related to their training. Vocational J38 0600 educators do not claim that school training alone makes skilled J38 0610 workers, but it provides the essential groundwork for developing skills. J38 0620 In most states, trade and industrial training is provided J38 0630 in a minority of the high schools, usually located in the larger cities. J38 0640 In Arkansas fewer than 6 per cent of the high schools offer trade J38 0650 and industrial courses. In Illinois about 13 per cent of the schools J38 0660 have programs, and in Pennsylvania 11 per cent. An important J38 0670 recent trend is the development of area vocational schools. For J38 0680 a number of years Kentucky, Louisiana and several other states have J38 0690 been building state-sponsored vocational education schools that serve J38 0700 nearby school districts in several counties. These schools are intended J38 0710 to provide the facilities and specialized curriculum that would not J38 0720 be possible for very small school districts. Transportation may be J38 0730 provided from nearby school districts. Courses are provided mainly for J38 0740 post high school day programs; but sometimes arrangements also are J38 0750 made for high school students to attend, and evening extension courses J38 0760 also may be conducted. The Title /8, program of the National J38 0770 Defense Education Act of 1958 was a great spur to this trend toward J38 0780 area schools. By 1960 there were such schools in all but 4 states. J38 0790 They were operating in 10 of the 17 major areas of chronic labor J38 0800 surplus and in 10 of the minor areas. An extension of this program into J38 0810 the other distressed areas should be undertaken. _RELATION TO NEW J38 0820 INDUSTRY_ Some of this trend toward area vocational schools has been J38 0830 related to the problems of persistent labor surplus areas and their J38 0840 desire to attract new industry. The major training need of a new J38 0850 industrial plant is a short period of pre-employment training for a J38 0860 large number of semi-skilled machine operators. A few key skilled workers J38 0870 experienced in the company's type of work usually must be brought J38 0880 in with the plant manager, or hired away from a similar plant elsewhere. J38 0890 A prospective industry also may be interested in the long-run J38 0900 advantages of training programs in the area to supply future skilled workers J38 0910 and provide supplementary extension courses for its employees. J38 0920 The existence of a public school vocational training program in J38 0930 trade and industry provides a base from which such needs can be filled. J38 0940 Additional courses can readily be added and special cooperative programs J38 0950 worked out with any new industry if the basic facilities, staff J38 0960 and program are in being. Thus, besides the training provided to youth J38 0970 in school, the existence of the school program can have supplementary J38 0980 benefits to industry which make it an asset to industrial development J38 0990 efforts. Few states make effective use of their existing vocational J38 1000 education programs or funds for the purpose of attracting new J38 1010 industry. The opportunity exists for states to reserve some of their J38 1020 vocational education funds to apply on an flexible basis J38 1030 to subsidize any local preemployment training programs that my be quickly J38 1040 set up in a community to aid a new industrial plant. _LOCAL FOCUS J38 1050 OF PROGRAMS_ The major weakness of vocational training programs in J38 1060 labor surplus areas is their focus on serving solely local job demands. J38 1070 This weakness is not unique to labor surplus areas, for it is inherent J38 1080 in the system of local school districts in this country. J38 1090 Planning of vocational education programs and courses is oriented to J38 1100 local employer needs for trained workers. All the manuals for setting J38 1110 up vocational courses stress the importance of first making a J38 1120 survey of skill needs, of estimating the growth of jobs, J38 1130 and of consulting with employers on the types of courses and J38 1140 their content. Furthermore, there is a cautious conservatism J38 1150 on the part of those making local skill surveys. Local jobs can be seen J38 1160 and counted, while opportunities elsewhere are regarded as more hypothetical. J38 1170 While the U& S& Department of Labor has a J38 1180 program of projecting industry and occupational employment trends and J38 1190 publishing current outlook statements, there is little tangible evidence J38 1200 that these projections have been used extensively in local curriculum J38 1210 planning. The U& S& Office of Education continues to stress J38 1220 local surveys rather than national surveys. This procedure is J38 1230 extremely shortsighted in chronic labor surplus areas with a long history J38 1240 of declining employment. Elaborate studies have been made in labor J38 1250 surplus areas in order to identify sufficient numbers of local job J38 1260 vacancies and future replacement needs for certain skills to justify J38 1270 training programs for those skills. No effort is made in the same studies J38 1280 to present information on regional or national demand trends in these J38 1290 skills or to consider whether regional or national demands for other J38 1300 skills might provide much better opportunities for the youth to be J38 1310 trained. Moreover, the current information on what types of training J38 1320 are needed and possible is too limited and fragmentary. There J38 1330 simply is not enough material available on the types of job skills that J38 1340 are in demand and the types of training programs that are required J38 1350 or most suitable. Much of the available information comes not from the J38 1360 Federal government but from an exchange of experiences among states. J38 1370 _PROPOSALS_ State and local agencies in the vocational education J38 1380 field must be encouraged to adopt a wider outlook on future job opportunities. J38 1390 There is a need for an expanded Federal effort to provide J38 1400 research and information to help guide state education departments and J38 1410 local school boards in existing programs. A related question J38 1420 is whether unemployed workers can be motivated to take the training provided. J38 1430 There is little evidence that existing public or private training J38 1440 programs have any great difficulty getting students to enroll in J38 1450 their programs, even though they must pay tuition, receive no subsistence J38 1460 payments, and are not guaranteed a job. However, there always is J38 1470 some limit to the numbers who will spend the time and effort to acquire J38 1480 training. Again, one major difficulty is the local focus. A J38 1490 training program in a depressed area may have few enrollees unless there J38 1500 is some apparent prospect for better employment opportunities afterwards, J38 1510 and the prospect may be poor if the training is aimed solely J38 1520 at jobs in the local community. If there is adequate information on job J38 1530 opportunities for skilled jobs elsewhere, many more workers can be J38 1540 expected to respond. Another problem is who will pay for the training. J38 1550 Local school districts are hard pressed financially and unenthusiastic J38 1560 about vocational training. Programs usually are expanded only J38 1570 when outside funds are available or local business leaders demand J38 1580 it. Even industrial development leaders find it hard to win local support J38 1590 for training unless a new industry is in sight and requests it. State J38 1600 governments have been taking the lead in establishing area vocational J38 1610 schools, but their focus is still on area job opportunities. Only J38 1620 the Federal government is likely to be able to take a long-run and J38 1630 nation-wide view and to pay for training to meet national skilled manpower J38 1640 needs. If only state funds were used to pay for the vocational J38 1650 education, it could be argued that the state should not have to J38 1660 bear the cost of vocational training which would benefit employers in J38 1670 other states. However, if Federal funds are used, it would be entirely J38 1680 appropriate to train workers for jobs which could be obtained elsewhere J38 1690 as well as for jobs in the area of chronic unemployment. Such training J38 1700 would increase the tendency of workers to leave the area and find J38 1710 jobs in other localities. A further possibility is suggested J38 1720 by the example of the G& I& bills and also by some recent trends J38 1730 in attitudes toward improving college education: that is to provide J38 1740 financial assistance to individuals for vocational training when local J38 1750 facilities are inadequate. This probably would require some support J38 1760 for subsistence as well as for tuition, but the total would be no J38 1770 greater than for the proposals of unemployment compensation or a Youth J38 1780 Conservation Corps. A maximum of $600 per year per student would J38 1790 enable many to take training away from home. A program of financial J38 1800 assistance would permit placing emphasis on the national interest J38 1810 in training highly skilled labor. Instead of being limited to the poor J38 1820 training facilities in remote areas, the student would be able to J38 1830 move to large institutions of concentrated specialized training. Such J38 1840 specialized training institutions could be located near the most rapidly J38 1850 growing industries, where the equipment and job experience exist J38 1860 and J38 1870 where the future employment opportunities are located. This would heighten J38 1880 possibilities for part-time cooperative, on-the-job and extension J38 1890 training. Personal financial assistance would enable more J38 1900 emphasis to be placed on the interests of the individual. His aptitudes J38 1910 and preferences could be given more weight in selecting the proper J38 1920 training. J39 0010 But briefly, the topping configuration must be examined for its J39 0020 inferences. Then the fact that the lower channel line was pierced had J39 0030 further forecasting significance. And then the application of the J39 0040 count rules to the width (horizontally) of the configuration give us an J39 0050 intial estimate of the probable depth of the decline. The very idea J39 0060 of their being "count rules" implies that there is some sort of proportion J39 0070 to be expected between the amount of congestive activity and J39 0080 the extent of the breakaway (run up or run down) movement. This expectation J39 0090 is what really "sold" point and figure. But there is no positive J39 0100 and consistently demonstrable relationship in the strictest sense. J39 0110 Experience will show that only the vaguest generalities apply, and J39 0120 in fine, these merely dwell upon a relationship between the durations J39 0130 and intensities of events. After all, too much does not happen too J39 0140 suddenly, nor does very little take long. The advantages and disadvantages J39 0150 of these two types of charting, bar charting and point and J39 0160 figure charting, remain the subject of fairly good natured litigation J39 0170 among their respective professional advocates, with both methods enjoying J39 0180 in common, one irrevocable merit. They are both trend-following J39 0190 methods. Even if we strip their respective claims to the barest minimum, J39 0200 the "odds" still favor them both, for the trend in effect is J39 0201 always J39 0210 more likely to continue than to reverse. Of course, many J39 0220 more things are charted besides prices. The foregoing have been methods J39 0230 of charting prices, but now let us look at some of the other indices J39 0240 that are customarily charted, and which are looked to for their forecasting J39 0250 abilities. _THE QUEST FOR METHODS_ The search for forecasting J39 0260 formulae is ceaseless. Correlations have been worked up between J39 0270 the loading of freight cars and the course of stock price. The theory J39 0280 behind this is, of course, fundamentalist in character. As the number J39 0290 of reported freight car loadings increased, this was taken to indicate J39 0300 increased industrial activity, and consequently increased stock earnings, J39 0310 implying fatter dividends, and implying therefore increased stock J39 0320 market prices. We now know that things rarely ever work out in such J39 0330 cut-and-dried fashion, and that car loadings, while perhaps interesting J39 0340 enough, are nevertheless not the magic formula that will always turn J39 0350 before stock prices turn. But the quest for such an index J39 0360 goes on ceaselessly, with all manner of investors and speculators participating, J39 0370 ranging from the sedate institutional type virtually to the J39 0380 proverbial shoe-string operator, all seeking doggedly, studiously, daily- J39 0390 and often nightly- for the enchanting index that will foretell J39 0400 the eternal secret: Which way will the market move; up or down? J39 0410 It recalls to mind the quest of olden times for the fountain of youth, J39 0420 a quest heavily invested in, during the days of wooden ships. Just J39 0430 as heavily invested are the endeavors of multitudes of modern men who J39 0440 carry on the quest for the enchanting index. The quest offers careers. J39 0450 Much of this goes on in offices high up in Wall Street's lofty J39 0460 wind-swept towers. There sit men who make moving averages of J39 0470 weekly volume, monthly averages of price-earnings ratios, ratios of J39 0480 the number of advances to the number of declines, ratios of an individual J39 0490 stock's performance to overall market performance, ratios of rising J39 0500 price volume to falling price volume, odd-lot indices, and what not. J39 0510 They are concerned with all things traded in, securities, bonds, cocao, J39 0520 coffee, soybeans, cotton, tin, oats, etc&. And along J39 0521 Chicago's J39 0530 West Jackson Boulevard, La Salle Street, and around the J39 0540 Merchandise Mart Plaza there sit men who chart crop reports, who divide J39 0550 the number of reported lady-bugs by the number of reported green-bugs, J39 0560 and the number of hogs by the amount of corn. They plot the open J39 0570 interest curves, rainfall curves, and they even divide Democratic J39 0580 congressmen by Republican congressmen. All these things and countless J39 0590 more enter into their calculations, and yet, the enchanting index remains J39 0600 non-forthcoming. Not, at any rate, in the fuller sense of the word. J39 0610 The markets are far too subtle, and the last word in these J39 0620 endeavors will doubtless never be written, for the enchanting index J39 0630 is about as nebulous as the fountain of youth. But whereas civilized J39 0640 men no longer pursue the fountain, they never abandoned their pursuit J39 0650 of the enchanting index. We mentioned odd-lot indices a J39 0660 few paragraphs ago. In the stock market, the normal trading package J39 0670 is a hundred shares, just as 5,000 bushels is the standard grain contract J39 0680 package. A stock transaction for less than a hundred shares is executed J39 0690 via a special odd-lot broker on the floor of the exchange. This J39 0700 results in a separate record being made, distinguishing these trades J39 0710 from the overall volume of trading. According to the theory underlying J39 0720 odd-lot indices, the trader who trades odd lots is most likely J39 0730 a small trader, one who can't afford to trade round lots. Or, to J39 0740 use the cynical phraseology of one odd-lot index enthusiast, they represent J39 0750 a sampling of the least sophisticated echelon of traders. Falling J39 0760 most easily prey to an adverse market movement, for this rank of traders J39 0770 can least afford to lose, virtually anything the odd-lot traders J39 0780 do, marketwise, is taken to exemplify the "wrong" thing to do. J39 0790 Figures reporting the volume of odd-lot purchases and odd-lot sales J39 0800 are released by the stock exchange and carried in the newspapers. J39 0810 Odd-lot index observers then make graphs of the data according to their J39 0820 particular statistical recipe. They might, for example, plot it exactly J39 0830 as is, or they might make ten day moving averages of it, or longer J39 0840 moving averages, or they might simply plot the ratio of odd-lot purchases J39 0850 to odd-lot sales. The particular recipe is a matter of individual J39 0860 taste. The data is now interpreted in conjunction with a price J39 0870 chart, usually of a popular stock average. Towards the end of J39 0880 an intermediate or major rise, while the top is forming on the price J39 0890 chart, it is frequently observed that the odd-lot buying increases sharply. J39 0900 This warns the chartist that the formation in progress is quite J39 0910 likely to be a top. Similarly, at the opposite end of the market cycle, J39 0920 towards the end of an intermediate or major decline, usually while J39 0930 the bottom is being formed on the price chart, it is characteristic J39 0940 that an increase is noticed in odd-lot selling again alerting the chartist J39 0950 that a bottom is becoming a greater likelihood. Thus, in the aggregate, J39 0960 the odd-lot trader is one who buys at the tops and sells at the J39 0970 bottoms, notwithstanding occasional individual exceptions. While J39 0980 it had long been known in general, that "the public is always wrong", J39 0990 the use of odd-lot indices now puts the adage on a statistical J39 1000 basis. One might well wonder why the "public is always wrong" J39 1010 and the question raised is about as awkward as the one concerned J39 1020 with the chicken and the egg. Which came first? Is it really that J39 1030 the "public" buys at the tops, and not that the market tops out when J39 1040 the "public" buys? And the converse at bottoms. Does the "public" J39 1050 usually sell at bottoms, or does the market usually bottom J39 1060 out when the "public" sells? We have been using the word J39 1070 "public" in quotation marks, that is, in its vernacular connotation J39 1080 with reference to the odd-lot index theory. Obviously someone has J39 1090 to sell in order for someone to buy, and vice versa. And while all concerned J39 1100 are members of the literal public, somewhat less than all concerned, J39 1110 although still a majority, form the quotation marked "public". J39 1120 And the public minus the "public" leaves the so-called "sophisticated" J39 1130 element- the element on the other end of the "public's" J39 1140 transactions. This element is often called "strong J39 1150 hands". Strong hands differ from "weak hands" in that their operations J39 1160 are the primary movers. They initiate campaigns, so to speak, J39 1170 even if this initiation is diffused among them, and their concerted action J39 1180 only psychologically organized. Strong hands act; weak hands J39 1190 react. Strong hands move first; weak hands ask, What is going on? J39 1200 When strong hands buy, they are able to buy more, and they do it even J39 1210 in the face of bearish news reports. They are able to sit more patiently J39 1220 with what they have bought. Needless to say, strong hands are J39 1230 not eager to be joined by weak hands, for this increases the risk that J39 1240 they will have to absorb what these weak hands unload on the way up, J39 1250 at higher prices, during the run-up phase of the campaign. Certain J39 1260 badly disillusioned market critics are often apt to feel that there J39 1270 is something somehow unfair, dirty, or even thoroughly criminal about J39 1280 this interplay of competitive forces. But after all, can anyone imagine J39 1290 a market wherein the reverse of these things were true? Try to J39 1300 imagine a market in which only a minority of traders would lose, and J39 1310 the majority would make consistent profits. How much and how many profits J39 1320 could a majority take out of the losses of a few? Moreover, J39 1330 the taunt concerning the "sophisticated" echelon and its alleged J39 1340 erudition is put to test during every campaign, and accrues only J39 1350 upon results; not before. It quite often happens that campaigns go J39 1360 askew, resulting in a most unflattering deterioration of strong hands J39 1370 into played-out hands, just as a member of a former campaign's "public" J39 1380 may emerge flatteringly "right" the next time. Membership J39 1390 in the echelons fluctuates too. The study of odd-lot indices J39 1400 is somehow akin to the spectacle of a man trying to outfox his own shadow, J39 1410 what with all observers trying to get on the side of the "few" J39 1420 at the same time. The usefulness of this study and of configuration J39 1430 analysis as well, declines in direct proportion to the dissemination J39 1440 of its use. It has to, by virtue of the very dictionary definition of J39 1450 the word "few". Diametric opposition must persist as to J39 1460 the future course of prices, if there is to persist a market at all. And J39 1470 the few must win what the many lose, for the opposite arrangement J39 1480 would not support markets as we know them at all, and is, in fact, unimaginable. J39 1490 There need be no squeamishness about admitting this. Anyone J39 1500 still doubting that this is the only way markets can be is invited J39 1510 to try to imagine a market wherein the majority consistently wins what J39 1520 the minority loses. Mr& John Magee, whose work has been discussed J39 1530 in this chapter, was quoted in a New Yorker magazine profile J39 1540 as saying- "**h Of course, you have to remember it's a good thing J39 1550 for us chartists that there aren't more of us. If you got too J39 1560 many people investing by this method, their operations would begin to J39 1570 affect stock prices, and thus throw the charts off. The method would J39 1580 become self-defeating". Mr& Alexander H& Wheelan's J39 1590 Study Helps in Point and Figure Technique tells the readers- "We J39 1600 assure you that the total number of people using this method of J39 1610 market analysis is a very small portion of the sum total of those operating J39 1620 in the securities and commodities markets". What with J39 1630 traders trading for so many different objectives, and what with there J39 1640 being so many unique and individualized market theories and trading J39 1650 techniques in use, and more coming into use all the time, it is hard to J39 1660 imagine how any particular theory or technique could acquire enough J39 1670 "fans" to invalidate itself. Nevertheless, all theories and techniques J39 1680 lead but to one of two possible modes of expression, if they lead J39 1690 to a market committment at all. In the final analysis, then, the user J39 1700 becomes either a bull or a bear in a given instance, notwithstanding J39 1710 any amount of forethought and calculation, however elaborate. Thus J39 1720 while his theory or technique may not be oversubscribed, it is commonplace J39 1730 for bullish and bearish positions to become temporarily over-subscribed. J39 1740 Though the methods of deciding may be profound and diverse, the J39 1750 possible conclusions remain but two. #CHAPTER /6, MORE METHODS# J39 1760 _THE HOAXES_ The purpose set forth at the beginning of this book J39 1770 was first to introduce the reader to a general background knowledge J39 1780 of the various types and capabilities of the forecasting methods already J39 1790 in use, so that he might then be in a position to evaluate for himself J39 1800 the validity of the rather astonishing empirical correlation that J39 1810 is to follow, and to appraise the forecast that its interpretation suggests J39 1820 for the future of farm prices over the years immediately ahead. J40 0010 IN assessing the outlook for interest rates in 1961, the J40 0020 question, as always, is the prospect for general business activity. J40 0030 By J40 0040 and large, what happens to business as a whole will govern the relationship J40 0050 between demand and supply conditions in the capital markets and J40 0060 will thus determine interest rates. Moreover, the trend of general business J40 0070 activity in 1961 will exert a decisive influence on fiscal, monetary, J40 0080 and other Federal policies which affect interest rates. J40 0090 Nineteen-sixty has been a baffling year for analysts of general business J40 0100 activity. During much of the year the general level of business J40 0110 activity has moved along on a record-high plateau, but there have been J40 0120 persistent signs of slack in the economy. The tendency for general J40 0130 business activity to soften somewhat is becoming more evident. J40 0140 Although the pause in the advance of general business activity this year J40 0150 has thus far been quite modest, it is hard to escape the conclusion J40 0160 that the softening process will continue into the first quarter of 1961 J40 0170 and possibly somewhat longer. It is difficult to see any powerful J40 0180 sources of strength on the horizon at this time which would give the J40 0190 economy a new upward thrust. The rate of plant and equipment spending J40 0200 by business and industry now seems to be topping out and facing some J40 0210 decline. In earlier business cycles, when this occurred the country usually J40 0220 experienced a sharp upturn in residential construction as mortgage J40 0230 financing became easier to obtain. At this time, however, there are J40 0240 signs that increased availability of mortgage credit will not act with J40 0250 the usual speed to stimulate a sharp rise in residential construction. J40 0260 These signs are the inventories of unsold houses in some areas of J40 0270 the country and the moderate rise in vacancy rates for apartments (7.6% J40 0280 in September). On the other hand, in a more favorable vein, general J40 0290 business activity should receive some stimulus from rising Federal J40 0300 spending, and the reduction in business inventories has probably J40 0310 run a good part of its course. The 2% increase in retail sales in October J40 0320 to a 4-month high is encouraging in this connection as well J40 0330 as the most recent consumer survey by the National Industrial Conference J40 0340 Board, which shows a decided pickup in consumer spending plans. J40 0350 The pattern of general business activity which probably lies J40 0360 ahead of us is a further moderate softening through the spring of 1961 J40 0370 before a new rise in economic activity gets under way. The recovery J40 0380 will probably be sparked by a rising rate of housing starts next spring J40 0390 in response to more readily available mortgage credit, as well as by J40 0400 an expansion of Government spending, well sustained consumer spending, J40 0410 and some rebuilding of business inventories. #SLIGHT DOWNWARD PRESSURE# J40 0420 What does the general business outlook suggest about the trend J40 0430 of long-term rates in 1961? It suggests that during the next several J40 0440 months, through the spring of 1961, the demand for long-term capital J40 0450 funds may be moderately lower and that interest rates may tend to J40 0460 move a little lower, especially the rates on Federal, state, and local J40 0470 bonds, as well as those on publicly offered corporate bonds. However, J40 0480 as witnessed by the large corporate bond calendar at present, as well J40 0490 as the record amount of municipal bond issues approved by voters, the J40 0500 over-all demands for capital funds seem likely to remain high, so that J40 0510 any downward pressure on rates from reduced demand should not be great. J40 0520 It seems likely, J40 0530 moreover, that with an increase in the rate of J40 0540 saving in mortgage lending institutions, interest rates on residential J40 0550 mortgages may move somewhat lower through the spring of next year, although J40 0560 the increased ease in residential mortgage lending may occur primarily J40 0570 in other terms than interest rate, e&g&, easier downpayment J40 0580 and amortization terms. If the trend of general business activity J40 0590 follows the pattern suggested here, we are likely to see additional J40 0600 steps by the Federal Reserve authorities to ease the availability J40 0610 of credit. Certainly a further reduction in the discount rate would J40 0620 be a strong possibility, as well as an easier reserve position for the J40 0630 banking system. However, the monetary authorities will continue to J40 0640 be required to pay attention to the consequences of their actions with J40 0650 respect to our international balance of payments position and the outflow J40 0660 of gold, as well as with regard to avoiding the creation of excessive J40 0670 liquidity in the economy, which would delay the effectiveness of J40 0680 monetary policy measures in the next expansion phase of the business cycle. J40 0690 #OPEN MARKET POLICY# One of the most intriguing questions is J40 0700 whether the recent departures of the Federal Reserve authorities from J40 0710 confining their open market operations to Treasury bills will spread J40 0720 into longer-term Government securities in the next few months. To J40 0730 the extent that the new Administration has its wishes, the Federal J40 0740 Reserve would conduct its open market operations throughout the entire J40 0750 maturity range of Government securities and aggressively seek to force J40 0760 down long-term interest rates. The principle of "bills only", J40 0770 or "bills preferably", seems so strongly accepted by the Federal J40 0780 Reserve that it is difficult to envision conditions which would persuade J40 0790 the authorities to depart radically from it by extending their open J40 0800 market purchases regularly into long-term Government securities. J40 0810 However, to the extent that the monetary authorities, in their effort J40 0820 to ease credit in the next several months, conduct their open market J40 0830 operations in longer-term Government bonds, they will certainly act to J40 0840 accentuate any tendency for long-term interest rates to ease as a result J40 0850 of market forces. By the end of the spring of 1961, assuming J40 0860 that a general business recovery gets under way, interest rates should J40 0870 begin to edge upward again, depending upon the vigor of the recovery J40 0880 and the determination with which the monetary authorities move to J40 0890 restrain credit availability. My guess would be that interest rates will J40 0900 decline moderately into the spring of 1961 and during the second half J40 0910 of the year will turn up gradually to recover the ground lost during J40 0920 the downturn. It is pertinent to ask the question: Has the J40 0930 long upswing of interest rates during the past 15 years just about J40 0940 run its course, and are we now entering a period in which both capital J40 0950 market forces and Federal policies will produce a prolonged decline J40 0960 of interest rates? My answer is in the negative because I believe J40 0970 that total capital demands during the Sixties will continue to press J40 0980 against available supplies, and interest rates will generally tend to J40 0990 be firm at high levels. #FIVE BASIC FORCES# This view is based upon J40 1000 several basic economic forces which I believe will be operating in J40 1010 the Sixties, as follows: _(1)_ Recent events in the General J40 1020 Assembly of the United Nations confirm that the cold war will remain J40 1030 with us, and probably intensify, for the foreseeable future. This makes J40 1040 it certain that Federal expenditures for military preparedness and J40 1050 foreign economic aid are likely to rise further in the next several J40 1060 years. We are just beginning the task of trying to win or maintain the J40 1070 friendship of the new African nations against the ruthless competition J40 1080 of the Communist bloc. Our efforts to overcome the lead of the J40 1090 Russians in space are bound to mean accelerated Federal spending. Moreover, J40 1100 it is likely that Federal policies aimed at stimulating a faster J40 1110 rate of economic growth of the country, to keep ahead of the Communist J40 1120 countries and to demonstrate that our free economic system is better J40 1130 than theirs, will lead to rising Federal spending in certain areas J40 1140 such as education, housing, medical aid, and the like. There are J40 1150 serious dangers involved in this trend toward rising Federal expenditures, J40 1160 of which I take a dim view, but it seems very likely to occur. J40 1170 _(2)_ During the Sixties we have the prospect of a significant stepping J40 1180 up in the rate of household formations, which should contribute J40 1190 to a rising volume of consumer expenditures and home building. According J40 1200 to the latest J40 1210 projections of the Bureau of the Census, the annual J40 1220 rate of household formations will increase for the next 20 years. Under J40 1230 the most favorable assumptions for increase, the Bureau of the J40 1240 Census projects that the annual rate of household formations will rise J40 1250 from about 883,000 in the last two years of the Fifties to an annual J40 1260 rate of about 1,018,000 in the first five years of the Sixties, and J40 1270 to a slightly higher annual rate of 1,083,000 in the second half of the J40 1280 decade. During the Seventies the projections show a more pronounced J40 1290 rise to an annual rate of 1,338,000 in the second half of that decade. J40 1300 Accordingly, the expanding markets for consumer goods and housing J40 1310 occasioned by the higher rate of household formation should enhance the J40 1320 general economic prospects of the Sixties. However, the impact of J40 1330 a rising rate of household formation this decade should not be exaggerated. J40 1340 The average annual rate of 1,083,000 in the second half of the J40 1350 Sixties is still considerably below the annual rate of 1,525,000 in J40 1360 the three-year period from April 1947 to March 1950. _(3)_ With J40 1370 the expansion of family formation in the Sixties, a continued substantial J40 1380 rise in expenditures by state and local government units seems J40 1390 to be indicated. This is an area in which there is still a large backlog J40 1400 of demand. State and local expenditures (in real terms) increased J40 1410 persistently from $26.5-billion in 1949 to $44.3-billion in 1959, and J40 1420 it would not be surprising if they showed a comparable increase in this J40 1430 decade, which would carry them to the neighborhood of $75-billion J40 1440 by 1970. Here would be a powerful force for raising business activity. J40 1450 _(4)_ It seems likely that with the three preceding forces at play, J40 1460 the rate of business and industrial plant and equipment expenditures J40 1480 should continue to move upward from the levels of the Fifties. Spurred J40 1490 by keen competition in our industrial system, and still further J40 1500 increases in the funds devoted to industrial research, plant and equipment J40 1510 expenditures by business and industry should rise during the decade. J40 1520 _(5)_ In a more pessimistic vein about the economic outlook, J40 1530 I suspect that the reservoir of demand for consumer goods and housing J40 1540 which was dammed-up during the Thirties and World War /2, is finally J40 1550 in the process of running dry. There is some clear-cut evidence J40 1560 of this. For example, the huge postwar demand on the part of veterans J40 1570 for housing under the ~VA home loan guaranty program seems to have J40 1580 largely exhausted itself. Indeed, the failure of home-building as a J40 1590 whole to respond this year to somewhat greater availability of mortgage J40 1600 financing, and the increasing reports of pockets of unsold homes and J40 1610 rising vacancy rates in apartment buildings, may also signal in part J40 1620 that the lush days of big backlog demand for housing are reaching an J40 1630 end. In a way, we may be witnessing the same thing in the sales of automobiles J40 1640 today as the public no longer is willing to purchase any car J40 1650 coming on the market but is more insistent on compact cars free of J40 1660 the frills which were accepted in the Fifties. The huge backlog of demand J40 1670 which was evident in the first decade and a half after the War J40 1680 was fed by liquid assets accumulated by the public during the War, and J40 1690 even more so by the easier and easier credit in the consumer loan and J40 1700 home loan fields. The consuming public has used up a good part of these J40 1710 liquid assets, or they have been drained by the rising price level, J40 1720 and we have apparently gotten to the end of the line in making consumer J40 1730 or home mortgage terms easier. This is not to say that the level J40 1740 of consumer expenditures will not continue to rise in the Sixties. I J40 1750 am confident that it will, but consumer spending in the Sixties will J40 1760 not be fortified by the great backlog of wants and desires which characterized J40 1770 most of the Fifties. Markets should become more competitive J40 1780 as consumers become more selective. #SIXTIES' CAPITAL REQUIREMENTS# J40 1790 Accordingly, during the Sixties our national economy is likely J40 1800 to grow at as fast a rate as in the Fifties and, in the process, to J40 1810 require enormous amounts of capital funds. J41 0010 Wage-price policies of industry are the result of a complex of J41 0020 forces- no single explanation has been found which applies to all cases. J41 0030 The purpose of this paper is to analyze one possible force which J41 0040 has not been treated in the literature, but which we believe makes a J41 0050 significant contribution to explaining the wage-price behavior of a few J41 0060 very important industries. While there may be several such industries J41 0070 to which the model of this paper is applicable, the authors make particular J41 0080 claim of relevance to the explanation of the course of wages J41 0090 and prices in the steel industry of the United States since World J41 0100 War /2,. Indeed, the apparent stiffening of the industry's attitude J41 0110 in the recent steel strike has a direct explanation in terms of the J41 0120 model here presented. The model of this paper considers an industry J41 0130 which is not characterized by vigorous price competition, but J41 0140 which is so basic that its wage-price policies are held in check by continuous J41 0150 critical public scrutiny. Where the industry's product price J41 0160 has been kept below the "profit-maximizing" and "entry-limiting" J41 0170 prices due to fears of public reaction, the profit seeking producers J41 0180 have an interest in offering little real resistance to wage demands. J41 0190 The contribution of this paper is a demonstration of this proposition, J41 0200 and an exploration of some of its implications. In order J41 0210 to focus clearly upon the operation of this one force, which we may call J41 0220 the effect of "public-limit pricing" on "key" wage bargains, J41 0230 we deliberately simplify the model by abstracting from other forces, J41 0240 such as union power, which may be relevant in an actual situation. For J41 0250 expository purposes, this is best treated as a model which spells J41 0260 out the conditions under which an important industry affected with the J41 0270 public interest would find it profitable to raise wages even in the absence J41 0280 of union pressures for higher wages. Part /1, below describes J41 0290 this abstract model by spelling out its assumptions. Part /2, J41 0300 discusses the operation of the model and derives some significant J41 0310 conclusions. Part /3, discusses the empirical relevance and policy J41 0320 implications of the conclusions. Part /4, is a brief summary. The J41 0330 Mathematical Appendix presents the rigorous argument, but is best read J41 0340 after Part /1, in order that the assumptions underlying the equations J41 0350 may be explicit. #/1, THE ASSUMPTIONS OF THE MODEL# _A. J41 0360 THE INDUSTRY_ The industry with which this model is concerned is a J41 0370 basic industry, producing a substantial share of gross national product. J41 0380 Price competition is lacking. For the purposes of setting the product J41 0390 price, the industry behaves as a single entity. In wage negotiations, J41 0400 the industry bargains as a unit with a single union. _B. THE DEMAND J41 0410 FOR THE INDUSTRY'S PRODUCT_ We are concerned with aggregate J41 0420 demand for the industry's product. The manner in which this is shared J41 0430 among firms is taken as given. In any given time period, the aggregate J41 0440 demand for the industry's product is determined by two things: J41 0450 the price charged by the industry, and the level of ~GNP. For J41 0460 the purposes of this discussion, the problem of relative prices is encompassed J41 0470 in these two variables, since ~GNP includes other prices. J41 0480 (We abstract here from technological progress and assume that prices J41 0490 of all other products change proportionately.) The form of J41 0500 the industry demand function is one which makes quantity demanded vary J41 0510 inversely with the product price, and vary directly with the level of J41 0520 ~GNP. _C. INDUSTRY PRODUCT PRICE POLICY_ The industry of J41 0530 this model is so important that its wage and price policies are affected J41 0540 with a public interest. Because of its importance, and because the J41 0550 lack of price competition is well recognized, the industry is under considerable J41 0560 public pressure not to raise its price any more than could J41 0570 be justified by cost increases. The threat of effective anti-trust action, J41 0580 provoked by "gouging the public" through price increases not J41 0590 justified by cost increases, and fears of endangering relations with J41 0600 customers, Congress, the general public and the press, all operate J41 0610 to keep price increases in some relation to cost increases. For the J41 0620 industry of this model, the effect of such public pressures in the J41 0630 past has been to hold the price well below the short-run profit-maximizing J41 0640 price (given the wage rate and the level of ~GNP), and even J41 0650 below the entry-limited price (but not below average cost). For J41 0660 such an industry, it is only "safe" to raise its price if such an J41 0670 increase is manifestly "justified" by rising costs (due to rising J41 0680 wages, etc&). Thus, if public pressure sets the effective limit to J41 0690 the price that the industry may charge, this pressure is itself a function J41 0700 of the wage rate. In this model, we abstract from all non-wage J41 0710 sources of cost changes, so that the "public-limit price" J41 0720 rises as the wage rate rises. In such circumstances, it may well be J41 0730 to the advantage of the industry to allow an increase in the basic wage J41 0740 rate. Since marginal costs rise when the wage rate rises, the J41 0750 profit-maximizing price also rises when the public-limit price is elevated, J41 0760 and is likely to remain well above the latter. The entry-limiting J41 0770 price will also be raised for potential domestic competition, but J41 0780 unless general inflation permits profit margins to increase proportionately J41 0790 throughout the economy, we might expect the public-limit price J41 0800 to approach the entry-limit price. The foreign-entry-limit price would J41 0810 be approached more rapidly, since domestic wage-rates do not enter foreign J41 0820 costs directly. Where this approach becomes critical, the industry J41 0830 can be expected to put much emphasis on this as evidence of its J41 0840 sincerity in "resisting" the wage pressures of a powerful union, J41 0841 requesting J41 0850 tariff relief after it has "reluctantly" acceded to the union J41 0860 pressure. Whether or not it is in the industry's interest J41 0870 to allow the basic wage rate to rise obviously depends upon the extent J41 0880 to which the public-limit price rises in response to a basic wage J41 0890 increase, and the relation of this response to the increase in costs accompanying J41 0900 the wage increase. The extent to which the public-limit price J41 0910 is raised by a given increase in the basic wage rate is itself a J41 0920 function of three things: the passage of time, the level of ~GNP, J41 0930 and the size of the wage increase. We are abstracting from J41 0940 the fact of strikes here, but it should be obvious that the extent to J41 0950 which the public-limit price is raised by a given increase in the basic J41 0960 wage rate is also a function of the show of resistance put up by the J41 0970 industry. The industry may deliberately take a strike, not to put pressure J41 0980 on the union, but in order to "educate" the government and J41 0990 the customers of the industry. As a strike continues, these parties increase J41 1000 their pressure on the industry to reach an agreement. They become J41 1010 increasingly willing to accept the price increase that the industry J41 1020 claims the wage bargain would entail. Public indignation and J41 1030 resistance to wage-price increases is obviously much less when the increases J41 1040 are on the order of 3% per annum than when the increases are J41 1050 on the order of 3% per month. The simple passage of an additional J41 1060 eleven months' time makes the second 3% boost more acceptable. Thus, J41 1070 the public-limit price is raised further by a given wage increase J41 1080 the longer it has been since the previous price increase. Notice, however, J41 1090 that the passage of time does not permit the raising of prices J41 1100 , without an accompanying wage increase. Similarly, higher J41 1110 levels of ~GNP do not, in themselves, provide grounds for raising J41 1120 prices, but they do relax some of the pressure on the industry so that J41 1130 it can raise prices higher for a given wage increase. This is not J41 1140 extended to anticipated levels of ~GNP, however- only the current J41 1150 level of ~GNP affects the public pressure against wage-price increases. J41 1160 Finally, since the public requires some restraint on the part J41 1170 of the companies, larger wage increases call for less than proportionately J41 1180 larger price increases (e&g&, if a wage increase of 5% allows J41 1190 a price increase of 7%, a wage increase of 10% allows a price J41 1200 increase of something less than 14%). _D. INDUSTRY COSTS_ We J41 1210 assume that average total unit cost in the relevant region of operation J41 1220 is constant with respect to quantity produced (the average cost curve J41 1230 is horizontal, and therefore is identical with the marginal cost curve), J41 1240 and is the same for every firm (and therefore for the industry). J41 1250 The of this average cost is determined by factor prices, technology, J41 1260 and so forth. As we have noted, however, we are abstracting J41 1270 from changes in all determinants of this level except for changes in J41 1280 the wage rate. The level of average cost (equal to marginal cost) is J41 1290 thus strictly a function of the wage rate. _E. UNION POLICIES AND COLLECTIVE J41 1300 BARGAINING ISSUES_ The single union which faces the industry J41 1310 does not restrict its membership, and there is an adequate supply J41 1320 of labor available to the firms of the industry at the going wage rate. J41 1330 The union does not regard unemployment of its own members as a matter J41 1340 of concern when setting its own wage policy- its concern with employment J41 1350 makes itself felt in pressure upon the government to maintain J41 1360 full employment. The union vigorously demands wage increases from J41 1370 productivity increases, and wage increases to offset cost-of-living J41 1380 increases, but we abstract from these forces here. For our present J41 1390 purposes we assume that the sole subject of bargaining is the basic wage J41 1400 rate (not including productivity improvement factors or cost-of-living J41 1410 adjustments), and it is this basic wage rate which determines the J41 1420 level of costs. Productivity is something of an amorphous concept and J41 1430 the amount of productivity increase in a given time period is not even J41 1440 well known to the industry, much less to the union or to the public. J41 1450 Disagreement on the amount of productivity increase exacerbates the J41 1460 problem of agreeing how an increase in profit margins related to a productivity J41 1470 increase should be shared. The existence of conflict and of J41 1480 vigorous union demand for an increase in money wages does not contradict J41 1490 the assumption that the union is willing to settle for cost-of-living J41 1500 and productivity-share increases as distinct from a cost-raising increase J41 1510 in the basic wage rate. We assume further that the union J41 1520 recognizes the possibility that price-level increases may offset wage-rate J41 1530 increases, and it does not entirely disregard the effect of price J41 1540 increases arising from its own wage increases upon the "real" J41 1550 wage rate. For internal political reasons, the union asks for (and accepts) J41 1560 increases in the wage rate, and would vigorously oppose J41 1570 a reduction in this rate, but the adjustment of the basic wage rate J41 1580 upwards is essentially up to the discretion of the companies of the industry. J41 1590 Changes in the basic wage rate are cost-raising, and J41 1600 they constitute an argument for raising prices. However, it is not known J41 1610 to either the union or the public precisely how much of a cost increase J41 1620 is caused by a given change in the basic wage rate, although the J41 1630 companies are presumed to have reliable estimates of this magnitude. J41 1640 In this model, then, the industry is presumed to realize that J41 1650 they could successfully resist a change in the basic wage rate, but since J41 1660 such a change is the only effective means to raising prices they may, J41 1670 in circumstances to be spelled out in Part /2, below, find it to J41 1680 their advantage to allow the wage rise. Thus, for non-negative changes J41 1690 in the basic wage rate, the industry becomes the active wage-setter, J41 1700 since any increase in the basic wage rate can occur only by reason J41 1710 of industry acquiescence. The presumption in the literature would appear J41 1720 to be that the basic wage rate would be unchanged in this case, on J41 1730 the grounds that it is "clearly" not in the interest of the industry J41 1740 to raise wages gratuitously. From this presumption it is an easy J41 1750 step to the conclusion that any observed increases in the basic wage rate J41 1760 must be due to union behavior different and more aggressive than assumed J41 1770 in our model. It is this conclusion that we challenge; we do J41 1780 so by disproving the presumption on which it is based. #/2, THE OPERATION J41 1790 OF THE MODEL# It is convenient to assume that the union-industry J41 1800 contract is of one year's duration. J42 0010 In the century from 1815 to 1914 the law of nations became international J42 0020 law. Several factors contributed to this change. The J42 0030 Congress of Vienna is a convenient starting point because it both J42 0040 epitomized and symbolized what was to follow. Here in 1815 the great J42 0050 nations assembled to legislate not merely for Europe, but for the world. J42 0060 Thus the Congress marks a formal recognition of the political system J42 0070 that was central to world politics for a century. International J42 0080 law had to fit the conditions of Europe, and nothing that could not J42 0081 fit this J42 0090 system, or the interests of the great European nations collectively, J42 0100 could possibly emerge as law in any meaningful sense. Essentially J42 0110 this imposed two conditions: First, international law had to recognize J42 0120 and be compatible with an international political system in which J42 0130 a number of states were competitive, suspicious, and opportunistic J42 0140 in their political alignments with one another; second, it had to J42 0150 be compatible with the value system that they shared. In both respects, J42 0160 international law was Europeanized. It was not always easy J42 0170 to develop theory and doctrine which would square the two conditions. J42 0180 On the one hand, the major European nations had to maintain vis-a-vis J42 0190 each other an emphasis upon sovereignty, independence, formal equality- J42 0200 thus insuring for themselves individually an optimal freedom of J42 0210 action to maintain the "flexibility of alignment" that the system J42 0220 required and to avoid anything approaching a repetition of the disastrous J42 0230 Napoleonic experience. But there was no pressing need to maintain J42 0240 these same standards with regard to most of the rest of the world. J42 0250 Thus, theory and doctrine applicable among the great nations and the J42 0260 smaller European states did not really comfortably fit less developed J42 0270 and less powerful societies elsewhere. Political interference in Africa J42 0280 and Asia and even in Latin America (though limited in Latin America J42 0290 by the special interest of the United States as expressed in J42 0300 the Monroe Doctrine, itself from the outset related to European politics J42 0310 and long dependent upon the "balance of power" system in Europe) J42 0320 was necessary in order to preserve both common economic values J42 0330 and the European "balance" itself. A nation such as Switzerland J42 0340 could be neutralized by agreement and could be relied upon to protect J42 0350 its neutrality; more doubtful, but possible, (with an assist from the J42 0360 North) was the neutralization of the Latin American countries; J42 0370 out of the question was the neutralization of Asia and Africa. J42 0380 This Europeanization of the law was made explicit by a number of J42 0390 19th century scholars. More emphasis was put upon the fact that international J42 0400 law was the law of "civilized nations"; Kent and Story, J42 0410 the great early American scholars, repeatedly made use of this phrase, J42 0420 or of "Christian nations", which is a substantial equivalent. J42 0430 Wheaton stated that the public law was essentially "limited to the J42 0440 civilized and Christian peoples of Europe or to those of European J42 0450 origin". Of course it had always been of European origin in fact, J42 0460 but it had maintained a universal outlook under the natural law theory. J42 0470 Now, with virtually every writer, not only was the European origin J42 0480 of public law acknowledged as a historical phenomenon, but the rules J42 0490 thus established by the advanced civilizations of Europe were to be imposed J42 0500 on others. The European customs on which international law was J42 0510 based were to become, by force and fiat, the customs that others were J42 0520 to accept as law if they were to join this community as sovereign states. J42 0530 Hall, for example, was quite explicit on this point when he said J42 0540 "states outside European civilization must formally enter into the J42 0550 circle of law-governed countries. They must do something with the J42 0560 acquiescence of the latter, or some of them, which amounts to an acceptance J42 0570 of the law in its entirety beyond all possibility of misconstruction". J42 0580 During the nineteenth century these views were protested by J42 0590 virtually all the Latin American writers, though ineffectively, just J42 0600 as the new nations of Africa and Asia protest them, with more effect, J42 0610 today. A number of other nineteenth-century developments J42 0611 contributed J42 0620 to the transmutation of the law of nations into international J42 0630 law; that is, from aspects of a universal system of Justice into J42 0640 particular rules governing the relations of sovereign states. The difference J42 0650 is important, for although the older law of nations did cover J42 0660 relationships among sovereigns, this was by no means its exclusive domain. J42 0670 The law of nature governed sovereigns in their relationship to J42 0680 their own citizens, to foreigners, and to each other in a conceptually J42 0690 unified system. The theory of international law, which in the nineteenth J42 0700 century became common to virtually all writers in Europe and America, J42 0710 broke this unity and this universality. It lost sight of the J42 0720 individual almost entirely and confined itself to rules limiting the exercise J42 0730 of state power for reasons essentially unconnected with justice J42 0740 or morality save as these values might affect international relations. J42 0750 No longer did the sovereign look to the law of nations to determine J42 0760 what he ought to do; his search was merely for rules that might limit J42 0770 his freedom of action. To appreciate this development, we J42 0780 must relate it to other aspects of nineteenth-century philosophy. First, J42 0790 and most obvious, was the growing nationalism and the tendency to J42 0800 regard the state, and the individual's identification with the state, J42 0810 as transcending other ties of social solidarity. National identification J42 0820 was not new, but it was accelerating in intensity and scope throughout J42 0830 Europe as new unifications occurred. It reached its ultimate J42 0840 philosophical statement in notions of "state will" put forward by J42 0850 the Germans, especially by Hegel, although political philosophers will J42 0860 recognize its origins in the rejected doctrines of Hobbes. National J42 0870 identification was reflected jurisprudentially in law theories which J42 0880 incorporated this Hegelian abstraction and saw law, domestic and international, J42 0890 simply as its formal reflection. In the international community J42 0900 this reduced law to Jellinek's auto-limitation. A state, the J42 0910 highest form of human organization in fact and theory, could be subjected J42 0920 to Law only by a manifestation of self-will, or consent. According J42 0930 to the new theories, the nineteenth century corporate sovereign J42 0940 was "sovereign" in a quite new and different sense from his historical J42 0950 predecessors. He no longer sought to find the law; he made it; J42 0960 he could be subjected to law only because he agreed to be. There was J42 0970 no law, domestic or international, except that willed by, acknowledged J42 0980 by, or consented to by states. Hidden behind Hegelian abstractions J42 0990 were more practical reasons for a changing jurisprudence. Related J42 1000 to, but distinguishable from, nationalism was the growth of democracy J42 1010 in one form or another. Increased participation in politics and J42 1020 the demands of various groups for status and recognition had dramatic J42 1030 effects upon law institutions. The efforts of various interest groups J42 1040 to control or influence governmental decisions, particularly when J42 1050 taken in conjunction with the impact of industralization, led to a concentration J42 1060 of attention on the legislative power and the means whereby J42 1070 policy could be formulated and enforced as law through bureaucratic institutions. J42 1080 Law became a conscious process, something more than simply J42 1090 doing justice and looking to local customs and a common morality for J42 1100 applicable norms. Particularly was this true when the norms previously J42 1110 applied were no longer satisfactory to many, when customs were rapidly J42 1120 changing as the forces of the new productivity were harnessed. The J42 1130 old way of doing things, which depended on a relatively stable community J42 1140 with stable ideas dealing with familiar situations, was no longer J42 1150 adequate to the task. First was the period of codification of existing J42 1160 law: the Code Napoleon in France and the peculiar codification J42 1170 that, in fact, resulted from Austin's restatement and ordering of J42 1180 the Common Law in England. Codification was followed in all countries J42 1190 by a growing amount of legislation, some changing and adjusting J42 1200 the older law, much dealing with entirely new situations. The legislative J42 1210 mills have been grinding ever since, and when its cumbersome processes J42 1220 were no longer adequate to the task, a limited legislative authority J42 1230 was delegated in one form or another, to the executive. Whereas J42 1240 the eighteenth century had been a time in which man sought justice, the J42 1250 nineteenth and twentieth have been centuries in which men are satisfied J42 1260 with law. Indeed, with developed positivism, the separation of law J42 1270 from justice, or from morality generally, became quite specific. J42 1280 In municipal systems we tend to view what is called positivism as J42 1290 fundamentally a movement to democratize policy by increasing the power J42 1300 of parliament- the elected representatives- at the expense of the J42 1310 more conservative judiciary. When the power of the latter was made J42 1320 both limited and explicit- when norms were clarified and made more precise J42 1330 and the creation of new norms was placed exclusively in parliamentary J42 1340 hands- two purposes were served: Government was made subservient J42 1350 to an institutionalized popular will, and law became a rational J42 1360 system for implementing that will, for serving conscious goals, for embodying J42 1370 the "public policy". It is true that, initially, the task J42 1380 was to remove restrictions that, it was thought, inhibited the free J42 1390 flow of money, goods, and labor; but even laissez-faire was a conscious J42 1400 policy. Law was seen as an emanation of the "sovereign will". J42 1410 However, the sovereign was not Hobbes' absolute monarch but rather J42 1420 the parliamentary sovereign of Austin. It was, too, an optimistic J42 1430 philosophy, and, though it separated law from morality, it was by no means J42 1440 an immoral or amoral one. Man, through democratic institutions J42 1450 of government and economic freedom, was master of his destiny. The theory J42 1460 did not require, though it unfortunately might acquire, a Hegelian J42 1470 mystique. It was merely a rationalization and ordering of new institutions J42 1480 of popular government. It was not opposed to either justice J42 1490 or morality; it merely wished to minimize subjective views of officials J42 1500 who wielded public authority. Particularly was this true as J42 1510 laissez-faire capitalism became the dominant credo of Western society. J42 1520 To free the factors of production was a major objective of the rising J42 1530 bourgeoisie, and this objective required that governmental authority- J42 1540 administrative officials and judges- be limited as precisely J42 1550 and explicitly as possible; that old customs which inhibited trade be J42 1560 abrogated; that business be free from governmental supervision and J42 1570 notions of morality which might clog the automatic adjustments of the J42 1580 free market; that obligations of status that were inconsistent with J42 1590 the new politics and the new economics be done away with. Contract- J42 1600 conceived as the free bargain of formal equals- replaced the implied J42 1610 obligations of a more static and status-conscious society. Indeed, J42 1620 contract was the dominant legal theme of the century, the touchstone J42 1630 of the free society. Government itself was based upon contract; business J42 1640 organization- the corporation- was analyzed in contractual terms; J42 1650 trade was based on freedom of contract, and money was lent and J42 1660 borrowed on contractual terms; even marriage and the family was seen J42 1670 as a contractual arrangement. It is not surprising that the international J42 1680 obligations of states were also viewed in terms of contract. In J42 1690 fact, some- Anzilotti is the principle example- went so far as J42 1700 to say that all international law could be traced to the single legal J42 1710 norm, . The displacement (at least to J42 1720 a considerable extent) of the ethical jurisprudence of the seventeenth J42 1730 and eighteenth centuries by positivism reshaped both international law J42 1740 theory and doctrine. In the first place the new doctrine brought J42 1750 a J42 1760 formal separation of international from municipal law, rejecting the earlier J42 1770 view that both were parts of a universal legal system. One result J42 1780 was to nationalize much that had been regarded as the law of nations. J42 1790 Admiralty law, the law merchant, and the host of problems which arise J42 1800 in private litigation because of some contact with a foreign country J42 1810 were all severed from the older Law of Nations and made dependent J42 1820 on the several national laws. Private international law (which Americans J42 1830 call the "conflict of laws") was thus segregated from international J42 1840 law proper, or, as it is often called, public international law. J42 1850 States were free to enact, within broad though (perhaps) determinate J42 1860 limits, their own rules as to the application of foreign law by their J42 1870 courts, to vary the law merchant, and to enact legislation with regard J42 1880 to many claims arising on the high seas. The change was not quite J42 1890 so dramatic as it sounds because in fact common norms continued to be J42 1900 invoked by municipal courts and were only gradually changed by legislation, J42 1910 and then largely in marginal situations. J43 0010 Mr& Justice Black was one of the minority that rested on the Article J43 0020 /1, power. In this view, supported by only three members of the J43 0030 Court, a power denied by the specific provisions of Article /3, J43 0040 was granted by the generality of Article /1,. If this seems arbitrary, J43 0050 its effect was to treat citizens of the District of Columbia equally J43 0060 with citizens of the states- at the expense of expanding a troublesome J43 0070 jurisdiction. #FEDERAL QUESTION JURISDICTION# For almost J43 0080 a hundred years we relied upon state courts (subject to review by the J43 0090 Supreme Court) for the protection of most rights arising under national J43 0100 law. Then in 1875, apparently in response to the nationalizing J43 0110 influence of the Civil War, Congress first gave the lower federal courts J43 0120 general authority- concurrently with state tribunals- to decide J43 0130 cases involving federal-right questions. One purpose of the change J43 0140 was to attain sympathetic enforcement of rights insured by the Civil J43 0150 War amendments against state interference. Serious difficulty arose J43 0160 with the advent of Substantive Due Process. An amendment, presumably J43 0170 designed to deal with the problems of newly freed slaves, became J43 0180 a "laissez-faire" limitation upon state economic policy. A flood J43 0190 of federal lower court injunctions seriously impeded the processes of J43 0200 local government. Congress reacted with a series of measures modifying J43 0210 in various ways what it had granted in 1875. In 1910 it required the J43 0220 convening of a special three-judge court for the issuance of certain J43 0230 injunctions and allowed direct appeals to the Supreme Court. Such J43 0240 legislation was clarified and extended from time to time thereafter. J43 0250 In 1913 an abortive provision was made for the stay of federal injunction J43 0260 proceedings upon institution of state court test cases. The essential J43 0270 ineffectiveness of these measures resulted in 1934 in substantial J43 0280 elimination of federal jurisdiction to enjoin state public utility rate J43 0290 orders. Three years later similar restraints were imposed upon injunctions J43 0300 against collection of state taxes. This saved for state adjudication, J43 0310 in the first instance, the two major areas where federal injunctions J43 0320 had been most obnoxious, but other areas remained vulnerable. J43 0330 Meanwhile, the Supreme Court, like Congress, showed misgivings J43 0340 concerning this aspect of government by injunction. Drawing upon J43 0350 the traditional discretion of the chancellor, Mr& Justice Holmes J43 0360 introduced a series of self-imposed judicial restraints that culminated J43 0370 in Mr& Justice Frankfurter's famous doctrine of abstention. J43 0380 Whereas the earlier cases turned rather narrowly upon the availability J43 0390 of adequate state remedies, the new emphasis is upon the nature of J43 0400 the state policy at issue. The classic case is J43 0410 v& . The commission had issued an administrative order J43 0420 which was challenged as discriminatory against Negroes. Its enforcement J43 0430 was enjoined by a federal trial court. On review the Supreme J43 0440 Court, via Mr& Justice Frankfurter, found southern racial problems J43 0450 "a sensitive area of social policy on which the federal courts ought J43 0460 not to enter unless no alternative to **h adjudication is open". J43 0470 An alternative was found in the vagueness of state law as to whether J43 0480 the offending order had in fact been authorized. Reluctant, as usual, J43 0490 to interpret state legislation- such interpretation can only be J43 0500 a "forecast rather than a determination"- Mr& Justice Frankfurter J43 0510 led a unanimous Court to vacate the injunction. But it is crucial J43 0520 that here, unlike , the trial court was ordered to retain J43 0530 the case until the state courts had had a reasonable opportunity J43 0540 to settle the state-law question. "The resources of equity are equal J43 0550 to an adjustment that will avoid the waste of a tentative decision as J43 0560 well as the friction of a premature constitutional adjudication". J43 0570 Temporary abstention, i&e&, postponement, is one thing; J43 0580 refusal to adjudicate is another. To the extent that the jurisdictional J43 0590 principle of 1875 stands unmodified by subsequent legislation, federal J43 0600 equitable relief against state action must be available- or so J43 0610 it seems to Mr& Justice Frankfurter. In v& &, the commission had J43 0630 refused to permit abandonment of certain "uneconomic" train facilities. J43 0640 The railroad, claiming deprivation of property without due process J43 0650 of law, sought injunctive relief. The Court held that federal J43 0660 jurisdiction should not be exercised lest the domestic policy of the state J43 0670 be obstructed; this in the name of equitable discretion. J43 0680 Justices Frankfurter and Jackson concurred in the Court's result, J43 0690 for they found no merit in the railroad's claim. But they objected J43 0700 vigorously to the proposition that federal courts may refuse to exercise J43 0710 jurisdiction conferred in a valid act of Congress: "By J43 0720 one fell swoop the Court now finds that Congress indulged in needless J43 0730 legislation in the acts of 1910, 1913, 1925, 1934 and 1937. By J43 0740 these measures, Congress, so the Court [in effect] now decides, gave J43 0750 not only needless but inadequate relief, since it now appears that J43 0770 the federal courts have inherent power to sterilize the Act of 1875 against J43 0780 all proceedings challenging local regulation". A most J43 0790 revealing recent case is v& . The Taft-Hartley Act gave the federal courts jurisdiction J43 0810 over "suits for violation of contracts between an employer and a J43 0820 labor organization representing employees in an industry affecting commerce". J43 0830 On its face this merely provides a federal forum; it does J43 0840 not establish any law (rights) for the federal judges to enforce. How J43 0850 can judges exercise jurisdiction to enforce national rights when Congress J43 0860 has created none? The Court held that Congress had intended J43 0870 the federal judiciary to "fashion" an appropriate law of labor-management J43 0880 contracts. In short, congressional power to grant federal-question J43 0890 authority to federal courts is now apparently so broad that Congress J43 0900 need not create, or specify, the right to be enforced. J43 0910 The decision authorizes a whole new body of federal J43 0920 "common law" which, as Mr& Justice Frankfurter pointed out J43 0930 in dissent, leads to one of the following "incongruities": "(1) J43 0940 conflict in federal and state court interpretations of collective J43 0950 bargaining agreements; (2) displacement of state law by federal law J43 0960 in state courts **h in all actions regarding collective bargaining agreements; J43 0970 or (3) exclusion of state court jurisdiction over these matters". J43 0980 The Justice's elaborate examination of the legislative history J43 0990 of the provision in question suggests that Congress' purpose J43 1000 was merely to make unions . With a few exceptions, the lawmakers J43 1010 seemed unaware of the technical problems of federal jurisdiction J43 1020 involved- to say nothing of the delegation of lawmaking power to judges. J43 1030 To avoid these constitutional difficulties, Mr& Justice Frankfurter J43 1040 was prepared to read the Taft-Hartley provision as concerned J43 1050 with diversity, rather than federal question, jurisdiction. This J43 1060 would satisfy what presumably was Congress' major purpose- the suability J43 1070 of unions. It would also leave intact the states' traditional J43 1080 authority in the realm of contract law. (As we have seen, the J43 1090 and decisions require federal courts in diversity cases J43 1100 to follow state decisional rules.) Here again Mr& Justice Frankfurter J43 1110 could not lightly accept the principle of wholesale judicial J43 1120 legislation. If Congress wants to displace the states from areas J43 1130 which they have customarily occupied, let it do so knowingly and explicitly. J43 1140 And let it do its own lawmaking and not leave that to federal J43 1180 judges. Does suggest that if Congress granted jurisdiction J43 1190 over interstate divorce cases, the federal courts would be J43 1200 authorized to fashion a national law for the dissolution of marriages? J43 1210 There is a common problem behind most of these federal question J43 1220 and diversity cases. Congress has not clearly defined the bounds J43 1230 between state and federal court competence. It has the power to do J43 1240 so but for the most part has left the matter for solution by judges on J43 1250 a case-by-case basis. A careful student has suggested that "In any J43 1260 new revision [of the Judicial Code] the legislators would do well J43 1270 to remember that the allocation of power to the federal courts should J43 1280 be limited to those matters in which their expertise in federal law J43 1290 might be used, leaving to the state judiciaries the primary obligation J43 1300 of pronouncing state law". Obviously, the goal here proposed is the J43 1310 guiding principle in Mr& Justice Frankfurter's opinions- to J43 1320 the extent that Congress leaves the problem to judicial discretion. J43 1330 The same rule of specialization and division of labor guides him in J43 1340 the ~FELA cases, in the administrative law area, J43 1350 and indeed in the whole realm of judicial review. Mr& Justice Black J43 1360 no doubt concurs in principle but is more apt to make exceptions to J43 1370 achieve a generous and "just" result. He will not be "fooled J43 1380 by technicalities". #FEDERAL REVIEW OF STATE DECISIONS# With few J43 1390 exceptions, Congress has not given federal courts authority J43 1400 to enforce rights arising under federal law. To put it differently, J43 1410 state and federal courts have concurrent jurisdiction with respect J43 1420 to most claims of federal right. To insure uniformity in the meaning J43 1430 of national law, however, state interpretations are subject to Supreme J43 1440 Court review. It may be noted, parenthetically, that to evade J43 1445 "desegregation" J43 1450 an ex-Justice and former southern governor has urged J43 1460 Congress to abolish this reviewing authority. The result, of course, J43 1470 would be that federal law inevitably would mean different things in J43 1480 different states. It would also probably mean different things within J43 1482 the same state- depending upon what court (state or federal) rendered J43 1490 decision. We consider here only a few of many problems involved J43 1500 in this crucial federal-state relationship. The first is that enforcement J43 1510 of national law in state litigation raises in reverse the old J43 1520 diversity puzzle of the relation of procedure to substance. Subject to J43 1530 certain constitutional restraints in favor of fair trials, each level J43 1540 of government is free to devise its own judicial procedures. Litigants J43 1550 who choose to assert federal claims in a state court go into that J43 1560 court subject to its rules of procedure. A similar canon applies to those J43 1561 who press state claims in federal tribunals, e&g&, in diversity J43 1562 cases. In an ~FELA J43 1570 controversy the state court followed established state procedure J43 1580 by construing a vague complaint "most strongly against" the complainant. J43 1590 In other words the burden of pleading clearly rested upon J43 1600 the pleader by state law. The result was that the plaintiff's case J43 1610 was dismissed. Mr& Justice Black led a reversing majority: "Strict J43 1620 local rules of pleading cannot be used to impose unnecessary burdens J43 1630 upon rights of recovery authorized by federal law". Here, as J43 1640 in the case, another element of state procedure was subsumed J43 1650 to federal judge-made law. Justices Frankfurter and Jackson dissented: J43 1660 "One State may cherish formalities more than another, one J43 1670 State may be more responsive than another to procedural reforms. If J43 1680 a litigant chooses to enforce a Federal right in a State court, he J43 1690 cannot be heard to object if he is treated exactly as are plaintiffs who J43 1700 press like claims arising under State law with regard to the form J43 1710 in which the claim must be stated- the particularity, for instance, J43 1720 with which a cause of action must be described. Federal law, though invoked J43 1730 in a State court, delimits the Federal claim- defines what J43 1740 gives a right to recovery and what goes to prove it. But the form in J43 1750 which the claim must be stated need not be different from what the State J43 1760 exacts in the enforcement of like obligations created by it, so long J43 1770 as a requirement does not add to, or diminish, the right as defined J43 1780 by Federal law, nor burden the realization of this right in the actualities J43 1790 of litigation". Another problem in the area of federal-state J43 1800 relationships is this: what constitutes reversible error in J43 1810 a state decision? v& involved a conviction J43 1820 for disorderly conduct under a local ordinance. The conduct J43 1830 in question was a speech. The accused did not object to the trial court's J43 1840 charge to the jury that discourse "may constitute a breach of J43 1850 the peace if it stirs the public to anger, invites dispute, brings about J43 1860 a condition of unrest **h". For present purposes it may be assumed J43 1870 that this charge so narrowly limited speech as to violate the federal J43 1880 Constitution. Though the accused raised many other objections, he J43 1890 did not object on this crucial point at any stage of the proceedings. J43 1900 That is, he did not claim in any of the four courts through which his J43 1910 case progressed that the jury charge had denied him any federal right. J44 0010 How else can one explain, for example, allowing the survival of the right J44 0020 to amortize bond discount and premium (section 381(c)(9)), but not J44 0030 the right to amortize bond issue expenses; or allowing a deduction J44 0040 for payment of certain obligations of a transferor assumed in the reorganization J44 0050 (section 381(c)(16)), but not a deduction for theft losses J44 0060 sustained by a transferor prior to a reorganization but discovered J44 0070 after it; or requiring a transferor to carry over its method of depeciation J44 0080 (section 381(c)(6)), but not allowing rapid amortization of J44 0090 emergency facilities transferred in a reorganization; or allowing survival J44 0100 of a dividend carryover to a personal holding company (section J44 0110 381(c)(14)), but not carryover of excess tax credits for foreign taxes? J44 0120 These items, and most of the others listed above, seem J44 0130 quite comparable to items whose right of survival is provided for in section J44 0140 381. There does not seem to be any reasonable basis for distinction J44 0150 either in terms of the nature of the tax attribute or in terms of J44 0160 tax-avoidance possibilities. With respect to items such as these the J44 0170 provisions of section 381(c), viewed in historical perspective, suggest J44 0180 a rule requiring survival, whether the items are beneficial or detrimental J44 0190 to the surviving corporation. To this extent some stretching J44 0200 of the literal meaning of the Committee Report seems justified, since J44 0210 the literal meaning conflicts with the clear implication, if not the J44 0220 language, of the statute. It is not contended that section J44 0230 381 should prescribe the survival of all of the transferor's tax attributes. J44 0240 Such an interpretation could not be justified by a construction J44 0250 of the statute alone; it would certainly violate the intention of J44 0260 Congress as expressed in the Committee Report; and in at least J44 0270 one instance, involving refund claims, it might be contrary to another J44 0280 provision of the United States Code. #REFUND CLAIMS# Section J44 0290 203 of the United States Code voids an assignment of a claim against J44 0300 the Government unless made after it has been allowed, the amount due J44 0310 has been ascertained, and a warrant for its payment has been issued. J44 0320 If it were not for judicial development of certain exceptions, this J44 0330 section would prohibit a suit for refund by an acquiring corporation for J44 0340 taxes paid by a transferor corporation, even though the reorganization J44 0350 meets the requirements of section 381(a). A clearly recognized J44 0360 exception is a statutory merger or consolidation. The leading case, J44 0370 held that J44 0380 the transferee could sue for a refund of taxes paid by the transferor, J44 0390 and it has been consistently followed. The Court said the purpose J44 0400 of the section was principally to spare the Government the embarrassment J44 0410 and trouble of dealing with several parties, one of them a stranger J44 0420 to the claim, and to prevent traffic in claims, particularly tenuous J44 0430 claims, against the Government. Neither reason, said the Court, applied J44 0440 to the case at hand; furthermore, Congress could not be presumed J44 0450 to have intended to obstruct mergers approved by the states. Other J44 0460 exceptions are assignments for the benefit of creditors, corporate dissolutions, J44 0470 transfers by descent, or transfers by subrogation. Exceptions J44 0480 are often classified as transfers by "operation of law". J44 0490 A tax-free reorganization not complying with the merger or consolidation J44 0500 statutes of the states involved is difficult to fit into an "operation J44 0510 of law" mold. Although it is in some ways comparable to J44 0520 a voluntary sale of assets for cash, to which section 203 quite clearly J44 0530 applies, the courts and Treasury have held that acquiring corporations J44 0540 in several types of non-taxable reorganizations may sue for refund J44 0550 of taxes paid by transferors. A recent case in point is in which a claim against the Government J44 0570 was transferred first from a corporation to a partnership, whose J44 0580 partners were former stockholders, and then to another corporation formed J44 0590 by the partners. Holding the final corporation entitled to sue on J44 0600 the claim, the Court cited the and J44 0610 cases for the proposition that "**h transfers by operation J44 0620 of law or in conjunction with changes of corporate structure are not J44 0630 assignments prohibited by the statute". In an earlier case, J44 0640 an American corporation J44 0650 was formed for the purpose of acquiring the stock of a British corporation J44 0660 in exchange for its own stock and then liquidating the British J44 0670 corporation. The anti-assignment statute was held not to prevent the J44 0680 American corporation from suing for a refund of taxes paid by the British J44 0690 corporation. The transaction presumably would have qualified under J44 0700 section 368(a)(1)(B) as a contractual reorganization, followed J44 0710 by a section 332 liquidation, but not under section 368(a)(1)(A) J44 0720 as a statutory merger of consolidation. The Court, nevertheless, relied J44 0730 on the case and also mentioned that the shareholders J44 0740 of the two corporations were the same. In substance, said the Court, J44 0750 there was no transfer of equitable title. The Treasury arrives J44 0760 at substantially the same conclusion, but skirts the problem of section J44 0770 203 of the United States Code. Revenue Ruling 54-17 provides J44 0780 that if the corporation against which a tax was assessed has since been J44 0790 liquidated by merger with a successor corporation, a claim for refund J44 0800 should be filed by the successor in the name and on behalf of the J44 0810 corporation which paid the tax, followed by the name of the successor J44 0820 corporation. Proper evidence of the liquidation and succession must also J44 0830 be filed. If the succession is a matter of public record, certificates J44 0840 of the Secretaries of State or other public officials having custody J44 0850 of the documents will suffice; if the succession is not of record, J44 0860 all documents relating to such succession, properly certified, are J44 0870 required. The former proof seems applicable to a statutory merger J44 0880 or consolidation, the latter to a contractual acquisition. The Ruling J44 0890 would not, however, apply to an acquisition of assets for cash. A recent J44 0900 Ruling, although rather confusing, cites and follows Rev& Rul& J44 0910 54-17. The Ruling suggests also that it applies to either a statutory J44 0920 or contractual reorganization. Hence, a successor corporation J44 0930 in a ~C reorganization appears entitled to sue for a refund of taxes J44 0940 paid by the merged corporation despite section 203. In a ~B J44 0950 reorganization, followed by a section 332 liquidation, those cases J44 0960 which hold that section 203 is inapplicable to transfers in liquidation J44 0970 appear to permit the successor corporation to sue for refund of taxes J44 0980 paid by the transferor. In fact, a cash purchase of a corporation's J44 0990 stock followed by liquidation might also be an effective way to transfer J44 1000 a claim for refund if the doctrine is not J44 1010 applied to eliminate the intermediate step. These results appear J44 1020 sound. As stated in and numerous other cases, the two J44 1030 primary reasons for the enactment of section 203 of the United States J44 1040 Code were to prevent the Government from having to deal with more J44 1050 than one claimant and to prevent the assignment of meretricious claims J44 1060 on a contingent-fee basis. The cases have allowed transfer of claims J44 1070 if beneficial ownership is not changed. The first reason would never J44 1080 apply to a reorganization transfer which meets the conditions of section J44 1090 381(a), which is the only type presently under discussion. Section J44 1100 381(a) applies only to a transfer by liquidation of a subsidiary J44 1110 owned to the extent of at least 80 per cent, a statutory merger or consolidation, J44 1120 an acquisition of substantially all a corporation's assets J44 1130 solely in exchange for voting stock, or a change of identity, form, J44 1140 or place of organization. In virtually every case the transferor corporation J44 1150 is liquidated, and its former stockholders either own outright, J44 1160 or have a continuing stock interest in, the assets which gave rise J44 1170 to the tax. In these circumstances the possibility of multiple or conflicting J44 1180 claims is exceedingly remote. Furthermore, in a ~C reorganization J44 1190 the continuing interest of stockholders of the corporation J44 1200 which paid the tax must be greater than is necessary in a statutory merger, J44 1210 to which the statute is clearly inapplicable. Nor is it J44 1220 at all likely that a "desperate" claim against the Government will J44 1230 be assigned on a contingent-fee basis in the guise of a tax-free reorganization. J44 1240 If the transferor has substantial assets other than the J44 1250 claim, it seems reasonable to assume no corporation would be willing to J44 1260 acquire all of its properties in the dim hope of collecting a claim J44 1270 for refund of taxes. If such an unlikely transaction were to take place, J44 1280 it would more logically be accomplished by a stock purchase, followed J44 1290 by the prosecution of the claim by the wholly-owned subsidiary, followed J44 1300 by liquidation. In the rare case where a corporation's only J44 1310 substantial asset, or its most important one, is a claim for refund, perhaps J44 1320 its transfer should not be permitted, whether the reorganization J44 1330 takes the form of a statutory merger or of the acquisition of assets J44 1340 for stock. It appears, then, that although the matter is not J44 1350 dealt with in section 381(c), a successor corporation in a reorganization J44 1360 of a type specified in section 381(a) is entitled to sue for refund J44 1370 of taxes paid by a transferor corporation. Section 203 of the United J44 1380 States Code has been interpreted as not applying to claims against J44 1390 the Government transferred in tax-free reorganizations. The successor J44 1400 corporations have been held entitled to sue on such claims. #OTHER J44 1410 TAX ATTRIBUTES OF THE TRANSFEROR# There are certain tax attributes J44 1420 of a corporation whose nature and effect might depend on the facts J44 1430 of the particular reorganization involved. For example, property "used J44 1440 in the trade or business" of a transferor corporation, as defined J44 1450 in section 1231, presumably would not retain its special status following J44 1460 a non-taxable reorganization if it is not so used in the business J44 1470 of the acquiring corporation. The parent of a group filing consolidated J44 1480 returns might be treated as the same corporation following a reorganization J44 1490 defined in section 368(a)(1)(F), but as a different corporation J44 1500 for this purpose after a tax-free acquisition by another corporation J44 1510 which had not, for example, elected to file consolidated returns J44 1520 with its own subsidiaries. Similar considerations presumably made J44 1530 it difficult to prescribe a general rule where the acquired and acquiring J44 1540 corporations have different methods of accounting (section 381(c)(4)) J44 1550 or depreciation (section 381(c)(6)). Other sections J44 1560 of the 1954 Internal Revenue Code provide for survival of certain of J44 1570 a transferor's tax attributes following a tax-free reorganization. J44 1580 Section 362 requires carryover of the transferor corporation's basis J44 1590 for property transferred, and section 1223 provides for tacking on J44 1600 the transferor's holding period for such property to that of the transferee. J44 1610 Section 169 permits a person acquiring grain-storage facilities J44 1620 to elect to continue amortization over a 60-month period. However, J44 1630 a similar privilege was not specifically provided in section 168 for J44 1640 a person acquiring emergency facilities. _ATTRIBUTES SIMILAR TO A LOSS J44 1650 CARRYOVER._ There may be certain items which are quite similar J44 1660 to a net operating loss carryover or operating deficit and whose right J44 1670 to survive a reorganization should perhaps be subject to the conditions J44 1680 applicable to those items. For example, suppose another excess profits J44 1690 tax similar to prior laws is enacted, providing for carryover of J44 1700 excess profits credits. This carryover right has a number of things in J44 1710 common with a net operating loss carryover. It is an averaging device J44 1720 intended to ease the tax burden of fluctuating income; it is a tax J44 1730 benefit which might be of substantial value to a corporation which expects J44 1740 to have a high excess profits tax. Under the 1939 Code this item J44 1750 was permitted to survive a tax-free reorganization in the case, but only over the dissent of Judge Learned Hand, J44 1770 who wrote the majority opinion in the case, a leading case J44 1780 requiring carryover of earnings and profits in a non-taxable reorganization. J44 1790 Since this type of item was not in the statute when J44 1800 section 381 was enacted in 1954, one cannot say with certainty what effect J44 1810 the enactment of that section should have. With respect to this J44 1820 type of item, one might properly apply the language of the Committee J44 1830 Report, quoted above, which cautions against using section 381 as a J44 1840 basis for treating other tax attributes not mentioned therein. J44 1850 Actually, there do not presently appear to be items in the statute comparable J44 1860 to a net operating loss carryover. Probably the primary reason J44 1870 for special treatment of a net operating loss carryover is the unique J44 1880 opportunity it presents for tax avoidance. J45 0010 #A. REASONS FOR SELECTING MAIL QUESTIONNAIRE METHOD# There were two J45 0020 methods that could have been used for conducting the study within the J45 0030 resources available: (1) interviews in depth with a few selected J45 0040 companies, and (2) the more limited interrogation of a large number of J45 0050 companies by means of a mail questionnaire. While the method J45 0060 of interviewing a small number of companies was appealing because of the J45 0070 opportunity it might have furnished to probe fully the reasons and J45 0080 circumstances of a company's practices and opinions, it also involved J45 0090 the risk of paying undue attention to the unique and peculiar problems J45 0100 of just a few individual companies. As a result, it was decided that J45 0110 a mail questionnaire sent to a large number of companies would be more J45 0120 effective in determining the general practices and opinions of J45 0130 small J45 0140 firms and in highlighting some of the fundamental and recurring problems J45 0150 of defense procurement that concern both industry and government. J45 0160 It was also hoped that responses to a mail questionnaire would suggest J45 0170 fruitful inquiries that might be made in subsequent studies of a more J45 0180 detailed nature. It is recognized that a mail questionnaire J45 0190 has inherent limitations. There is the danger that the questions will J45 0200 mean different things to different respondents. Simple "yes" or J45 0210 "no" answers do not reveal the different shades of opinion that the J45 0220 various respondents may have. A respondent may want to make alternative J45 0230 answers because he does not know the precise circumstances assumed J45 0240 in the question. There is also the problem of the respondent's frame J45 0250 of reference. Is the respondent making a recommendation for his own J45 0260 benefit, for the benefit of his industry, for the benefit of a specific J45 0270 government department or service, for the benefit of the defense J45 0280 program, for the benefit of small business, or for the benefit of the J45 0290 taxpayers? There is also the question of whether the respondent J45 0300 based his answers on factual information and carefully considered J45 0310 judgment, or whether his answers were casual guesses. Finally, there J45 0320 is the question of how strongly an expressed opinion is held- whether J45 0330 it is a firm opinion or one that the respondent favors only slightly J45 0340 over the alternatives. The research team was very mindful of J45 0350 these dangers and limitations of a mail questionnaire. Under the circumstances, J45 0360 however, the team considered it would provide the most useful J45 0370 information at this point. In the preparation of the questionnaire J45 0380 the problems noted above were carefully considered, and the structure J45 0390 and phraseology used were designed to minimize the effects of these J45 0400 limitations. #B. DESIGN OF THE QUESTIONNAIRE# The questionnaire was J45 0410 designed to elicit three types of information: (1) the facts regarding J45 0420 certain characteristics of the respondents, including their experience J45 0430 with, and interest in, securing defense business; (2) the actual J45 0440 selling and buying practices of the respondents; and (3) the attitudes J45 0450 and opinions of the respondents concerning bidding procedures and J45 0460 the methods of awarding defense contracts. It was hoped that the facts J45 0470 concerning the characteristics and practices of the respondents would J45 0480 offer clues to the reasons why they took the positions and made the J45 0490 recommendations which they did. The major sections of the questionnaire J45 0500 (see Appendix ~B) are devoted to the following: J45 0510 _1._ J45 0520 Information for classifying respondents (Part ~A of the questionnaire) J45 0530 _2._ Characteristics of defense sales activities (Part ~B J45 0540 of the questionnaire) _3._ Respondents' practices in participating J45 0550 in advertised bidding for defense business (Part ~C of the J45 0560 questionnaire) _4._ Respondents' practices in participating in J45 0570 negotiated bidding for defense purposes (Part ~D of the questionnaire) J45 0580 _5._ Respondents' opinions regarding advertised bidding J45 0590 (Part ~E of the questionnaire) _6._ Respondents' opinions regarding J45 0600 negotiated bidding (Part ~F of the questionnaire) _7._ J45 0610 Respondents' preferences regarding the methods of awarding defense J45 0620 contracts (Part ~G of the questionnaire) The questionnaire J45 0630 provided a place for the name of the respondent but stated that identification J45 0640 of the respondent was optional. The questionnaire also stated J45 0650 that, in any event, all replies would be treated confidentially. J45 0660 It is interesting to note that 75 per cent of those who returned the J45 0670 questionnaire identified themselves. #C. PREPARATION AND PRETEST OF J45 0680 THE QUESTIONNAIRE# J45 0690 The research team prepared and then revised the questionnaire J45 0700 over a period of six months. In June, 1960, an early draft J45 0710 of the questionnaire, along with a cover letter, was mailed to fourteen J45 0720 companies in the state of Washington. Several days after the companies J45 0730 had received the questionnaire, members of the research team contacted J45 0740 the presidents of eleven of these companies in person or by phone J45 0750 to discuss any ambiguities or difficulties the addressees might have J45 0760 experienced in completing the questionnaire. This test resulted in J45 0770 further revisions of the questionnaire. The research team was J45 0780 concerned that responses from firms in the state of Washington might J45 0790 not be typical of those throughout the country, or that the results might J45 0800 be different when no phone or personal follow-up was made. Accordingly, J45 0810 another test of the questionaire was made. The revised draft J45 0820 was mailed in July, 1960, to 100 firms throughout the United States. J45 0830 Fifty of the 100 firms were selected on a random basis from 3,500 names J45 0840 submitted by member companies of the Aerospace Industries Association J45 0850 (~AIA list) and fifty were selected in a similar manner from J45 0860 a list of 1,500 names compiled by the research team from the Thomas J45 0870 Register (~TR list). The method of compiling the ~AIA and J45 0880 ~TR lists will be described later. Ten days after the questionnaires J45 0890 were mailed, follow-up airmail postcards were sent urging J45 0900 those companies which had not yet returned their questionnaires to do J45 0910 so at once. Twenty-eight returns in all were received. The responses J45 0920 were carefully checked for obvious errors in the answers or for questions J45 0930 that were apparently not understood by the respondent. The cover J45 0940 letter, questionnaire, and follow-up postcard were then revised into J45 0950 final form (see Appendixes ~A, ~B, and ~C. #D. COMPILATION J45 0960 OF MAILING LISTS# The objective of the study was to determine the J45 0970 opinions and practices of small firms selling to defense programs. The J45 0980 firms to receive the questionnaires were selected with this objective J45 0990 in mind. Three lists of companies were made and used in the J45 1000 study. The first was a list of fourteen manufacturing companies J45 1010 located in the state of Washington which were personally known to J45 1020 the research team to be active in defense work. The primary consideration J45 1030 in the compilation of this list was convenience in discussing the J45 1040 questionnaire with company officers. The second list was derived J45 1050 from a group of approximately 8,000 names supplied to the research J45 1060 team by the Aerospace Industries Association. These names were secured J45 1070 from member companies by the Association from the forty-four sources J45 1080 listed in Appendix ~F. Each source selected from its approved J45 1090 bidders list about 200 firms which it believed to be small businesses J45 1100 that participated in the production of weapons and weapon support systems. J45 1110 Where possible, the name of an executive was supplied along with J45 1120 the company name and address. The forty-four lists supplied J45 1130 by the ~AIA member companies were merged and duplicate names were J45 1140 eliminated. There was further elimination of all companies that were J45 1150 not accompanied by the name of a responsible company executive. The J45 1160 remaining names were then checked against the Thomas Register list J45 1170 (see below) and duplicate names were removed from the ~AIA lists. J45 1180 By these steps the final ~AIA list was reduced from 8,000 to 3,500. J45 1190 The third list was selected by the research team on a random J45 1200 basis from the Thomas Register. It was compiled as a control sample J45 1210 to determine if the opinions and practices of companies on the J45 1211 lists J45 1220 submitted by the members of the Aerospace industries Association J45 1230 were materially different from those of other small firms selling to defense J45 1240 programs. Such a difference might have resulted from: _1._ J45 1250 The fact that the Aerospace Industries Association members whose J45 1260 lists were used did not comprise all firms engaged in defense programs. J45 1270 _2._ The fact that companies on the ~AIA lists were already J45 1280 participating in the defense program because of the manner of their J45 1290 selection. Accordingly, as "in-group", they might have different J45 1291 opinions J45 1300 and practices than an "out-group" composed of those companies J45 1310 not so participating but interested in defense business. _3._ J45 1320 The fact that ~AIA lists might not have been selected on a random J45 1330 basis. The control sample was selected by taking the bottom J45 1340 name of each of the two columns of names on each page of the alphabetical J45 1350 listing of manufacturers in the Thomas Register. If the bottom J45 1360 name in each column did not have a responsible executive identified, J45 1370 the next name above which identified such a responsible executive was J45 1380 substituted. Fifteen hundred names were selected in this fashion. #E. J45 1390 MAILING THE QUESTIONNAIRE# Each questionnaire was mailed with a J45 1400 cover letter addressed personally to the president or other executive J45 1410 of each firm. The questionnaires were mailed in Seattle, Washington, J45 1420 and sent by regular mail to addresses in the states of Idaho, Montana, J45 1430 Oregon, and Washington. Airmail was used for the addresses outside J45 1440 the Pacific Northwest. Each letter contained a postage-prepaid J45 1450 return envelope by regular mail for addresses in the Pacific J45 1460 Northwest, and by airmail for those outside the Pacific Northwest. J45 1470 Approximately ten days after the questionnaire was mailed, a J45 1480 follow-up J45 1490 airmail postcard was sent to each of the original names. The J45 1500 first test mailing (to 14 companies) was made in June, 1960. The second J45 1510 test mailing (to 100 companies) was made in July, 1960. The final J45 1520 mailing of the questionnaire was made late in August, 1960, to 4,900 J45 1530 firms consisting of 3,450 from the ~AIA list and 1,450 from the J45 1531 ~TR list. #F. J45 1540 RETURNS RECEIVED# Over 1,000 returns were received J45 1550 within two weeks after the final mailing was made. They continued J45 1560 to arrive until the end of December, 1960, by which time a total of J45 1570 1,343 returns were received representing 26.8 per cent of the 5,014 J45 1575 questionnaires J45 1580 sent out. Fifty-seven returns could not be used because J45 1590 they were incomplete or received too late to be processed. The remaining J45 1600 1,286 returns that were processed came from the categories in Table J45 1610 2. #G. PROCESSING THE RETURNS# Each questionnaire was audited J45 1620 for obvious mistakes and for comments, and was identified by a serial J45 1630 number, by the source list from which the company name was selected, J45 1640 and by the geographical location of the company as determined by the postmark J45 1650 on the return envelope. All responses, except comments, were J45 1660 numerically coded to permit use of data-processing equipment. The codes J45 1661 were key-punched J45 1670 into ~IBM punch cards and verified. Each return J45 1680 required three cards and involved key punching 228 digital columns. J45 1690 In order to be able to properly relate the data for a single company J45 1700 each of the three cards comprising the set for each firm was identified J45 1710 with the appropriate serial number of the respondent. The cards were J45 1720 then processed using standard ~IBM punch card equipment, including J45 1730 an ~IBM 650 computer. The first step in processing was J45 1740 to analyze the returns from Questions 1, 2, and 3 to determine J45 1750 whether the respondents were large businesses or small businesses, in J45 1760 accordance with the definitions contained in ~ASPR Section 1-701. J45 1770 (see Chapter /2,). The results are shown in Table 3. J45 1780 The returns from companies classified as large businesses were set aside J45 1790 and not used because they were not relevant to a study of the opinions J45 1800 and practices of small firms. The second step in processing J45 1810 was to compare the responses from companies on the ~AIA list with J45 1820 those from companies on the ~TR list in order to determine whether J45 1830 it would be appropriate to merge the responses for the purposes of J45 1840 the study. The methods and results of this comparative analysis are J45 1850 described in Appendix ~H. It was concluded that it would be appropriate J45 1860 to process the two groups of responses as a single sample of all J45 1870 small businesses engaged in, or wishing to sell to, defense programs. J45 1880 In the first place, the two groups of firms, when combined, had characteristics J45 1890 and practices that were more representative of companies J45 1900 that were the subject of this study than did the firms from the ~AIA J45 1910 list alone. J46 0010 THE vast Central Valley of California is one of the most J46 0020 productive agricultural areas in the world. During the summer of 1960, J46 0030 it became the setting for a bitter and basic labor-management struggle. J46 0040 The contestants in this economic struggle are the Agricultural J46 0050 Workers Organizing Committee (~AWOC) of the ~AFL-~CIO J46 0060 and the agricultural employers of the State. By virtue of J46 0070 the legal responsibilities of the Department of Employment in the J46 0080 farm placement program, we necessarily found ourselves in the middle between J46 0090 these two forces. It is not a pleasant or easy position, but one J46 0100 we have endeavored to maintain. We have sought to be strictly neutral J46 0110 as between the parties, but at the same time we have been required J46 0120 frequently to rule on specific issues or situations as they arose. J46 0130 Inevitably, one side was pleased and the other displeased, regardless J46 0140 of how we ruled. Often the displeased parties interpreted our decision J46 0150 as implying favoritism toward the other. We have consoled ourselves J46 0160 with the thought that this is a normal human reaction and is one J46 0170 of the consequences of any decision in an adversary proceeding. It J46 0180 is disconcerting, nevertheless, to read in a labor weekly, "Perluss J46 0190 knuckles down to growers", and then to be confronted with a growers' J46 0200 publication which states, "Perluss recognizes obviously phony and J46 0210 trumped-up strikes as bona fide". For a number of years, J46 0220 there have been sporadic attempts in California to organize farm workers. J46 0230 These attempts met with little sucess for a variety of reasons. J46 0240 They were inadequately financed, without experienced leadership, and J46 0250 lacked the general support of organized labor as a whole. This past J46 0260 year the pattern has been different: The organizing program had the J46 0270 full support of the ~AFL-~CIO, which supplied staff and money J46 0280 to the ~AWOC, as well as moral support. Leadership was experienced J46 0290 and skillful, and financial resources were significant. Regardless J46 0300 of where personal sympathies may lie as between the parties, failure J46 0310 to recognize these changed conditions would be to ignore the facts J46 0320 of life. As a result of these changed conditions, the impact J46 0330 of the organizational effort on agricultural labor-management relations J46 0340 has been much greater than in the past. The ~AWOC has been able J46 0350 to employ the traditional weapons of labor- the strike and the J46 0360 picket J46 0370 line- with considerable success, particularly in the area of wages. J46 0380 By the very nature of the situation, it is the union which J46 0390 has been able to select the time and place to bring pressure upon management. J46 0400 To date, at least, the strategy of the ~AWOC has been J46 0410 selective; that is to say, to concentrate on a particular crop or activity J46 0420 in a particular area at a strategic time, rather than any broadside J46 0430 engagement with management throughout an area or the State. J46 0440 Primarily, we became involved in these disputes because of our referral J46 0450 obligations under our farm placement program. Normally, because J46 0460 agricultural labor is not covered by unemployment insurance, we would J46 0470 not expect any issues to arise regarding benefit payments under the trade J46 0480 dispute provision of the Unemployment Insurance Code, although J46 0490 such a situation is quite within the realm of possibility. But the current J46 0500 issues arose out of the Wagner-Peyser Act concerning referrals J46 0520 to an establishment where a labor dispute exists, and out of Public J46 0530 Law 78 and the Migrant Labor Agreement if Mexican nationals were J46 0540 employed at the ranch. Most of us remember and think of the Wagner-Peyser J46 0550 Act in its historical sense, as a major milestone in the J46 0560 development of public placement services. Infrequently do we think J46 0570 of it as a living, continuing, operating control over the system. However, J46 0580 when labor disputes arise, its provisions come clearly into play. J46 0590 California has accepted the provisions of that Act (as have all other J46 0600 States) by enacting into our Code (Section 2051) a provision that J46 0610 . With respect to labor disputes, the Wagner-Peyser J46 0640 Act states only, . J46 0680 Other provisions of the Act empower J46 0690 the Secretary to adopt regulations necessary to carry out its provisions, J46 0700 and he has done so. The pertinent regulation for our purposes J46 0710 is Section 602.2 (~b), as follows: Referrals in labor J46 0720 dispute situations. . In analyzing this regulation, let us take J46 0810 the last sentence first. It permits referrals under certain circumstances J46 0820 even when there is a labor dispute, provided the individual is J46 0830 given written notice of such a dispute. Assume, for example, a situation J46 0840 where a farm has a packing shed and fields. The packing shed workers J46 0850 go on strike. There is no dispute involving fieldwork. We concluded J46 0860 that we may refer workers to the fieldwork (but not the packing shed J46 0870 work) provided we give them written notice of the packing shed dispute. J46 0880 So far, no troublesome cases have arisen under this provision. J46 0890 It is the first part of the Regulation that is currently at issue. J46 0900 Note that it referrals under either condition (1) J46 0910 or condition (2). Employer representatives have contended that the Secretary J46 0920 has gone beyond his authority by such a prohibition, on the J46 0930 grounds that the Wagner-Peyser Act requires only written notice to J46 0940 the prospective worker that a dispute exists. #INTO COURT# The matter J46 0950 got into the courts this way: One of the early strikes called J46 0960 by the ~AWOC was at the DiGiorgio pear orchards in Yuba County. J46 0970 We found that a labor dispute existed, and that the workers had left J46 0980 their jobs, which were then vacant because of the dispute. Accordingly, J46 0990 under clause (1) of the Secretary's Regulation, we suspended J46 1000 referrals to the employer. (Incidentally, no Mexican nationals were J46 1010 involved.) The employer, seeking to continue his harvest, challenged J46 1020 our right to cease referrals to him, and sought relief in the Superior J46 1030 Court of Yuba County. The court issued a temporary restraining J46 1040 order, directing us to resume referrals. We, of course, obeyed the court J46 1050 order. However, the Attorney General of California, at the request J46 1060 of the Secretary of Labor, sought to have the jurisdiction over J46 1070 the issue removed to the Federal District Court, on grounds that J46 1080 it was predominantly a Federal issue since the validity of the Secretary's J46 1090 Regulation was being challenged. However, the Federal Court J46 1100 held that since the State had accepted the provisions of the Wagner-Peyser J46 1110 Act into its own Code, and presumably therefore also the J46 1120 regulations, it was now a State matter. It accordingly refused to assume J46 1130 jurisdiction, whereupon the California Superior Court made the J46 1140 restraining order permanent. Under that order, we have continued referring J46 1150 workers to the ranch. A similar case arose at the Bowers ranch J46 1160 in Butte County, and the Superior Court of that county issued similar J46 1170 restraining orders. The growers have strenuously argued J46 1180 that I should have accepted the Superior Court decisions as conclusive J46 1190 and issued statewide instructions to our staff to ignore this provision J46 1200 in the Secretary's Regulation. I cannot accept that view, J46 1210 either as a lawyer or as an administrator. #LEGAL CONSIDERATIONS# J46 1220 First, let us examine briefly some of the legal considerations involved. J46 1230 It is an accepted juridical principle in California that a Superior J46 1240 Court decision does not constitute a binding legal precedent. It J46 1250 is conclusive, unless appealed, only upon the particular parties to J46 1260 the particular action which was heard. It is not binding upon another J46 1270 Superior Court, which could rule to the contrary. Only when a decision J46 1280 is rendered by the District Court of Appeal (or, of course, the J46 1290 Supreme Court) is a binding precedent established. In that event, J46 1300 we can correctly say that we have received an authoritative interpretation J46 1310 of the matter, and one which we can follow statewide with confidence J46 1320 that the policy will not be overthrown in other Superior Courts. J46 1330 But over and beyond the compelling need for a binding precedent J46 1340 decision, I am convinced that the decisions of the Superior Courts J46 1350 which in effect nullify the Secretary's Regulation are not a J46 1360 correct interpretation of the Secretary's power under the Federal J46 1370 law. I believe I am in good company in this view. The Attorney General J46 1380 of California concurs in this interpretation and has filed an appeal J46 1390 from these decisions to the District Court of Appeal. The Attorney J46 1400 General of the United States, in considering the power of the J46 1410 Secretary to issue similar regulations under the Wagner-Peyser Act J46 1420 relating to the interstate recruitment of farm workers, has rendered J46 1430 an opinion sustaining his authority. Further, and as an evidence of J46 1440 legislative intent only, the Senate of the United States recently J46 1450 defeated by a substantial majority the "Holland Amendment" to the J46 1460 Fair Labor Standards Act, which would have specifically limited J46 1470 the regulatory authority of the Secretary in these matters. Next, J46 1480 let us consider briefly the program and administrative implications J46 1490 of a failure on our part to pursue our appeals. There is far J46 1500 too much at stake for all of the parties concerned to leave the matter J46 1510 hanging in midair. The ramifications of the issue are enormous. A J46 1520 decision to refer workers to jobs vacant because of a strike would have J46 1530 to be applied equally to nonagricultural situations, and might in J46 1540 effect place the public employment services in the position of acting J46 1550 as strikebreakers. The public interest is so dominant in such an issue J46 1560 that I cannot be so presumptuous as to attempt to settle it by an administrative J46 1570 order based upon conclusions reached in a summary action J46 1580 in one or two Superior Courts in the State. It is an issue which J46 1590 may well reach the Supreme Court of the United States before judicial J46 1600 finality is achieved. As an administrator, I cannot place J46 1610 the Employment Service in California in jeopardy of being out of compliance J46 1620 with the Federal laws by my failure to pursue the avenues of J46 1630 appeal open to me. To have applied statewide the decisions of the two J46 1640 cases heard in Superior Court, in my opinion, would have placed us J46 1650 clearly out of compliance with the Wagner-Peyser Act and would have J46 1660 immediately opened the way for the Secretary of Labor, were he so J46 1670 inclined, to notify the Governor of such noncompliance, set a date for J46 1680 hearing, and issue his finding. The impact of noncompliance under J46 1690 the Wagner-Peyser Act is clear: the withdrawal of some $11 million J46 1700 a year of administrative funds which finance our employment service J46 1710 program or, as a corollary, the taking over by the Federal Government J46 1720 of its operation. Thus far, the cases which have come before J46 1730 the courts have involved only the issue of referral where the job is J46 1740 vacant due to a strike- condition (1) in the Regulation of the Secretary. J46 1750 None has yet arisen under condition (2), relating to referral J46 1760 to jobs "the filling of which is an issue in a labor dispute". J46 1770 Here the problem is essentially one of defining the word "filling". J46 1780 Should it be defined in a narrow sense to include only such elements J46 1790 as job specifications, union membership, union jurisdiction, and J46 1800 the like? Or should it have a broader connotation of including wage J46 1810 demands and other factors not necessarily associated with the J46 1820 mechanics of "filling" the job. Because of the uncertainty J46 1830 of this definition, I solicited the interpretation of the Secretary J46 1840 of Labor. He has advised me that the narrower interpretation is the J46 1850 proper one; that is, that if wages, for example, is the only issue J46 1860 in a labor dispute, and no workers have left their jobs because of the J46 1870 dispute, we may continue to make referrals. J47 0010 _9._ Martin and Stendler present evidence that infants and young J47 0020 children can and do solve many problems at a relatively simple perceptual J47 0030 level simply by combining objects and counting them. After they J47 0040 have developed concepts, they are free from the necessity of manipulating J47 0050 objects; they do symbolically what they once had to do concretely. J47 0060 The ability to think seems to increase consistently with age. One J47 0070 experiment showed the greatest one-year difference occurring between J47 0080 the eleventh and twelfth years. _10._ Many studies indicate that J47 0090 elementary-school children's interests cover the whole field of science; J47 0100 that their questions indicate a genuine interest in social processes J47 0110 and events; and that as they mature their interests and capabilities J47 0120 change and broaden. _EMOTIONAL CHARACTERISTICS_ How a child J47 0130 feels about himself, about other people, and about the tasks confronting J47 0140 him in school may have as much influence on his success in school J47 0150 as his physical and intellectual characteristics. A considerable amount J47 0160 of evidence exists to show that an unhappy and insecure child is not J47 0170 likely to do well in school subjects. Emotional maturity is the result J47 0180 of many factors, the principal ones being the experiences of the J47 0190 first few years of the child's life. However, the teacher who understands J47 0200 the influence of emotions on behavior may be highly influential J47 0210 in helping pupils gain confidence, security, and satisfaction. J47 0220 Concerning this responsibility of the teacher, suggestions for helping J47 0230 children gain better control of the emotions are presented in Chapter J47 0240 11. The following generalizations about the emotional characteristics J47 0250 of elementary-school children may be helpful. _1._ Typically, J47 0260 the young child's emotional reactions last for a relatively short J47 0270 time, as contrasted to those of an adult. _2._ As the child grows J47 0280 older, his emotional reactions lead to "moods", or emotional states J47 0290 drawn out over a period of time and expressed slowly, rather than in J47 0300 short, abrupt outbursts. _3._ Studies of the growth and decline J47 0310 of children's fears indicate that fears due to strange objects, noises, J47 0320 falling, and unexpected movement decline during the preschool years, J47 0330 but that fears of the dark, of being alone, and of imaginary creatures J47 0340 or robbers increase. _4._ Ridiculing a child for being afraid J47 0350 or forcing him to meet the feared situation alone are poor ways of dealing J47 0360 with the problem; more effective solutions include explanations, J47 0370 the example of another child, or conditioning by associating the feared J47 0380 object, place, or person with something pleasant. _5._ Children J47 0390 need help in learning to control their emotions. The young child J47 0400 learns from parents and teachers that temper tantrums, screaming, kicking, J47 0410 and hitting will not get him what he wants; the older child learns J47 0420 that intense emotional outbursts will not win approval by his peers, J47 0430 and, therefore, makes a real effort to control his emotions. _6._ J47 0440 Children differ widely in their emotional responses. Among infants J47 0450 the patterns of emotional responses are similar; as the influence J47 0460 of learning and environment are felt, emotional behavior becomes individualized. J47 0470 _SOCIAL CHARACTERISTICS_ Although no national norms exist J47 0480 for the social development of children, the teacher can find a great J47 0490 deal of information concerning types of social behavior normally displayed J47 0500 by children at various age levels. The following summary will J47 0510 give the student some idea about the social characteristics of elementary-school J47 0520 children; the student will certainly want to explore more J47 0530 deeply into the fascinating study of immature individuals, struggling J47 0540 to meet their developmental needs, and at the same time trying to learn J47 0550 the rules of the game in the ever-expanding number of groups in which J47 0560 they hold membership. _1._ During early childhood, children J47 0570 are more interested in the approval of their parents and teachers than J47 0580 they are in the approval of other children; after they have been in J47 0590 school a few years, their interest in playmates of their own age increases, J47 0600 and their interest in adults decreases; the child who had once J47 0610 considered it a treat to accompany his parents on picnics and family J47 0620 gatherings now considers it a bore. In late childhood the influence J47 0630 of the group on the social behavior of the child continues to increase; J47 0640 the group sets the styles in clothing, the kind of play engaged in, J47 0650 and the ideals of right and wrong behavior. _2._ In early childhood J47 0660 the choice of a companion is likely to be for another child of his J47 0670 own age or a year or two older, who can do the things he likes to do; J47 0680 such factors as sex, intelligence, and status in the group do not J47 0690 influence his choice much at this time. _3._ In later childhood, J47 0700 an interest in team games replaces individual play; loyalty to the group, J47 0710 a feeling of superiority over those who are not members, and unwillingness J47 0720 to play with members of the opposite sex become dominant traits. J47 0730 _4._ During early childhood boys tease and bully, on the average, J47 0740 more than girls; those who feel inferior or insecure engage in J47 0750 these activities more than do well-adjusted children. _5._ During J47 0760 late childhood boys like to tease, jostle, and talk smart to girls; J47 0770 girls, who are more mature than boys, frown upon the youthful antics J47 0780 of boys of their own age. _6._ By the time pupils reach the sixth J47 0790 grade, their ethical and moral standards are fairly well developed; J47 0800 they exhibit a keen interest in social, political, and economic problems, J47 0810 but they frequently have vague and incorrect notions about the J47 0820 terms they use rather glibly in their routine school work. _7._ Between J47 0830 the ages of two and four years, negativism or resistance to adult J47 0840 authority is noticeable; after the fourth year it begins to decline. J47 0850 However, as we have seen, in later childhood the child begins to J47 0860 substitute the standards of the peer group for those of parents and teachers. J47 0870 _8._ The elementary-school child grows gradually in his ability J47 0880 to work in groups. The child in the primary grades can play harmoniously J47 0890 with one companion, but his desire to be first in everything J47 0900 gets him into trouble when the group gets larger; he wants to be with J47 0910 people, but he hasn't yet learned to cooperate. In the middle grades, J47 0920 however, he begins to participate more effectively in group activities J47 0930 such as selecting a leader, helping to make plans and carry on J47 0940 group activities, and setting up rules governing the enterprise. #WHY J47 0950 THE TEACHER SHOULD STUDY THE INDIVIDUAL PUPIL# Much progress has J47 0960 been made in the last two decades in developing techniques for understanding J47 0970 children, yet in almost any classroom today can be found children J47 0980 whose needs are not being met by the school program. Some are failing J47 0990 to achieve as much as their ability would permit; others never J47 1000 seem able to enter fully into the life of the classroom. These children J47 1010 have been described as those who were trying to say something to adults J47 1020 who did not understand. Many school systems now employ school J47 1030 psychologists and child guidance specialists. These specialists J47 1040 perform valuable services by helping teachers learn to identify children J47 1050 who need special attention, by suggesting ways of meeting the needs J47 1060 of individual children in the regular classroom, and by providing clinical J47 1070 services for severely maladjusted children. It is the classroom J47 1080 teacher, however, who has daily contacts with pupils, and who is in a J47 1090 unique position to put sound psychological principles into practice. J47 1100 Indeed, a study of the individual child is an integral part of the work J47 1110 of the elementary-school teacher, rather than merely an additional J47 1120 chore. Teachers and administrators in many elementary schools J47 1130 have assumed that dividing the pupils in any grade into groups on the J47 1140 basis of test scores solves the problem of meeting the needs of individuals. J47 1150 What they should recognize is that children who have been placed J47 1160 in one of these groups on a narrow academic basis still differ widely J47 1170 in attributes that influence success, and that they still must be J47 1180 treated as individuals. Although the teacher must be concerned with J47 1190 maintaining standards, he must also be concerned about understanding J47 1200 differences in ability, background, and experience. _FACTORS THAT INHIBIT J47 1210 LEARNING AND LEAD TO MALADJUSTMENT_ Studies conducted in various J47 1220 sections of the United States indicate that many children in elementary J47 1230 schools are maladjusted emotionally, and that many of them are J47 1240 failing to make satisfactory progress in school subjects. One study, J47 1250 which involved 1,524 pupils in grades one to six, found that 12 percent J47 1260 of the pupils were seriously maladjusted and that 23 percent were reading J47 1270 a year below capacity. It is apparent, therefore, that the teacher J47 1280 needs to know what factors have a vital bearing on the learning and J47 1290 adjustment of children. When a child fails to meet the standards of J47 1300 the school in his rate of learning, insecurity, unhappiness, and other J47 1310 forms of maladjustment frequently follow. These maladjustments in J47 1320 turn inhibit learning, and a vicious cycle is completed. It is J47 1330 easy for the teacher to rationalize that the child who is not achieving J47 1340 in accordance with his known ability is just plain lazy, or that the J47 1350 child who lacks interest in school, who dislikes the teacher, or who J47 1360 is overaggressive is a hopeless delinquent. The causes of retardation J47 1370 and maladjustment may be found in physical factors, such as defective J47 1380 speech or hearing, impaired vision, faulty motor coordination, a frail J47 1390 constitution, chronic disease, malnutrition, and glandular malfunctioning. J47 1400 They may be caused by poor health habits, such as faulty eating J47 1410 and sleeping habits. They may be related to mental immaturity or lack J47 1420 of aptitude for certain types of school work. The curriculum may J47 1430 be too difficult for some and too easy for others. Teaching methods, J47 1440 learning materials, and promotion policies may inhibit learning and lead J47 1450 to maladjustments for some children. Unwholesome family relations, J47 1460 broken homes, and undesirable community influences may also be contributing J47 1470 factors. This is only a minimum list of the factors that inhibit J47 1480 learning and contribute to maladjustment among children. Moreover, J47 1490 these conditions do not influence all children in the same manner. A J47 1500 vision handicap that may produce nervous tension and reading J47 1510 disability J47 1520 for one child may spur another child on to even greater achievement J47 1530 in reading. An impoverished home that may discourage one child may constitute J47 1540 the motivation causing another to work harder for successful J47 1550 achievement in school. At any rate, the teacher who recognizes common J47 1560 causes of retardation and maladjustment can frequently do a great deal J47 1570 to eliminate the causes of pupil discouragement, failure, and maladjustment. J47 1580 #SOURCES OF INFORMATION ABOUT CHILDREN# Successful teaching J47 1590 involves getting enough information about each pupil to understand J47 1600 why he behaves as he does in certain situations and how his achievement J47 1610 in school is being influenced by various factors in his environment. J47 1620 The classroom teacher cannot be expected to be as proficient in the J47 1630 use of the techniques of child study as the clinical psychologist; J47 1640 he cannot be expected to administer all the tests and gather all the information J47 1650 needed about each child in his classroom. He can be expected, J47 1660 however, to examine and interpret the information already available; J47 1670 to refine and extend his own techniques for studying individual children; J47 1680 and to utilize opportunities, arising in connection with regular J47 1690 classroom activities, for gaining a better understanding of his J47 1700 pupils. This section deals with some of the sources of information that J47 1710 can be tapped by the classroom teacher; Chapter 15 provides more J47 1720 detailed information about specific techniques used in evaluating pupil J47 1730 progress. _CUMULATIVE RECORDS_ Most school systems today maintain J47 1740 a system of cumulative records of pupils. These records, when systematically J47 1750 maintained, provide much information about the children, which J47 1760 the teacher can use in guidance, instruction, grouping, and reporting J47 1770 to parents. Each teacher has in his classroom a metal file, equipped J47 1780 with a lock, which is used to store cumulative record folders. During J47 1790 summer vacation periods these records are stored in the office of J47 1800 the principal. Only the teacher and other professional personnel are J47 1810 permitted to see or use these records. Each new teacher to whom the J47 1820 pupil goes is expected to study the information in the cumulative record J47 1830 and to bring it up to date. Some school systems provide written instructions J47 1840 to principals and teachers designating when certain information J47 1850 is to be recorded on cumulative record forms and explaining how J47 1860 the information is to be summarized and used. J48 0010 THE SUMMARY REPORT ON DESEGREGATION PROGRESS IN EDUCATION IN J48 0020 THE MIDDLE-SOUTH REGION, 1959-1960" clearly shows two pieces of J48 0030 information. The Summary Report, which was prepared for this Conference, J48 0040 indicates, first, that actual or pending school desegregation is J48 0050 increasing; second, that both actual and pending desegregation is, J48 0060 with few exceptions, the product or result of court order. The Report J48 0070 together with other information suggests that desegregation in the J48 0080 schools is slow. The Middle-South Region, as defined by the J48 0090 National Association of Intergroup Relations Officials (~NAIRO), J48 0100 consists of the states of Kentucky, Maryland, Tennessee, West J48 0110 Virginia, Delaware, Virginia and the District of Columbia. The J48 0120 states and the Nation's Capital all have some desegregation, in J48 0130 fact some dating back to 1954; but the region also embraces some of J48 0140 the staunchest opposition. Desegregation has been opposed by massive J48 0150 resistance, interposition, pupil assignment (with no assignments of J48 0160 Negro children), and hate bombings. #DESEGREGATION AND COURT ORDER# J48 0170 Now let's look at the evidence that shows the increase in desegregation J48 0180 and such increase as a result of court order. First . J48 0190 Elementary school desegregation came to Owen and Union Counties, J48 0200 which already had high school desegregation. The action was a result J48 0210 of a court order, the citation for which (and for other court action J48 0220 mentioned in this paper) is taken from the Summary Report for this J48 0230 Conference. In the Harford County Board of Education J48 0240 had prepared a desegregation plan which the Court approved but J48 0250 which a plaintiff had challenged; thus, county school board and Federal J48 0260 court joined hands here to promote school desegregation. Additional J48 0270 school desegregation in resulted from a court J48 0280 order opening a school serving children of military personnel. Similarly, J48 0290 further desegregation may come from suits pending in three Tennessee J48 0300 cities, Chattanooga, Knoxville, and Memphis. In J48 0310 the number of white and Negro children attending the same school J48 0320 has increased almost twofold. There are no court decisions here. J48 0330 As in Maryland, a District court has approved an official plan J48 0340 of school desegregation in . As a result of the State J48 0350 Board of Education plan, Negro children entered heretofore white J48 0360 elementary schools in five districts. The Third Circuit Court of J48 0370 Appeals is reviewing an appeal from the plan. In J48 0380 court orders led to desegregation in Charlottesville and Floyd Counties. J48 0390 Desegregation in Pulaski County is pending because of court J48 0400 order, although date of admission is not yet determined. Negro parents J48 0410 have filed application for admission of additional children to schools J48 0420 in Alexandria, Arlington, Fairfax, and Warren Counties. Desegregation J48 0430 can also result from additional suits brought by Negro plaintiffs J48 0440 against school boards in Newport News, Fairfax County, Arlington J48 0450 County, and Norfolk. As a school district, the has had desegregated schools since 1954, shortly J48 0470 after the Supreme Court decision. This recapitulation makes J48 0480 it clear that school desegregation continues, including the Old Dominion J48 0490 State, in spite of its stern resistance. The record is clear that J48 0500 increase in school desegregation last year came largely as a result J48 0510 of a court order; that on the immediate horizon, if further large-scale J48 0520 (relatively speaking) desegregation comes, it will result from court J48 0530 orders on suits filed in several Middle-South states. Knowledge J48 0540 that thousands of school districts are involved and observation that J48 0550 school desegregation has occurred in only a handful in 1959-1960 leads J48 0560 to a conclusion that desegregation-from-court-order is slow. J48 0570 Before turning to my views as to the problems and issues before us at J48 0580 this Regional Conference, I wish to note a small item in the Summary J48 0590 Report as it refers to the District of Columbia. That reference J48 0600 in the Report is "continuation of the trend toward an all-Negro J48 0610 school system", a remark apparently occasioned by the increase of Negro J48 0620 school population from 74.1 per cent to 76.7 per cent. I see no J48 0630 real prospects for an all-Negro school population. West of Rock Creek J48 0640 Park is still monolithically white and is in fact increasingly white J48 0650 as a result of Georgetown's conversion-by-renovation housing program. J48 0660 Nearby Foggy Bottom is ousting Negroes. The large acreage J48 0670 in the Southwest Redevelopment area beckons white people- what with J48 0680 high-priced town houses and elevator apartments. The Capitol Hill J48 0690 rehabilitation, like Foggy Bottom, replaces Negroes with whites (but J48 0700 also replaces some whites with other whites). The sharpest J48 0710 break with tradition, the past and present of "White Ring Around J48 0720 a Black Core", may come with the opening of nearby Montgomery County J48 0730 suburbs to Negro residents and, presumably, the consequent conclusion J48 0740 of some whites that they cannot escape the Negro by fleeing to J48 0750 the suburbs. In fact, short of fleeing to Warrenton, Virginia, or Rockville, J48 0760 Maryland, white people may have to live with Negroes. All J48 0770 of this must be taken into account before the image of an "all-Negro" J48 0780 D&C& public school system is conjured up. #PROBLEMS TO J48 0790 SOLVE# From the Summary Report before us at this Conference, a number J48 0800 of problems are apparent. They vex us and perplex us but generally J48 0810 do not divide us like the issues which follow the problems. J48 0820 First, how can we step up the desegregation movement? It is slow. J48 0830 I believe we all want more schools where white and Negro together J48 0840 can and do attend. I believe we all want no child denied admission to J48 0850 a school on account of his color. In general, members of ~NAIRO J48 0860 would certainly want a child admitted to a school nearest his residence J48 0870 or within his residence zone. How to achieve this objective is J48 0880 a problem, but we are not divided on what we want. Second, as J48 0890 we increase the number of desegregated school districts and schools themselves, J48 0900 how can we achieve this action through school board action? J48 0910 It may be county school board or state school board action, as well J48 0920 as that of municipal school boards. Correlatively, can we reduce the J48 0930 role of the district courts, so that the action is that of the people J48 0940 of the community or other school district and not that of the law court? J48 0950 This is a problem, and I believe there is little difference of J48 0960 opinion that wherever possible a local school board should devise and J48 0970 effect a plan of desegregation. Third, how can we insure a systematic J48 0980 and continuing group relations education in the schools? Not J48 0990 simply a brief program when the schools are actually desegregated but J48 1000 a continuing program that also promotes integration, that encourages J48 1010 the children and teachers not to look at each other as white or Negro, J48 1020 but as human beings. Again the problem is how to get it done and J48 1030 in what form to offer the group relations education; not whether it J48 1040 should be done. Fourth, in the segregated school system, during J48 1050 the period before desegregation, how can we assure equal opportunity? J48 1060 In fact, in the desegregated school system which may have a good J48 1070 many schools with all-Negro population, how can we assure equal opportunity? J48 1080 This is a problem, but we are not divided over its importance J48 1090 or by its existence. Fifth, in the segregated school system J48 1100 or in the all-Negro or all-white schools, how can we encourage better J48 1110 group relations or an improved attitude toward people who do not belong J48 1120 to the group? Can we help children adjust to "images of other J48 1130 children" when the latter are not actually present. #NOW, THE ISSUES# J48 1140 If we have five problems whose solution we seek in relatively J48 1150 united fashion, then there are twice as many issues which, I judge, sharply J48 1160 divide us, intergroup relations practitioners and lay people. _ISSUE J48 1170 NO& 1. PUPIL ASSIGNMENT._ Since on the one hand school J48 1180 desegregation J48 1190 has come in Virginia hand-in-glove with pupil assignment, shall J48 1200 we support the plan? On the basis of pupil assignment criteria, J48 1210 Judge Albert Bryan has assigned Negro children to formerly white J48 1220 schools in Arlington and Alexandria, Virginia. Shall we support pupil J48 1230 assignment? On the other hand, looking at the larger picture, J48 1240 is it true that pupil assignment has effectively cut off, blocked, or J48 1250 reduced school desegregation to a "trickle"? Shall we therefore J48 1260 oppose the plan? This question is an issue because it likely divides J48 1270 us into two camps- those for or against pupil assignment. _ISSUE J48 1280 NO& 2. J48 1290 TEACHER ASSIGNMENT IN ORDER TO DESEGREGATE._ In large cities J48 1300 like Baltimore, Louisville, and Washington, D&C&, should school J48 1310 desegregation be extended to all-Negro and all-white schools by J48 1320 assigning white and Negro teachers, respectively? On the one hand J48 1330 do we argue the Supreme Court decision required only that a J48 1340 not be denied admission to a school on account of his race? Or should J48 1350 we argue that if we want adjustment of children to children of different J48 1360 races and that that is impossible in an all-something-or-the-other J48 1370 school, we must at least provide him some opportunity to adjust J48 1380 to people of another race within the school namely, to a teacher of another J48 1390 race. We can argue that where residence makes pupil desegregation J48 1400 impossible teacher assignment can create a partially desegregated J48 1410 situation. _ISSUE NO& 3. J48 1420 THE PLAINTIFF IN SCHOOL DESEGREGATION CASES._ J48 1430 The earlier part of my statement deals with the court orders that J48 1440 resulted in desegregation. In each instance the plaintiff was a private J48 1450 citizen. In thousands of school districts, indeed, in the entire J48 1460 State of Mississippi, no plaintiff has come forth. And I have established J48 1470 that the action of municipal, county, or state school boards J48 1480 or boards of education is small, infinitesimally small in comparison J48 1490 with the number of districts. Is the requirement that the plaintiff be J48 1500 a person actually denied admission to a school a sound requirement? J48 1510 Should Congress authorize the Attorney General to file suit to accomplish J48 1520 admission of a child to a school to which he is denied entrance? J48 1530 Even though in civil rights legislation in 1957 and 1960 the provision J48 1540 for the Attorney General to act was eliminated, should we J48 1550 nevertheless J48 1560 support such a clause? This is an issue, for it divides J48 1570 people rather sharply. _ISSUE NO& 4. WITHHOLDING OF FUNDS TO J48 1580 SCHOOLS J48 1590 THAT DENY CHILDREN ON ACCOUNT OF RACE._ This is the Powell Amendment, J48 1600 which in 1957 divided even a "liberal" group like the American J48 1610 Veterans Committee (~AVC). Should we support a clause in Federal J48 1620 school construction or school assistance legislation that would J48 1630 deny Federal funds to a school district that denies admission to a J48 1640 child on account of his race? This is softer than earlier Powell amendments J48 1650 which would have denied funds to all segregated school districts. J48 1660 There is nonetheless considerable argument against the clause, J48 1670 softened though it be, on the grounds that Federal aid is so necessary J48 1680 to the public schools. The Federal funds limitation enlists the support J48 1690 of many, the opposition of quite a few. _ISSUE NO& 5. J48 1700 REQUIRED J48 1710 PUBLIC EDUCATION._ Should a political subdivision, state or county J48 1720 or municipality, be required to furnish public education? For the J48 1730 school year, 1959-1960, the Prince Edward County (Virginia) Board J48 1740 of Supervisors voted not to provide funds for public education, and J48 1750 the school board therefore could provide no public education- for white J48 1760 or Negro children. Is public education in this American democracy J48 1770 of such importance that no child should be denied public education? J48 1780 Or is this subject a matter of self-determination, a matter of states J48 1790 rights or county rights? If people don't want to provide public J48 1800 education, should they be forced to do so? Even if we marshal substantial J48 1810 agreement behind mandatory public education, we likely cannot J48 1820 expect that all the states will enact the legislation. Should the J48 1830 requirement, which must therefore be Federal in nature, be legislated J48 1840 by the United States Congress? Or must it become law by amendment J48 1850 of the United States Constitution? We actually have two issues J48 1860 in this question- goal and method. _ISSUE NO& 6. FEDERAL J48 1870 RESPONSIBILITY J48 1880 FOR EDUCATION OF THE CITIZENS._ If the above issue is settled J48 1890 by requiring public education for all citizens, Issue No& 6 may J48 1900 be moot. If, on the other hand, it is not settled, or while it is being J48 1910 debated and resolved, does the Federal government have a responsibility J48 1920 in situations like that in Prince Edward County? Nearly J48 1930 half the children still receive no education. Must or should the Federal J48 1940 government help? Should the government directly provide education J48 1950 for the children who want public education? J49 0010 The next question is whether board members favor their own social J49 0020 classes in their roles as educational policy-makers. On the whole, J49 0030 it appears that they do not favor their own social classes in an explicit J49 0040 way. Seldom is there an issue in which class lines can be clearly J49 0050 drawn. A hypothetical issue of this sort might deal with the establishment J49 0060 of a free public junior college in a community where there already J49 0070 was a good private college which served the middle-class youth adequately J49 0080 but was too expensive for working-class youth. In situations J49 0090 of this sort the board generally favors the expansion of free education. J49 0100 Campbell studied the records of 172 school board members in twelve J49 0110 western cities over the period of 1931-40 and found "little or no J49 0120 relationship between certain social and economic factors and school J49 0130 board competence", as judged by a panel of professional educators who J49 0140 studied the voting records on educational issues. The few cases J49 0150 of clear favoritism along social-class lines are as likely as not J49 0160 to involve representatives of the working class on the school board who J49 0170 favor some such practice as higher wages for janitors rather than pay J49 0180 increases for teachers, and such issues are not issues of educational J49 0190 policy. In general, it appears that trustees and board members J49 0200 attempt to represent the public interest in their administration of J49 0210 educational policy, and this is made easier by the fact that the dominant J49 0220 values of the society are middle-class values, which are generally J49 0221 thought J49 0230 to be valid for the entire society. There have been very few cases J49 0240 of explicit conflict of interest between the middle class and any J49 0250 other class in the field of educational policy. If there were more such J49 0260 cases, it would be easier to answer the question whether the policy-makers J49 0270 favor their own social classes. There is currently a major J49 0280 controversy of public education in which group interests and values J49 0290 are heavily engaged. This is the issue of segregated schools in the J49 0300 South. In this case it is primarily a matter of conflict of racial J49 0310 groups rather than social-class groups. Thus, the white middle and J49 0320 lower classes are arrayed against the Negro middle and lower classes. J49 0330 This conflict may be resolved in a way which will suit white middle-class J49 0340 people better than it suits white lower-class people. If this happens, J49 0350 there may be some class conflict in the South, with school boards J49 0360 and school teachers taking the middle-class position. #THE EDUCATIONAL J49 0370 PROFESSION# The members of the educational profession have J49 0380 a major voice in the determination of educational policy, their position J49 0390 being strongest in the universities. They are mostly upper-middle- J49 0400 and lower-middle-class people, with a few in the upper class. Do they J49 0410 make class-biased decisions? In a society dominated by middle-class J49 0420 values and working in an institution which transmits and strengthens J49 0430 these social values, it is clear that the educational profession J49 0440 must work for the values which are characteristic of the society. J49 0450 There is no problem here. The problem arises, if it does arise, when J49 0460 the educator has to make a choice or a decision within the area of his J49 0470 professional competence, but which bears some relation to the social J49 0480 structure. For instance, in giving school grades or in making recommendations J49 0490 for the award of a college scholarship, does he consciously J49 0500 or unconsciously favor students of one or another social class? Again, J49 0510 in deciding on the content and method of his teaching, does he favor J49 0520 a curriculum which will make his students stronger competitors in the J49 0530 race for higher economic status, or does he favor a curriculum which J49 0540 strengthens students in other ways? The answers to questions J49 0550 such as these certainly depend to some extent upon the educator's J49 0560 own social-class position and also upon his social history, as well as J49 0570 upon his personality and what he conceives his mission to be as an educator. J49 0580 In a set of case studies of teachers with various social-class J49 0590 backgrounds, Wattenberg illustrates a variety of approaches to students J49 0600 and to teaching which depend upon the teacher's personality as J49 0610 well as on his social-class background. One upward-mobile teacher may J49 0620 be a hard taskmaster for lower-class pupils because she wants them to J49 0630 develop the attitudes and skills that will enable them to climb, while J49 0640 another upward-mobile teacher may be a very permissive person with J49 0650 lower-class pupils because he knows their disadvantages and deprivations J49 0660 at home, and he hopes to encourage them by friendly treatment. J49 0670 One social-class factor which plays a large part in educational policy J49 0680 today is the fact that a great many school and college teachers are J49 0690 upward mobile from urban lower-class and lower-middle-class families. J49 0700 Their own experience in the social system influences their work and J49 0710 attitudes as teachers. While this influence is a complex matter, depending J49 0720 upon personality factors in the individual as well as upon his J49 0730 social-class experience, there probably are some general statements about J49 0740 social-class background and educational policy that can be made with J49 0750 a fair degree of truth. Teachers who have been upward mobile J49 0760 probably see education as most valuable for their students if it serves J49 0770 students as it has served them; that is, they are likely to favor J49 0780 a kind of education that has vocational-advancement value. This does J49 0790 not necessarily J49 0800 mean that such teachers will favor vocational education, J49 0810 as contrasted with liberal education, but they are likely to favor J49 0820 an approach to liberal education which has a maximal vocational-advancement J49 0830 value, as against a kind of "pure" liberal education that J49 0840 is not designed to help people get better jobs. There is no doubt J49 0850 that higher education since World War /2, has moved away from J49 0860 "pure" liberal education toward greater emphasis on technology and J49 0870 specialization. There are several causes for this, one being rapid economic J49 0880 development with increasing numbers of middle-class positions J49 0890 requiring engineering or scientific training. But another cause may J49 0900 lie in the experience of so many new postwar faculty members with their J49 0910 own use of education as a means of social advancement. Compared J49 0920 with the college and university faculty members of the period from J49 0930 1900 to 1930, the new postwar faculty members consist of more children J49 0931 of immigrants and more children J49 0940 of urban working-class fathers. Their experience is quite in contrast J49 0950 with that of children of upper- and upper-middle-class native-born J49 0960 parents, who are more likely to regard education as good for its own J49 0970 sake and to discount the vocational emphases in the curriculum. #THE J49 0980 "PUBLIC INTEREST" GROUPS# Educational policies are formed by J49 0990 several groups who are officially or unofficially appointed to act in J49 1000 the public interest. Legislators are one such group, and state legislators J49 1010 have major responsibility for educational legislation. They generally J49 1020 vote so as to serve their own constituency, and if the constituency J49 1030 should be solidly middle class or solidly lower class, they might J49 1040 be expected to vote and work for middle- or for lower-class interests J49 1050 in education. However, there are relatively few such political constituencies, J49 1060 and, as has been pointed out, there is seldom a clear-cut distinction J49 1070 between the educational interests of one social class and those J49 1080 of another. Another public interest group is the commission J49 1090 of laymen or educators which is appointed to study an educational problem J49 1100 and to make recommendations. Generally these commissions work J49 1110 earnestly to represent the interest of the entire society, as they conceive J49 1120 it. Nevertheless, their conclusions and recommendations cannot J49 1130 please everybody, and they often represent a particular economic or political J49 1140 point of view. For instance, there have been two Presidential J49 1150 Commissions on higher education since World War /2,. President J49 1160 Truman's Commission on Higher Education tended to take a liberal, J49 1170 expansionist position, while President Eisenhower's Committee J49 1180 on Education Beyond the High School was slightly more conservative. J49 1190 Both Commissions consisted of upper-middle- and upper-class people, J49 1200 who attempted to act in the public interest. An example of a J49 1210 more definite class bias is noted in proceedings of the Commission on J49 1220 the Financing of Higher Education sponsored by the Association of J49 1230 American Universities and supported by the Rockefeller Foundation J49 1240 and the Carnegie Corporation. This Commission recommended against J49 1250 the use of federal government funds for the assistance of private universities J49 1260 and against a broad program of government-supported scholarships. J49 1270 This might be said to be an upper- or an upper-middle-class bias, J49 1280 but the Commission published as one of its staff studies a book by J49 1290 Byron S& Hollingshead entitled J49 1300 which recommended a federal government scholarship program. Furthermore, J49 1310 the Commission set up the Council for Financial Aid to Education J49 1320 as a means of encouraging private business to increase its support J49 1330 of private higher education. Thus, the Commission acted with a J49 1340 sense of social responsibility within the area of its own convictions J49 1350 about the problem of government support to private education. Then J49 1360 there are the trustees and officers of the great educational foundations, J49 1370 who inevitably exert an influence on educational decisions by J49 1380 their support or refusal to support various educational programs, experiments, J49 1390 and demonstrations. These people are practically always upper- J49 1400 or upper-middle-class persons, who attempt to act in what they regard J49 1410 as the interest of the entire society. Finally there are J49 1420 the parent organizations and the laymen's organizations such as the J49 1430 National Association of Parents and Teachers, and the Citizens Committee J49 1440 on Public Schools. These have an upper-middle-class leadership J49 1450 and a middle-class membership, with rare exceptions, where working-class J49 1460 parents are active in local P&-T&A& matters. Like J49 1461 the J49 1470 other policy-making groups, these are middle class in their educational J49 1480 attitudes, and they attempt to act in the general public interest, J49 1490 as they see it. In general it appears that educational decisions J49 1500 and educational policies are made by people who intend to act in the J49 1510 interests of the society as a whole. They are predominantly middle- J49 1520 and upper-class people, and undoubtedly share the values and attitudes J49 1530 of those classes. They may be unaware of the existence of lower-class J49 1540 values and consequently fail to take them into account. But there J49 1550 is very little frank and conscious espousal of the interests of any one J49 1560 social class by the people who have the power to make decisions in education. J49 1570 They think of themselves as trustees for the entire society J49 1580 and try to serve the entire society. #ATTEMPTS TO INFLUENCE SOCIAL J49 1590 STRUCTURE THROUGH EDUCATION# Educational policy in the United States J49 1600 has as an explicit goal the maximization of economic and cultural J49 1610 opportunity. J49 1620 In so far as this goal is achieved, the society becomes more J49 1630 fluid, artificial barriers to social mobility are reduced, and people J49 1640 at the lower end of the social hierarchy share more fully in the J49 1641 material J49 1650 and cultural goods of society. On the other hand, there is a counterbalancing J49 1660 purpose in education which is to pass on the advantages J49 1670 of the parents to their children. This leads to efforts at exclusiveness J49 1690 through private schools and to the maintenance of social stratification J49 1700 in the schools. Both of these purposes exist side by side without much J49 1710 overt conflict under present conditions. #MAXIMIZING ECONOMIC AND J49 1720 CULTURAL OPPORTUNITY# The broad expansion of free education results J49 1730 both in raising the average economic and cultural level of the society J49 1740 and in promoting fluidity within the social structure. Fifty years J49 1750 ago the general raising of the school-leaving age to sixteen was an J49 1760 example of this movement. During the past decade the program has been J49 1770 carried on through expansion of free higher education in state universities, J49 1780 state colleges, and community colleges. The reaffirmation of J49 1790 American faith in the comprehensive high school, as expressed in the J49 1800 Conant study, is another indication of the liveliness of the ideal of J49 1810 maximizing opportunity through the equalizing of educational opportunity. J49 1820 The recent federal government's student-loan program is J49 1830 another step in the direction of making higher education more available J49 1840 to lower-status youth. It is probably more effective than the expanded J49 1850 scholarship programs of the past decade, because the scholarship programs J49 1860 mainly aided the students with the best academic records (who J49 1870 were usually middle-class), and these students tended to use the scholarship J49 1880 funds to go to more expensive colleges. Meanwhile, the private J49 1890 colleges have increased their tuition rates so much that they have raised J49 1900 an economic barrier which dwarfs their scholarship funds. The gains J49 1910 in educational opportunity during the past decade have taken place J49 1920 largely in the publicly supported institutions. J50 0010 Unfortunately, however, and for reasons to be discussed in the J50 0020 following chapter, no rate relationships can be made completely nondiscriminatory J50 0030 as long as all or some of the rates must be set above marginal J50 0040 costs in order to yield adequate revenues. And this fact may explain J50 0050 some of the disagreements among the experts as to the more rational J50 0060 formulas for the apportionment of total costs among different units J50 0070 of service. One such disagreement, which will receive attention in J50 0080 this next chapter, concerns the question whether rates for different kinds J50 0090 of service, in order to avoid the attribute of discrimination, must J50 0100 be made directly to marginal costs, or whether they J50 0110 should be based instead on in marginal costs. Here, J50 0120 the choice is that between the horns of a dilemma. #TWO MAJOR TYPES J50 0130 OF FULLY DISTRIBUTED COST ANALYSIS# _1. THE DOUBLE-STEP TYPE_ J50 0140 Despite J50 0150 an ambiguity due to its failure clearly to define "relative costs", J50 0160 the above exposition of fully distributed costing goes about as J50 0170 far as one can go toward expressing the basic philosophy of the practice. J50 0180 For more explicit expositions, one must distinguish different types J50 0190 of analyses. By all means the most important distinction is that J50 0200 between those total-cost apportionments which superimpose a distribution J50 0210 of admittedly unallocable cost residues on estimates of incremental J50 0220 or marginal costs, and those other apportionments which recognize no J50 0230 difference between true cost allocation and mere total-cost distribution. J50 0240 The first, or double-step, type might also be called the "railroad J50 0250 type" because of its application to railroads (and other J50 0260 transportation agencies) by the Cost Section of the Interstate Commerce J50 0270 Commission. The Cost Section distinguishes between (directly) J50 0280 variable costs and constant costs in a manner noted in the preceding J50 0290 chapter. The variable costs alone are assigned to the different units J50 0300 of freight traffic as representing "long-run out-of-pocket costs"- J50 0310 a term with a meaning here not distinctly different from that of J50 0320 the economist's "long-run marginal costs". There remains a residue J50 0330 of total costs, or total "revenue requirements" which, since J50 0340 it is found to behave as if it were constant over substantial variations J50 0350 in traffic density, is strictly unallocable on a cost-finding basis. J50 0360 Nevertheless, because the Cost Section has felt impelled to make J50 0370 some kind of a distribution of total costs, it has apportioned this residue, J50 0380 which it sometimes calls "burden", among the units of carload J50 0390 traffic on a basis (partly ton, partly ton-mile) which is concededly J50 0400 quite arbitrary from the standpoint of cost determination. In recent J50 0410 years, this burden (which includes allowances for revenue deficiencies J50 0420 in the passenger business and in less-than-carload freight traffic!) J50 0430 has amounted to about one third of those total revenue requirements J50 0440 which the carload freight business is supposed to be called upon to J50 0450 meet. Since this book is concerned only incidentally with railroad J50 0460 rates, it will not attempt to analyze the methods by which the staff J50 0470 of the Interstate Commerce Commission has estimated out-of-pocket J50 0480 costs and apportioned residue costs. Suffice it to say that the usefulness J50 0490 of the latter apportionment is questionable. But in any event, J50 0500 full credit should be given to the Cost Section for its express and J50 0510 overt recognition of a vital distinction too often ignored in utility-cost J50 0520 analyses: namely, that between a cost allocation designed to J50 0530 reflect the actual behavior of costs in response to changes in rates J50 0540 of output of different classes of utility service; and a mere cost apportionment J50 0550 which somehow spreads among the classes and units of service J50 0560 even those costs that are strictly unallocable from the standpoint J50 0570 of specific cost determination. _2. THE SINGLE-STEP TYPE_ We turn J50 0580 now to a type of fully distributed cost analysis which, unlike the "railroad J50 0590 type", draws no distinction between cost allocation and cost J50 0600 apportionment: the single-step type. It might be called the "public J50 0610 utility" type because of the considerable use to which it has J50 0620 been put in gas and electric utility rate cases. Here no attempt is J50 0630 made, first to determine out-of-pocket or marginal costs and then to superimpose J50 0640 on these costs "reasonably distributed" residues of total J50 0650 costs. Instead, all of the total costs are treated as variable costs, J50 0660 although these costs are divided into costs that are deemed to be J50 0670 functions of different variables. Moreover, whereas in Interstate Commerce J50 0680 Commission parlance "variable cost" means a cost deemed to J50 0690 vary in proportion to changes in rate of output, in the type J50 0700 of analysis now under review "variable cost" has been used more J50 0710 broadly, so as to cover costs which, while a function of some one variable J50 0720 (such as output of energy, or number of customers), are not necessarily J50 0730 a function. As already noted in an earlier J50 0740 paragraph, the more familiar cost analyses of utility enterprises or J50 0750 utility systems divide the total costs among a number of major classes J50 0760 of service, such as residential, commercial, industrial power, street J50 0770 lighting, etc&. This "grand division" permits many costs to be J50 0780 assigned in their entirety to some one class, such as street lighting, J50 0790 or at least to be excluded completely from some important class or classes. J50 0800 High-tension industrial power service, for example, would not J50 0810 be charged with any share of the maintenance costs or capital costs of J50 0820 the low-tension distribution lines. But the major portions of the total J50 0830 costs of a utility business are common or joint to all, or nearly J50 0840 all, classes of customers; and these costs must somehow be apportioned J50 0850 among the various classes and then must somehow be reapportioned among J50 0860 the units of service in order to report unit costs than can serve J50 0870 as tentative measures of reasonable rates. The general basis on J50 0880 which these common costs are assigned to differently measured units J50 0890 of service will be illustrated by the following highly simplified problem J50 0900 of an electric-utility cost analysis. But before turning to this J50 0910 example, we must distinguish two subtypes of analysis, both of which belong J50 0920 to the single-step type rather than to the double-step type. J50 0930 In the first subtype, the analyst (following the practice of railroad J50 0940 analysis in this particular respect) distributes both total operating J50 0950 costs and total annual capital costs (including an allowance for J50 0960 "cost of capital" or "fair rate of return") among the different J50 0970 classes and units of service. Here, an apportionment, say, of $5,000,000 J50 0980 of the total costs to residential service as a class would include J50 0990 an allowance of perhaps 6 per cent as the cost of whatever capital J50 1000 is deemed to have been devoted to the service of the residential consumers. J50 1010 But in the second subtype, which I take to be the one J50 1020 more frequently applied, only the operating expenses and not the "cost J50 1030 of capital" or "fair return" are apportioned directly among the J50 1040 various classes of service. To be sure, the capital investments in J50 1050 (or, alternatively, the estimated "fair values" of) the plant and J50 1060 equipment are apportioned among the different classes, as are also the J50 1070 gross revenues received from the sales of the different services. But J50 1080 any resulting excess of revenues received from a given class of service J50 1090 over the operating costs imputed to this class is reported as a "return" J50 1100 realized on the capital investment attributed to the same J50 1110 service. Thus, during any given year (a) if the revenues from the residential J50 1120 service are $7,000,000, (b) if the operating expenses imputed J50 1130 to this class of service come to $5,000,000, and (c) if the net investment J50 1140 in (or value of) the plant and equipment deemed devoted to this J50 1150 service amounts to $30,000,000, the cost analyst will report that residential J50 1160 service, in the aggregate, has yielded a return of $2,000,000 J50 1170 or 6-2/3 per cent. Other services will show different rates of return, J50 1180 some probably much lower and some higher. There are obvious J50 1190 reasons of convenience for this practice of excluding "cost of capital" J50 1200 from the direct apportionment of annual costs among the different J50 1210 classes of service- notably, the avoidance of the controversial question J50 1220 what rate of return should be held to constitute "cost of capital" J50 1230 or "fair rate of return". But the practice is likely to be J50 1240 misleading, since it may seem to support a conclusion that, as long J50 1250 as the revenues from any class of service cover the imputed operating J50 1260 expenses plus return on capital investment, however low, the J50 1270 rates of charge for this service are compensatory. Needless to say, any J50 1280 such inference would be quite unwarranted. For the reason just J50 1290 suggested, I shall assume the use of the first subtype of fully distributed J50 1300 cost apportionment in the following simplified example. That J50 1310 is to say, an allowance for "cost of capital" will be assumed to J50 1320 be included directly in the cost apportionment. #THREE-PART ANALYSIS J50 1330 OF THE COSTS OF AN ELECTRIC UTILITY BUSINESS# In order to simplify J50 1340 the exposition of a typical fully apportioned cost analysis, let us J50 1350 assume the application of the analysis to an electric utility company J50 1360 supplying a single city with power generated by its own steam-generation J50 1370 plant. Let us also assume the existence of only one class or type J50 1380 of service, all of which is supplied at the same voltage, phase, etc& J50 1390 to residential, commercial, and industrial customers. This latter J50 1400 assumption will permit us to center attention on the most controversial J50 1410 aspect of modern public utility cost analysis- the distinction among J50 1420 costs that are functions of outputs of the same service measured along J50 1430 different dimensions. Since the company under review is supplying J50 1440 what we are here regarding as only one kind of service, we might J50 1450 suppose that the problem of total cost apportionment would be very J50 1460 simple; indeed, that it would be limited to a finding of the total annual J50 1470 operating and capital costs of the business, followed by a calculation J50 1480 of this total in terms of annual cost per kilowatt-hour of consumption. J50 1490 In fact, however, the problem is not so simple. For a statement J50 1500 of costs per kilowatt-hour would ignore the fact that many of these J50 1510 costs are not a function of kilowatt-hour output (or consumption) of J50 1520 energy. A recognition of multiple cost functions is therefore required. J50 1530 The simplest division, and the one most frequently used (with J50 1540 subdivisions) in gas and electric rate cases, is a threefold division J50 1550 of the total operating and capital costs into "customer costs", J50 1560 "energy" or "volumetric costs", and "demand" or "capacity" J50 1570 costs. If this threefold division of costs were to have its counterpart J50 1580 in the actual rates of charge for service, as it actually does J50 1590 have in some rates, there would result a three-part rate for any one J50 1600 class of service. For example, the monthly bill of a residential J50 1610 consumer might be the sum of a $1 customer charge, a $5 charge for 250 J50 1620 kilowatt-hours of energy at 2@ per kilowatt-hour, and a $2 charge for J50 1630 a maximum demand of 2 kilowatts during the month at the rate of $1 J50 1640 per kilowatt- a total bill of $8 for that month. But our present interest J50 1650 lies in the measurement of costs of service, and only indirectly J50 1660 in rates that may or may not be designed to cover these costs. Let J50 1670 us therefore consider each of the three types of cost in turn, recognizing J50 1680 that this simplified classification is used only for illustrative J50 1690 purposes; costs actually vary in much more complex ways. _1. THE J50 1700 CUSTOMER COSTS_ These are those operating and capital costs found to J50 1710 vary with number of customers regardless, or almost regardless, of power J50 1720 consumption. Included as a minimum are the costs of metering and J50 1730 billing along with whatever other expenses the company must incur in J50 1740 taking on another consumer. These minimum costs may come to $1 per month, J50 1750 more or less, for residential and small commercial customers, although J50 1760 they are substantially higher for large industrial users, who require J50 1770 more costly connections and metering devices. While costs on this J50 1780 order are sometimes separately charged for in residential and commercial J50 1790 rates, in the form of a mere "service charge", they are more J50 1800 frequently wholly or partly covered by a minimum charge which entitles J50 1810 the consumer to a very small amount of gas or electricity with no further J50 1820 payment. But the really controversial aspect of customer-cost J50 1830 imputation arises because of the cost analyst's frequent practice J50 1840 of including, not just those costs that can be definitely earmarked J50 1850 as incurred for the benefit of specific customers but also a substantial J50 1860 fraction of the annual maintenance and capital costs of the secondary J50 1870 (low-voltage) distribution system- a fraction equal to the estimated J50 1880 annual costs of a hypothetical system of minimum capacity. J51 0010 The preconditions of sociology have remained largely unexamined J51 0020 by the sociologist. Like primitive numbers in mathematics, the entire J51 0030 axiological framework is taken to rest upon its operational worth. J51 0040 But what is the operational worth of a sociology which mimetically reproduces J51 0050 the idea of physical models? Is it not the task of philosophy J51 0060 to see what intelligible meaning can be assigned to the most sacred J51 0070 canons in social science? It has become painfully clear that the J51 0080 very attempt to make the language of social research free of values by J51 0090 erecting mathematical and physical models, is itself a conditioned response J51 0100 to a world which pays a premium price for technological manipulation. J51 0110 This push to confine the study of mass behaviour to the J51 0120 measurements of parameters involved in differential equations has led J51 0130 sociology perilously close to the reduction of the word "mass" to J51 0140 mean a small group in which certain relations between all pairs of individuals J51 0150 in such a group can be studied. (Cf& Rapoport, 1959: J51 0160 ch& 11.) Here I think the role of the philosopher becomes apparent. J51 0170 The simple pragmatic success of the sociology of small groups needs J51 0180 to be questioned. For if the small group notion involves the implicit J51 0190 claim that the phenomena of sociological investigations are of atomic J51 0200 or subatomic proportions, the philosopher needs to know the extent to J51 0210 which such entities are valid. The mere exploration of the unconscious J51 0220 ground of present-day sociology offers a rich vein of philosophical J51 0230 and logical investigation. (Cf& Brodbeck, 1959: Ch& 12.) J51 0240 A parallel function for philosophy is the study of the relation J51 0250 between perceptions experientially received and conceptions logically J51 0260 formed. Philosophy can supply adequate criteria of meaning in the selection J51 0270 of socially viable categories. This involves a sifting of the J51 0280 empirical and rational elements entering into each social science statement. J51 0290 Merton's functional sociology may have great practical use in J51 0300 the study of different cultures, yet it is perfectly clear as Nagel J51 0310 (1957:247-83) and Hempel (1959:271-307) indicate, that the concept J51 0320 of function in sociology has been built up from physiological and biological J51 0330 models, in which the notions of teleology, i&e&, metaphysical J51 0340 purpose, are central. (Cf& Chapter /9,.) Functionalism as J51 0350 a sociological credo is, therefore, not a direct consequence of observations, J51 0360 but rather an indirect consequence of philosophical inference J51 0370 and judgment. The purpose of this sort of philosophical study J51 0380 of sociology is not to tyrannize but to clarify the principles of social J51 0390 science. It is absurd to speak of philosophy as a superior enterprise J51 0400 to sociology, since the former is a logical, rational discipline, J51 0410 where sociology is essentially descriptive and empirical. Such a position J51 0420 entails the negation of philosophy in its Platonic form as something J51 0430 soaring above and embracing the empirical and mathematical sciences. J51 0440 But contrary to Whitehead, philosophy is not a synonym for Plato. J51 0450 The uses of philosophy as a logical clearing house are manifest to J51 0460 any approach that does not descend to pure sensationalism. However, J51 0470 when philosophy attempts to stand above the sciences, to dictate the J51 0475 conditions of empirical research, J51 0480 it becomes formal metaphysics; shaping J51 0490 the contours of life to fit the needs of legends. The notion of philosophy J51 0500 as Queen Bee may fit well with authoritarian modes of political J51 0510 ideology, but it has been noted that the price of such an imperial J51 0520 notion of philosophy is the frustration and flagellation of the social J51 0530 sciences. (Cf& Wetter, 1952: Pt& /2, Ch& 5; Horowitz J51 0540 1957b&.) Metaphysics is no longer a direct grappling with J51 0550 nature as it was in antiquity. It has surrendered any claims of description J51 0560 in favor of psychological accounts of nothingness, as in Heidegger's J51 0570 system (1929). Science is mocked for wishing to know nothing J51 0580 of Nothing, in a last ditch effort to save the gods at the expense J51 0590 of men. It is not positivism which has isolated metaphysics from reality J51 0600 by distinguishing between description and prescription. It is J51 0610 simply revealing the state to which metaphysical thinking has fallen during J51 0620 this century. Consider the traditional "four fields" J51 0630 of philosophy: logic, ethics, epistemology and esthetics. It is a J51 0640 commonplace that to the degree these special preserves of past philosophic J51 0650 hunting grounds establish an empirical content and suitable methodological J51 0660 criteria, they move away from philosophy as such. What is left J51 0670 to traditional systems of philosophy is, in effect, only the history J51 0680 of these fields prior to their becoming rigorous enough to abide by J51 0690 the canons of scientific method. In this situation, philosophy has survived J51 0700 by separating itself from metaphysics, by showing the ultimate J51 0710 questions to be the meaningless questions. The relinquishing J51 0720 by philosophy of pretentious claims to empirical priority gives it an J51 0730 ability to treat problems of meaning and truth which in the past it was J51 0740 unable to examine because of its missionary attitude to knowledge of J51 0750 more humble sorts. In the new situation, philosophy is able to provide J51 0760 the social sciences with the same guidance that mathematics offers J51 0770 the physical sciences, a reservoir of logical relations that can be used J51 0780 in framing hypotheses having explanatory and predictive value. Beyond J51 0790 this, philosophy may urge the social sciences forward by asking the J51 0800 type of question that falls outside the present scope of social inquiry, J51 0810 but within its potential domain of relevance. In this connection, J51 0820 it might be noted that the theory of games was a mathematical discovery J51 0830 long before its uses in political science were exploited. Likewise, J51 0840 Kant formulated the nebular hypothesis, according to which the solar J51 0850 system was evolved from a rotating mass of incandescent gas, nearly J51 0860 a half century before its scientific value was made plain by Laplace J51 0870 in his . This does not mean that philosophy resolves J51 0880 the problems it generates, any more so than Riemann's geometry J51 0890 settled the physical status of the space-time continuum. But the forceful J51 0900 presentation of new issues for the sciences to work on is itself J51 0910 a monumental task. To those raised on Marcel's J51 0920 and Heidegger's , this may seem a modest J51 0930 role for philosophy. However, modesty and triviality are different qualities. J51 0940 Philosophy conceived of as servant to the sciences might appear J51 0950 as less dramatic than philosophy which jeers as the sciences evolve. J51 0960 The ceaseless effort to understand and measure the distance mankind J51 0970 has traversed since its primitive anthropological status offers a J51 0980 more durable sort of drama. By clarifying fundamental premises in the J51 0990 social sciences, and defining the logical problems emergent at the borderlands J51 1000 of each new scientific discipline, philosophy can offer the J51 1010 sort of distinction that can accelerate growth in human understanding. J51 1020 Philosophy can prevent the working scientist from becoming slothful J51 1030 and self-content by noting the assumptions and level at which a hypothesis J51 1040 or theory is framed. The dissection of scientific theory, the examination J51 1050 of a theory from the vantage-points of language, epistemology, J51 1060 and ethics, is itself a distinct contribution to knowledge, no less J51 1070 so because of its removal from empirical research. The realm J51 1080 of science, whatever the degree of precision in formulations, covers J51 1090 the range of prediction and explanation. (Cf& Hempel and Oppenheim, J51 1100 1948:135-75.) Whatever philosophy is conceived to be, its rationalist, J51 1110 logistic attitude to evidence should make it clear that it is J51 1120 something other than science. For some forms of philosophy, this very J51 1130 division between the empirical and the rational becomes a sign of the J51 1140 metaphysical superiority of the latter. Bergson and Leroy announce J51 1150 that "the secret is the center of a philosophy" and thereafter a J51 1160 hundred followers declare secrecy a higher verity. This is simply a J51 1170 confession of intellectual sterility spruced up to look virtuous. For J51 1180 as Merleau-Ponty indicated (1953), it is not the secret which is important, J51 1190 but the removal of secrecy. In this, philosophy and science J51 1200 share a common goal. The hypostatization of the secret nonetheless guarantees J51 1210 that the division of analytical and synthetic philosophies shall J51 1220 not be overcome by even the most persuasive argument; for this J51 1230 division is but an abstract representation of the social struggle between J51 1240 mysticism and science. The mystification of metaphysical systems J51 1250 does not imply the demise of philosophy, only the close of a philosophic J51 1260 age which demanded metaphysics to be rational and logical. The J51 1270 tenacity with which present metaphysical attitudes fetishize private J51 1280 intuition offers the strongest evidence that the gulf between scientific J51 1290 and delphic ways of philosophizing is built into the present conflict J51 1300 over the limits and purpose of science, religion and ideology. (Cf& J51 1310 McGlynn: 1958.) Scientific systems, and this includes even J51 1320 the relation of mechanist to relativist physics, are built upon, refined J51 1330 and corrected. Philosophic systems, by the very nature of their completeness, J51 1340 are overthrown by rival systems. In addition to the incompleteness J51 1350 of science and the completeness of metaphysics, they differ J51 1360 in that science is essentially descriptive, while philosophy in its inherited J51 1370 forms, tends to be goal-oriented, teleological and prescriptive. J51 1380 The threadbare notion that belief, unlike behaviour, is not subject J51 1390 to objective analysis, has placed intuitive metaphysics squarely against J51 1400 the sociology of knowledge, since it is precisely the job of the J51 1410 sociology of knowledge to treat beliefs as social facts no less viable J51 1420 than social behaviour. When dealing with the actual relation J51 1430 of philosophy to the sociology of knowledge, or better the role of philosophy J51 1440 in assisting research on the social sources of ideas, one has J51 1450 to become necessarily selective. Certain features we have touched upon: J51 1460 philosophy as a logical, deductive system from which a social science J51 1470 methodology can be built up; philosophic analysis of the assumptions J51 1480 and presumptions of the social sciences; and philosophy as a J51 1490 guide to possible integration of supposedly disparate sociological J51 1495 investigations. J51 1500 The objection will be raised that the most important J51 1510 role of philosophy in relation to social science has been omitted, J51 1520 namely the status of ultimate value questions and norms operative in J51 1530 the social sciences. Specifically, it will be asked whether the "real" J51 1540 questions people ask are not the "ultimate" questions that J51 1550 social science finds itself impotent in the face of. What then is the J51 1560 status of such questions as: is society the ground of human existence J51 1570 or a means to an individual goal? Do societies develop according J51 1580 to cosmic patterns or are they subject only to the free choice of individuals? J51 1590 Does society really exist as an entity over and above the J51 1600 agglomeration of men? I think it must be said that, contrary to metaphysical J51 1610 insistence, these are questions so framed as to defy either J51 1620 empirical exploration or rational solutions. As Simmel (1908) and Dilthey J51 1630 (1922) indicated, questions of whether the value of life is individual J51 1640 or social are not questions, but assertions of faith made to J51 1650 appear as legitimate questions. Such pseudo-questions assume that answers J51 1660 of concrete significance can be supplied to statements involving J51 1670 undefined universals. Social theory has no more right to expect results J51 1680 from meaningless questions, than physics has the right to expect a J51 1690 theological solution to the wave-particle controversy. It is not J51 1700 that such questions are not asked. It is rather that introducing them J51 1710 into social analysis reflects not so much a search for truth as for J51 1720 certainty. An operational approach to sociology can never expect abstract J51 1730 certainty, since it is certainty which every new discovery in science J51 1740 either replaces or reshapes. To raise the added objection that J51 1750 men require certainty on psychological grounds, answers to ultimate questions J51 1760 having an irrational rather than scientific basis, is in a real J51 1770 sense to undermine the objection itself. For what concerns all scientific J51 1780 disciplines is precisely that which can be captured for the rational, J51 1790 i&e&, for the scientific determination of what in past ages J51 1800 was considered ultimate and irrational. A philosophy which attempts J51 1810 to supply ultimate answers in an ultimate way reveals its acquiescence J51 1820 in the shortcomings of men, an impatience with partial, tentative J51 1830 solutions. Men have always lived in a tentative world, and in suspension J51 1840 of ultimate judgments where and when necessary. Uncertainty J51 1850 overcoming itself is the precondition of the quest for new and more precise J51 1860 information about the world. Without such uncertainty we are left J51 1870 with a set of dogmas and myths. The functional interplay of philosophy J51 1880 and science should, as a minimum, guarantee a meaningful option to J51 1890 myth-making. A degree of indefiniteness is a salutary condition J51 1900 for the growth of science. J52 0010 But neither was the statement empirical, for goodness was not a quality J52 0020 like red or squeaky that could be seen or heard. What were they to J52 0030 do, then, with these awkward judgments of value? To find a place for J52 0040 them in their theory of knowledge would require them to revise the J52 0050 theory radically, and yet that theory was what they regarded as their J52 0060 most important discovery. It appeared that the theory could be saved J52 0070 in one way only. If it could be shown that judgments of good and bad J52 0080 were not judgments at all, that they asserted nothing true or false, but J52 0090 merely expressed emotions like "Hurrah" or "Fiddlesticks", J52 0100 then these wayward judgments would cease from troubling and weary heads J52 0110 could be at rest. This is the course the positivists took. They J52 0120 explained value judgments by explaining them away. Now I do not J52 0130 think their view will do. But before discussing it, I should like J52 0140 to record one vote of thanks to them for the clarity with which they J52 0150 have stated their case. It has been said of John Stuart Mill that J52 0160 he wrote so clearly that he could be found out. This theory has been J52 0170 put so clearly and precisely that it deserves criticism of the same kind, J52 0180 and this I will do my best to supply. The theory claims to show J52 0190 by analysis that when we say, "That is good", we do not mean to assert J52 0200 a character of the subject of which we are thinking. I shall argue J52 0210 that we do mean to do just that. Let us work through an example, J52 0220 and the simpler and commoner the better. There is perhaps no value J52 0230 statement on which people would more universally agree than the statement J52 0240 that intense pain is bad. Let us take a set of circumstances J52 0250 in which I happen to be interested on the legislative side and in which J52 0260 I think every one of us might naturally make such a statement. We J52 0270 come upon a rabbit that has been caught in one of the brutal traps in J52 0280 common use. There are signs that it has struggled for days to escape J52 0290 and that in a frenzy of hunger, pain, and fear, it has all but eaten J52 0300 off its own leg. The attempt failed: the animal is now dead. As we J52 0310 think of the long and excruciating pain it must have suffered, we are J52 0315 very J52 0320 likely to say: "It was a bad thing that the little animal should J52 0330 suffer so". The positivist tells us that when we say this we are J52 0340 only expressing our present emotion. I hold, on the contrary, that we J52 0350 mean to assert something of the pain itself, namely, that it was bad- J52 0360 bad when and as it occurred. Consider what follows from the J52 0370 positivist view. On that view, nothing good or bad happened in the case J52 0380 until I came on the scene and made my remark. For what I express J52 0390 in my remark is something going on in me at the time, and that of course J52 0400 did not exist until I did come on the scene. The pain of the rabbit J52 0410 was not itself bad; nothing evil was happening when that pain was J52 0420 being endured; badness, in the only sense in which it is involved J52 0430 at all, waited for its appearance till I came and looked and felt. Now J52 0440 that this is at odds with our meaning may be shown as follows. Let J52 0450 us put to ourselves the hypothesis that we had not come on the scene J52 0460 and that the rabbit never was discovered. Are we prepared to say that J52 0470 in that case nothing bad occurred in the sense in which we said it did? J52 0480 Clearly not. Indeed we should say, on the contrary, that the accident J52 0490 of our later discovery made no difference whatever to the badness J52 0500 of the animal's pain, that it would have been every whit as bad J52 0510 whether a chance passer-by happened later to discover the body and feel J52 0520 repugnance or not. If so, then it is clear that in saying the suffering J52 0530 was bad we are not expressing our feelings only. We are saying that J52 0540 the pain was bad when and as it occurred and before anyone took an J52 0550 attitude toward it. The first argument is thus an ideal experiment J52 0560 in which we use the method of difference. It removes our present J52 0570 expression and shows that the badness we meant would not be affected J52 0580 by this, whereas on positivist grounds it should be. The second argument J52 0590 applies the method in the reverse way. It ideally removes the past J52 0600 event, and shows that this would render false what we mean to say, J52 0610 whereas on positivist grounds it should not. Let us suppose that the J52 0620 animal did not in fact fall into the trap and did not suffer at all, but J52 0630 that we mistakenly believe it did, and say as before that its suffering J52 0640 was an evil thing. On the positivist theory, everything I sought J52 0650 to express by calling it evil in the first case is still present in J52 0660 the second. In the only sense in which badness is involved at all, whatever J52 0670 was bad in the first case is still present in its entirety, since J52 0680 all that is expressed in either case is a state of feeling, and that J52 0690 feeling is still there. And our question is, is such an implication J52 0700 consistent with what we meant? Clearly it is not. If anyone asked J52 0710 us, after we made the remark that the suffering was a bad thing, whether J52 0720 we should think it relevant to what we said to learn that the incident J52 0730 had never occurred and no pain had been suffered at all, we should J52 0740 say that it made all the difference in the world, that what we were J52 0750 asserting to be bad was precisely the suffering we thought had occurred J52 0760 back there, that if this had not occurred, there was nothing left to J52 0770 be bad, and that our assertion was in that case mistaken. The suggestion J52 0780 that in saying something evil had occurred we were after all making J52 0790 no mistake, because we had never meant anyhow to say anything about J52 0800 the past suffering, seems to me merely frivolous. If we did not mean J52 0810 to say this, why should we be so relieved on finding that the suffering J52 0820 had not occurred? On the theory before us, such relief would be J52 0830 groundless, for in that suffering itself there was nothing bad at all, J52 0840 and hence in its nonoccurrence there would be nothing to be relieved J52 0850 about. The positivist theory would here distort our meaning beyond recognition. J52 0860 So far as I can see, there is only one way out for J52 0870 the positivist. He holds that goodness and badness lie in feelings of J52 0880 approval or disapproval. And there is a way in which he might hold J52 0890 that badness did in this case precede our own feeling of disapproval J52 0900 without belonging to the pain itself. The pain in itself was neutral; J52 0910 but unfortunately the rabbit, on no grounds at all, took up toward J52 0920 this neutral object an attitude of disapproval and that made it for the J52 0930 first time, and in the only intelligible sense, bad. This way of escape J52 0940 is theoretically possible, but since it has grave difficulties of J52 0950 its own and has not, so far as I know, been urged by positivists, it J52 0960 is perhaps best not to spend time over it. I come now to a third J52 0970 argument, which again is very simple. When we come upon the rabbit J52 0980 and make our remark about its suffering being a bad thing, we presumably J52 0990 make it with some feeling; the positivists are plainly right in J52 1000 saying that such remarks do usually express feeling. But suppose that J52 1010 a week later we revert to the incident in thought and make our statement J52 1020 again. And suppose that the circumstances have now so changed that J52 1030 the feeling with which we made the remark in the first place has faded. J52 1040 The pathetic evidence is no longer before us; and we are now J52 1050 so J52 1060 fatigued in body and mind that feeling is, as we say, quite dead. In J52 1070 these circumstances, since what was expressed by the remark when first J52 1080 made is, on the theory before us, simply absent, the remark now expresses J52 1090 nothing. It is as empty as the word "Hurrah" would be when J52 1100 there was no enthusiasm behind it. And this seems to me untrue. When J52 1110 we repeat the remark that such suffering was a bad thing, the feeling J52 1120 with which we made it last week may be at or near the vanishing point, J52 1130 but if we were asked whether we meant to say what we did before, we J52 1140 should certainly answer Yes. We should say that we made our point J52 1150 with feeling the first time and little or no feeling the second time, J52 1160 but that it was the same point we were making. And if we can see that J52 1170 what we meant to say remains the same, while the feeling varies from J52 1180 intensity to near zero, it is not the feeling that we primarily meant J52 1190 to express. I come now to a fourth consideration. We all believe J52 1200 that toward acts or effects of a certain kind one attitude is fitting J52 1210 and another not; but on the theory before us such a belief would J52 1220 not make sense. Broad and Ross have lately contended that this fitness J52 1230 is one of the main facts of ethics, and I suspect they are right. J52 1240 But that is not exactly my point. My point is this: whether there J52 1250 is such fitness or not, we all assume that there is, and if we do, we J52 1260 express in moral judgments more than the subjectivists say we do. Let J52 1270 me illustrate. In his novel , Dostoevsky J52 1280 tells of his experiences in a Siberian prison camp. Whatever J52 1290 the unhappy inmates of such camps are like today, Dostoevsky's companions J52 1300 were about as grim a lot as can be imagined. "I have heard J52 1310 stories", he writes, "of the most terrible, the most unnatural actions, J52 1320 of the most monstrous murders, told with the most spontaneous, J52 1330 childishly merry laughter". Most of us would say that in this delight J52 1340 at the killing of others or the causing of suffering there is something J52 1350 very unfitting. If we were asked why we thought so, we should say J52 1360 that these things involve great evil and are wrong, and that to take J52 1370 delight in what is evil or wrong is plainly unfitting. Now on the subjectivist J52 1380 view, this answer is ruled out. For before someone takes J52 1390 up an attitude toward death, suffering, or their infliction, they have J52 1400 no moral quality at all. There is therefore nothing about them to which J52 1410 an attitude of approval or condemnation could be fitting. They are J52 1420 in themselves neutral, and, so far as they get a moral quality, they J52 1430 get it only through being invested with it by the attitude of the onlooker. J52 1440 But if that is true, why is any attitude more fitting than any J52 1450 other? Would applause, for example, be fitting if, apart from the J52 1460 applause, there were nothing good to applaud? Would condemnation be J52 1470 fitting if, independently of the condemnation, there were nothing bad J52 1480 to condemn? In such a case, any attitude would be as fitting or unfitting J52 1490 as any other, which means that the notion of fitness has lost J52 1500 all point. Indeed we are forced to go much farther. If goodness J52 1510 and badness lie in attitudes only and hence are brought into being J52 1520 by them, those men who greeted death and misery with childishly merry J52 1530 laughter are taking the only sensible line. If there is nothing evil J52 1540 in these things, if they get their moral complexion only from our feeling J52 1550 about them, why shouldn't they be greeted with a cheer? To greet J52 1560 them with repulsion would turn what before was neutral into something J52 1570 bad; it would needlessly bring badness into the world; and even J52 1580 on subjectivist assumptions that does not seem very bright. On the J52 1590 other hand, to greet them with delight would convert what before was neutral J52 1600 into something good; it would bring goodness into the world. J53 0010 The injured German veteran was a former miner, twenty-four years J53 0020 old, who had been wounded by shrapnel in the back of the head. This J53 0030 resulted in damage to the occipital lobe and very probably to the left J53 0040 side of the cerebellum also. In any event, the extraordinary result J53 0050 of this injury was that he became "psychically blind", while at J53 0060 the same time, apparently, the sense of touch remained essentially intact. J53 0070 Psychical blindness is a condition in which there is a total absence J53 0080 of visual memory-images, a condition in which, for example, one J53 0090 is unable to remember something just seen or to conjure up a memory-picture J53 0100 of the visible appearance of a well-known friend in his absence. J53 0110 This circumstance in the patient's case plus the fact that his tactual J53 0120 capacity remained basically in sound working order constitutes its J53 0130 exceptional value for the problem at hand since the evidence presented J53 0140 by the authors is overwhelming that, when the patient closed his eyes, J53 0150 he had absolutely no spatial (that is, third-dimensional) awareness J53 0160 whatsoever. The necessary inference, as the authors themselves interpret J53 0170 it, would seem to be this: "(1) Spatial qualities are not among J53 0180 those grasped by the sense of touch, . We do not arrive J53 0190 at spatial images by means of the sense of touch . (2) J53 0200 Spatiality becomes part of the tactual sensation only by way of visual J53 0210 representations; that is, there is, in the true sense, only a J53 0220 space". The underlying assumption, of course, is that only J53 0230 sight and touch enable us, in any precise and fully dependable way, to J53 0240 locate objects in space beyond us, the other senses being decidedly inferior, J53 0250 if not totally inadequate, in this regard. This is an assumption J53 0260 with which few would be disposed to quarrel. Therefore, if the sense J53 0270 of touch is functioning normally and there is a complete absence J53 0280 of spatial awareness in a psychically-blind person when the eyes are closed J53 0290 and an object is handled, the conclusion seems unavoidable that J53 0300 touch by itself cannot focus and take possession of the third-dimensionality J53 0310 of things and that actual sight or visual representations are J53 0320 necessary. The force of the authors' analysis (if indeed it J53 0330 has any force) can be felt by the reader, I believe, only after three J53 0340 questions have been successfully answered. (1) What allows us to think J53 0350 that the patient had no third-dimensional representations when his J53 0360 eyes were closed? (2) What evidence is there that he was psychically J53 0370 blind? (3) How can we be sure that his sense of touch was not profoundly J53 0380 disturbed by his head injury? We shall consider these in the J53 0390 inverse order of their presentation. Obviously, a satisfactory J53 0400 answer to the third question is imperative, if the argument is to J53 0410 get under way at all, for if there is any possibility of doubt whether J53 0420 the patient's tactual sensitivity had been impaired by the occipital J53 0430 lesion, any findings whatsoever in regard to the first question become J53 0440 completely ambiguous and fail altogether, of course, as evidence to J53 0450 establish the desired conclusion. The answer the authors give to it, J53 0460 therefore, is of supreme importance. It is as follows: "The usual J53 0470 sensitivity tests showed that the specific qualities of skin-perceptiveness J53 0480 (pressure, pain, temperature), as well as the kinesthetic J53 0490 sensations J53 0500 (muscular feelings, feelings in the tendons and joints), were, J53 0510 as such, essentially intact, although they seemed, in comparison with J53 0520 normal reactions, to be somewhat diminished over the entire body. The J53 0530 supposed tactual sense of spatial location and orientation in the patient J53 0540 and his ability to specify the location of a member, as well as J53 0550 the direction and scope of a movement, passively executed (with one of J53 0560 his members), proved to have been, on the contrary, very considerably J53 0570 affected". The authors insist, however, that these abnormalities in J53 0580 the sense of touch were due absolutely to no organic disorders in that J53 0590 sense faculty but rather to the injuries which the patient had sustained J53 0600 to the sense of sight. First of all, what is their evidence J53 0610 that the tactual apparatus was fundamentally undamaged? (1) When J53 0620 an object was placed in the patient's hand, he had no difficulty determining J53 0630 whether it was warm or cold, sharp or blunt, rough or smooth, J53 0640 flexible, soft, or hard; and he could tell, simply by the feel of J53 0650 it, whether it was made of wood, iron, cloth, rubber, and so on. And J53 0660 he could recognize, by touch alone, articles which he had handled immediately J53 0670 before, even though they were altogether unfamiliar to him and J53 0680 could not be identified by him; that is, he was unaware what kind J53 0690 of objects they were or what their use was. (2) The patient attained J53 0700 an astonishing efficiency in a new trade. Because of his brain injury J53 0710 and the extreme damage suffered to his sight, the patient had to train J53 0720 himself for a new line of work, that of a portfolio-maker, an occupation J53 0730 requiring a great deal of precision in the making of measurements J53 0740 and a fairly well-developed sense of form and contour. It seems clear, J53 0750 when one takes into consideration the exceedingly defective eyesight J53 0760 of the patient (we shall describe it in detail in connection with our J53 0770 second question, the one concerning the psychical blindness of the J53 0780 patient), that he had to rely on his sense of touch much more than the J53 0790 usual portfolio-maker and that consequently that faculty was most probably J53 0800 more sensitive to shape and size than that of a person with normal J53 0810 vision. And so the authors conclude: "The conduct of the patient J53 0820 in his every-day life and in his work, even more than the foregoing J53 0830 facts [mentioned above under 1], leave positively no room for doubt J53 0840 that the sense of touch, in the ordinary sense of the word, was unaffected; J53 0850 or, to put the same thing in physiological terms, that the performance-capacity J53 0860 of the tactual apparatus, from the periphery up to J53 0870 the tactual centers in the brain,- that is, from one end to the other- J53 0880 was unimpaired". If the argument is accepted as essentially J53 0890 sound up to this point, it remains for us to consider whether the J53 0900 patient's difficulties in orienting himself spatially and in locating J53 0910 objects in space with the sense of touch can be explained by his defective J53 0920 visual condition. But before we can do this, we must first find J53 0930 answers to our original questions 1 and 2; then we shall perhaps J53 0940 be in a position to provide something like a complete answer to the question J53 0950 at hand. In what ways, then, did the patient's psychical J53 0960 blindness manifest itself? He could not see objects as unified, J53 0970 self-contained, and organized figures, as a person does with normal J53 0980 vision. The meaning of this, as we shall see, is that he had no fund J53 0990 of visual memory-images of objects as objects; and, therefore, he could J53 1000 not recognize even long-familiar things upon seeing them again. Instead, J53 1010 he constantly became lost in parts and components of them, confused J53 1020 some of their details with those of neighboring objects, and so J53 1030 on, unless he allowed time to "trace" the object in question through J53 1040 minute movements of the head and hands and in this way to discover J53 1050 its contours. According to his own testimony, he never actually saw things J53 1060 as shaped but only as generally amorphous "blots" of color of J53 1070 a more or less indefinite size; at their edges they slipped pretty J53 1080 much out of focus altogether. But by the tracing procedure, he could, J53 1090 in a strange obviously kinesthetic manner, find the unseen form; could J53 1100 piece, as it were, the jumbled mass together into an organized whole J53 1110 and then recognize it as a man or a triangle or whatever it turned J53 1120 out to be. If, however, the figure to be discerned were complicated, J53 1130 composed of several interlocking subfigures, and so on, even the tracing J53 1140 process failed him, and he could not focus even relatively simple J53 1150 shapes among its parts. This meant, concretely, that the patient could J53 1160 not read at all without making writing-like movements of the head or J53 1170 body, became easily confused by "hasher marks" inserted between hand-written J53 1180 words and thus confused the mark for one of the letters, and J53 1190 could recognize a simple straight line or a curved one only by tracing J53 1200 it. The patient himself denied that he had any visual imagery J53 1210 at all; and there was ample evidence of the following sort to corroborate J53 1220 him. After a conversation with another man, he was able to J53 1230 recount practically everything that had been said but could not describe J53 1240 at all what the other man looked like. Nor could he call up memory-pictures J53 1250 of close friends or relatives. In short, both his own declarations J53 1260 and his figural blindness, when he looked at objects, seem to J53 1270 present undeniable evidence that he had simply no visual memory at all. J53 1280 He was oblivious of the form of the object actually being viewed, precisely J53 1290 because he could not assign it to a visual shape, already learned J53 1300 and held in visual memory, as persons of normal vision do. He could J53 1310 not recognize it; he was absolutely unfamiliar with it because he J53 1320 had no visual memory at all. Therefore, his only recourse was to learn J53 1330 the shape all over again for each new visual experience of the same J53 1340 individual object or type of object; and this he could do only by J53 1350 going over its mass with the tracing procedure. Then he might finally J53 1360 recognize it, apparently by combining the visual blot, actually being J53 1370 seen, with tactual feelings in the head or body accompanying the tracing J53 1380 movements. This would mean, it can readily be seen, that, again, J53 1390 for each new visual experience the tracing motions would have to be repeated J53 1400 because of the absence of visual imagery. As one would J53 1410 surmise, the procedure, however, could be repeated with the same object J53 1420 or with the same type of object often enough, so that the corresponding J53 1430 visual blots and the merest beginning of the tracing movement would J53 1440 provide clues as to the actual shape, which the patient then immediately J53 1450 could determine by a kind of inference. Men, trees, automobiles, J53 1460 houses, and so on- objects continually confronted in everyday life- J53 1470 had each its characteristic blot-appearance and became easily recognizable, J53 1480 at the very beginning of tracing, by an inference as to what J53 1490 each was. Dice, for example, he inferred from black dots on a white surface. J53 1500 He evidently could not actually see the corners of these objects, J53 1510 but their size and the dots gave them away. And the authors give J53 1520 numerous instances of calculated guessing on the patient's part to J53 1530 show how large a role it played in his process of readapting himself J53 1540 and how proficient he became at it. Often he seems even to have been J53 1550 able to guess correctly, without the tracing motions, solely on the basis J53 1560 of qualitative differences among the blot-like things which appeared J53 1570 in his visual experience. Perhaps the very important question- J53 1580 What is, then, exactly the role of kinesthetic sensations in the J53 1590 patient's ability to recognize forms and shapes by means of the tracing J53 1600 movements when he is actually looking at things?- has now been J53 1610 raised in the reader's mind and in the following form. If the patient J53 1620 can perceive figure kinesthetically when he cannot perceive it visually, J53 1630 then, it would seem, the sense of touch has immediate contact J53 1640 with the spatial aspects of things in independence of visual representations, J53 1650 at least in regard to two dimensions, and, as we shall see, even J53 1660 this much spatial awareness on the part of unaided touch is denied J53 1670 by the authors. How, then, do the kinesthetic sensations function in J53 1680 all this? The authors set about answering this fundamental question J53 1690 through a detailed investigation of the patient's ability, tactually, J53 1700 (1) to perceive figure and (2) to locate objects in space, with his J53 1710 eyes closed (or turned away from the object concerned). Quite naturally, J53 1720 they make the investigation, first, by prohibiting the patient from J53 1730 making any movements at all and then, later, by repeating it and allowing J53 1740 the patient to move in any way he wanted to. When the J53 1750 patient was not allowed to move his body in any way at all, the following J53 1760 striking results occurred. J54 0010 Whenever artists, indeed, turned to actual representations or molded J54 0020 three-dimensional figures, which were rare down to 800 B&C&, they J54 0030 tended to reflect reality (see Plate 6~a, 9~b); a schematic, J54 0040 abstract treatment of men and animals, rose only in the J54 0050 late eighth century. To speak of this underlying view of the J54 0060 world is to embark upon matters of subjective judgment. At the least, J54 0070 however, one may conclude that Geometric potters sensed a logical order; J54 0080 their principles of composition stand very close to those which J54 0090 appear in the Homeric epics and the hexameter line. Their world, again, J54 0100 was a still simple, traditional age which was only slowly beginning J54 0110 to appreciate the complexity of life. And perhaps an observer of the J54 0120 vases will not go too far in deducing that the outlook of their makers J54 0130 and users was basically stable and secure. The storms of the past J54 0140 had died away, and the great upheaval which was to mark the following J54 0150 century had not yet begun to disturb men's minds. Throughout J54 0160 the work of the later ninth century a calm, severe serenity displays J54 0170 itself. In the vases this spirit may perhaps at times bore or repel J54 0180 one in its internal self-satisfaction, but the best of the Geometric J54 0190 pins have rightly been considered among the most beautiful ever made J54 0200 in the Greek world. The ninth century was in its artistic work "the J54 0210 spiritually freest and most self-sufficient between past and future", J54 0220 and the loving skill spent by its artists upon their products is a J54 0230 testimonial to their sense that what they were doing was important and J54 0240 was appreciated. _THE AEGEAN IN 800 B&C&_ GEOMETRIC POTTERY J54 0250 has not yet received the thorough, detailed study which it J54 0260 deserves, J54 0270 partly because the task is a mammoth one and partly because some J54 0280 of its local manifestations, as at Argos, are only now coming to light. J54 0290 From even a cursory inspection of its many aspects, however, the J54 0300 historian can deduce several fundamental conclusions about the progress J54 0310 of the Aegean world down to 800 B&C& The general intellectual J54 0320 outlook which had appeared in the eleventh century was now consolidated J54 0330 to a significant degree. Much which was in embryo in 1000 J54 0340 had become reasonably well developed by 800. In this process the Minoan-Mycenaean J54 0350 inheritance had been transmuted or finally rejected; J54 0360 the Aegean world which had existed before 1000 differed from that J54 0370 which J54 0380 rises more clearly in our vision after 800. Those modern scholars J54 0390 who urge that we must keep in mind the fundamental continuity of Aegean J54 0400 development from earliest times- granted occasional irruptions of J54 0410 peoples and ideas from outside- are correct; but all too many observers J54 0420 have been misled by this fact into minimizing the degree of change J54 0430 which took place in the early first millennium. The focus J54 0440 of novelty in this world now lay in the south-eastern districts of J54 0445 the J54 0450 Greek mainland, and by 800 virtually the entire Aegean, always excepting J54 0460 its northern shores, had accepted the Geometric style of pottery. J54 0470 While Protogeometric vases usually turn up, especially outside Greece J54 0480 proper, together with as many or more examples of local stamp, these J54 0485 "non-Greek" J54 0490 patterns had mostly vanished by the later ninth century. J54 0500 In their place came local variations the common style- J54 0510 tentative, as it were, in Protogeometric products but truly distinct J54 0520 and sharply defined as the Geometric spirit developed. Attica, J54 0530 though important, was not the only teacher of this age. One can take J54 0540 a vase of about 800 B&C& and, without any knowledge of its place J54 0550 of origin, venture to assign it to a specific area; imitation and borrowing J54 0560 of motifs now become ascertainable. The potters of the Aegean J54 0570 islands thus stood apart from those of the mainland, and in Greece J54 0580 itself Argive, Corinthian, Attic, Boeotian, and other Geometric J54 0590 sequences have each their own hallmarks. These local variations were J54 0600 to become ever sharper in the next century and a half. The same J54 0610 conclusions can be drawn from the other physical evidence of the Dark J54 0620 ages, from linguistic distribution, and from the survivals of early J54 0630 social, political, and religious patterns into later ages. By 800 B&C& J54 0640 the Aegean was an area of common tongue and of common culture. J54 0650 On these pillars rested that solid basis for life and thought which J54 0660 was soon to be manifested in the remarkably unlimited ken of the . J54 0670 Everywhere within the common pattern, however, one finds local J54 0680 diversity; Greek history and culture were enduringly fertilized, J54 0690 and plagued, by the interplay of these conjoined yet opposed factors. J54 0700 Further we cannot go, for the Dark ages deserve their J54 0710 name. Many aspects of civilization were not yet sufficiently crystallized J54 0720 to find expression, nor could the simple economic and social foundations J54 0730 of this world support a lofty structure. The epic poems, the J54 0750 consolidation of the Greek pantheon, the rise of firm political units, J54 0760 the self-awareness which could permit painted and sculptured representations J54 0770 of men- all these had to await the progress of following decades. J54 0780 What we have seen in this chapter, we have seen only dimly, and J54 0790 yet the results, however general, are worth the search. These are J54 0800 the centuries in which the inhabitants of the Aegean world settled firmly J54 0810 into their minds and into their institutions the foundations of the J54 0820 Hellenic outlook, independent of outside forces. To interpret, J54 0830 indeed, the era from 1000 to 800 as a period mainly of consolidation J54 0840 may be a necessary but unfortunate defect born of our lack of detailed J54 0850 information; if we could see more deeply, we probably would find J54 0860 many side issues and wrong turnings which came to an end within the J54 0870 period. The historian can only point out those lines which were major J54 0880 enough to find reflection in our limited evidence, and must hope that J54 0890 future excavations will enrich our understanding. Throughout the Dark J54 0900 ages, it is clear, the Greek world had been developing slowly but J54 0910 consistently. The pace could now be accelerated, for the inhabitants J54 0920 of the Aegean stood on firm ground. #CHAPTER 5 THE EARLY EIGHTH CENTURY# J54 0930 THE LANDSCAPE of Greek history broadens widely, and J54 0940 rather abruptly, in the eighth century B&C&, the age of Homer's J54 0950 "rosy-fingered Dawn". The first slanting rays of the new day J54 0960 cannot yet dispel all the dark shadows which lie across the Aegean world; J54 0970 but our evidence grows considerably in variety and shows more J54 0980 unmistakably some of the lines of change. For this period, as for earlier J54 0990 centuries, pottery remains the most secure source; the ceramic J54 1000 material of the age is more abundant, more diversified, and more indicative J54 1010 of the hopes and fears of its makers, who begin to show scenes of J54 1020 human life and death. Figurines and simple chapels presage the emergence J54 1030 of sculpture and architecture in Greece; objects in gold, J54 1040 ivory, J54 1050 and bronze grow more numerous. Since writing was practiced in the J54 1060 Aegean before the end of the century, we may hope that the details of J54 1070 tradition will now be occasionally useful. Though it is not easy to J54 1080 apply the evidence of the to any specific era, this marvelous J54 1090 product of the epic tradition had certainly taken definitive shape J54 1100 by 750. The Dipylon Geometric pottery of Athens and the J54 1110 are amazing manifestations of the inherent potentialities of Greek J54 1120 civilization; but both were among the last products of a phase J54 1130 which was ending. Greek civilization was swirling toward its great revolution, J54 1140 in which the developed qualities of the Hellenic outlook were J54 1150 suddenly to break forth. The revolution was well under way before J54 1160 700 B&C&, and premonitory signs go back virtually across the century. J54 1170 The era, however, is Janus-faced. While many tokens point forward, J54 1180 the main achievements stand as a culmination of the simple patterns J54 1190 of the Dark ages. The dominant pottery of the century was Geometric; J54 1200 political organization revolved about the ; J54 1210 trade J54 1220 was just beginning to expand; the gods who protected the Greek countryside J54 1230 were only now putting on their sharply anthropomorphic dress. J54 1240 The modern student, who knows what was to come next, is likely J54 1250 to place first the factors of change which are visible in the eighth J54 1260 century. Not all men of the period would have accepted this emphasis. J54 1270 Many potters clung to the past the more determinedly as they were confronted J54 1280 with radically new ideas; the poet of the deliberately J54 1290 archaized. Although it is not possible to sunder old and new J54 1300 in this era, I shall consider in the present chapter primarily the J54 1310 first J54 1320 decades of the eighth century and shall interpret them as an apogee J54 1330 of the first stage of Greek civilization. On this principle J54 1340 of division I must postpone the evolution of sculpture, architecture, J54 1350 society, and politics; for the developments in these areas make sense J54 1360 only if they are connected to the age of revolution itself. The growing J54 1370 contacts between Aegean and Orient are also a phase which should J54 1380 be linked primarily to the remarkable broadening of Hellenic culture J54 1390 after 750. We shall not be able entirely to pass over these connections J54 1400 to the East as we consider Ripe Geometric pottery, the epic J54 1410 and the myth, and the religious evolution of early Greece; the important J54 1420 point, however, is that these magnificent achievements, unlike those J54 1430 of later decades, were only incidentally influenced by Oriental J54 1440 models. The antecedents of Dipylon vases and of the lie in J54 1450 the Aegean past. _DIPYLON POTTERY_ THE POTTERY of the first J54 1460 half of the eighth century is commonly called Ripe Geometric. The J54 1470 severe yet harmonious vases of the previous fifty years, the Strong J54 1480 Geometric style of the late ninth century, display as firm a mastery J54 1490 of the principles underlying Geometric pottery; but artists now were J54 1500 ready to refine and elaborate their inheritance. The vases which resulted J54 1510 had different shapes, far more complex decoration, and a larger J54 1520 sense of style. Beyond the aesthetic and technical aspects of J54 1530 this expansion we must consider the change in pottery style on broader J54 1540 lines. In earlier centuries men had had enough to do in rebuilding J54 1550 a fundamental sense of order after chaos. They had had to work on very J54 1560 simple foundations and had not dared to give rein to impulses. The J54 1570 potters, in particular, had virtually eschewed freehand drawing, elaborate J54 1580 motifs, and the curving lines of nature, while yet expressing a J54 1590 belief that there was order in the universe. In their vases were embodied J54 1600 the basic aesthetic and logical characteristics of Greek civilization, J54 1610 at first hesitantly in Protogeometric work, and then more confidently J54 1620 in the initial stages of the Geometric style. By 800 social J54 1630 and cultural security had been achieved, at least on a simple plane; J54 1640 it was time to take bigger steps, to venture on experiments. Ripe J54 1650 Geometric potters continued to employ the old syntax of ornaments J54 1660 and shapes and made use of the well-defined though limited range of J54 1670 motifs which they had inherited. In these respects the vases of the early J54 1680 eighth century represent a culmination of earlier lines of progress. J54 1690 To the ancestral lore, however, new materials were added. Painters J54 1700 left less and less of a vase in a plain dark color; instead they J54 1710 divided the surface into many bands or covered it by all-over patterns J54 1720 into which freehand drawing began to creep. Wavy lines, feather-like J54 1730 patterns, rosettes of indefinitely floral nature, birds either singly J54 1740 or in stylized rows, animals in solemn frieze bands (see Plates 11-12)- J54 1750 all these turned up in the more developed fabrics as preliminary J54 1760 signs that the potters were broadening their gaze. The rows of animals J54 1770 and birds, in particular, suggest awareness of Oriental animal friezes, J54 1780 transmitted perhaps via Syrian silver bowls and textiles, but the J54 1790 specific forms of these rows on local vases and metal products are J54 1800 nonetheless Greek. Though the spread of this type of decoration in the J54 1810 Aegean has not yet been precisely determined, it seems to appear first J54 1820 in the Cyclades, which were among the leading exporters of pottery J54 1830 throughout the century. As the material at the command of the J54 1840 potters grew and the volume of their production increased, the local J54 1850 variations within a common style became more evident. Plate 12 illustrates J54 1860 four examples, which are Ripe or Late Geometric work of common J54 1870 spirit but of different schools. J55 0010 Cook had discovered a beef in his possession a few days earlier and, J55 0020 when he could not show the hide, arrested him. Thinking the evidence J55 0030 insufficient to get a conviction, he later released him. Even while suffering J55 0040 the trip to his home, Cook swore to Moore and Lane that he J55 0050 would kill the Indian. Three weeks later following his recovery, J55 0060 armed with a writ issued by the Catskill justice on affidavits prepared J55 0070 by the district attorney, Cook and Russell rode to arrest Martinez. J55 0080 Arriving at daybreak, they found Julio in his corral and demanded J55 0090 that he surrender. Instead, he whirled and ran to his house for J55 0100 a gun forcing them to kill him, Cook reported. Both Cook's J55 0110 and Russell's lives were threatened by the Mexicans following the J55 0120 killing, but the company officers felt that in the end, it would serve J55 0130 to quiet them despite their immediate emotion. General manager Pels J55 0140 even suggested that it might be wise to keep the Mexicans in suspense J55 0150 rather than accept their offers to sell out and move away, and try J55 0160 to have a few punished. On February 17, Russell and Cook J55 0170 were sent to the Pena Flor community on the Vermejo to see about renting J55 0180 out ranches the company had purchased. While talking with Julian J55 0190 M& Beall, Francisco Archuleta and Juan Marcus appeared, both J55 0200 heavily armed, and after watching the house for a while, rode away. J55 0210 It was nearly sundown before they finished the business with Beall and J55 0220 began riding down the stream. They had traveled only a short distance J55 0230 when they spotted five Mexicans riding along a horse-trail across J55 0240 the stream just ahead of them. Suspecting an ambush, the two deputies J55 0250 decided to ride up a side canyon taking a short cut into Catskill. J55 0260 After spending two nights (Wednesday and Thursday) in Catskill, J55 0270 the deputies again headed for the Vermejo to finish their business. J55 0280 They stayed with a rancher Friday night and by eleven o'clock J55 0290 Saturday morning passed the old Garnett Lee ranch. Half a mile below J55 0300 at the mouth of Salyer's Canyon was an old ranch that the company J55 0310 had purchased from A& J& Armstrong, occupied by a Mexican, J55 0320 his wife, and an old trapper. There were three houses in Salyer's J55 0330 Canyon just at the foot of a low bluff, the road winding along the top, J55 0340 entering above, and then passing down in front of the houses, thence J55 0350 to the Vermejo. To the west of this road was another low bluff, forty J55 0360 or fifty feet high, covered with scrub oak and other brush. As they J55 0370 were riding along this winding road on the bench of land between the J55 0380 two bluffs, a volley of rifle fire suddenly crashed around the two officers. J55 0390 Not a bullet touched Cook who was nearer the ambush, but one J55 0400 hit Russell in the leg and another broke his arm, passing on through J55 0410 his body. With the first reports, Russell's horse wheeled J55 0420 to the right and ran towards the buildings while Cook, followed by a J55 0430 hail of bullets, raced towards the arroyo of Salyer's Canyon immediately J55 0440 in front of him, just reaching it as his horse fell. Grabbing J55 0450 his Winchester from its sheath, Cook prepared to fight from behind J55 0460 the arroyo bank. Bullets were so thick, throwing sand in his face, that J55 0470 he found it difficult to return the fire. Noticing Russell's horse J55 0480 in front of the long log building, he assumed his friend had slipped J55 0490 inside and would be able to put up a good fight, so he began working J55 0500 his way down the ditch to join him. At a very shallow place, two Mexicans J55 0510 rushed into the open for a shot. Dropping to one knee, Cook J55 0520 felled one, and the other struggled off with his comrade, sending no further J55 0530 fire in his direction. Just before leaving the arroyo where he J55 0540 was partially concealed, he did hear shots down at the house. J55 0550 Russell had reached the house as Cook surmised, dismounted, but just J55 0560 as the old trapper opened the door to receive him, he fell into the trapper's J55 0570 arms- dead. A bullet fired by one of the Mexicans hiding J55 0580 in a little chicken house had passed through his head, tearing a hole J55 0590 two-inches square on the outgoing side. Finding him dead, Cook caught J55 0600 Russell's horse and rode to the cattle foreman's house to report J55 0610 the incident and request bloodhounds to trail the assassins. J55 0620 Before daylight Sunday morning, a posse of twenty-three men under J55 0630 the leadership of Deputy Sheriff Frank MacPherson of Catskill followed J55 0640 the trail to the house of Francisco Chaves, where 100 to 150 J55 0650 Mexicans had gathered. MacPherson boldly approached the fortified J55 0660 adobe house and demanded entrance. The men inside informed him that they J55 0670 had some wounded men among them but he would not be allowed to see J55 0680 them even though he offered medical aid. The officer demanded the names J55 0690 of the injured men; the Mexicans not only refused to give them, J55 0700 but told the possemen if they wanted a fight they could have it. Since J55 0710 the strength of the Mexicans had been underrated, too small a posse J55 0720 had been collected, and since the deputy had not been provided with J55 0730 search warrants, MacPherson and his men decided it was much wiser to J55 0740 withdraw. The posse's retreat encouraged the Mexicans to J55 0750 be overbearing and impudent. During the following week, six tons of hay J55 0760 belonging to one rancher were burned; some buildings, farm tools, J55 0770 two horses, plows, and hay owned by Bonito Lavato, a friendly interpreter J55 0780 for the company, and Pedro Chavez' hay were stolen or destroyed; J55 0790 and a store was broken into and robbed. District Attorney M& J55 0800 W& Mills warned that he would vigorously prosecute persons caught J55 0810 committing these crimes or carrying arms- he just didn't catch J55 0820 anyone. Increasing threats on his life finally convinced Cook J55 0830 that he should leave New Mexico. His friends advised that it would J55 0840 be only a question of time until either the Mexicans killed him by J55 0850 ambuscade or he would be compelled to kill them in self-defense, perpetuating J55 0860 the troubles. By early summer, he wrote from Laramie that he J55 0870 was suffering from the wound inflicted in the ambush and was in a bad J55 0880 way financially, so Pels sent him a draft for $100, warning that it J55 0890 was still not wise for him to return. Pels also sent a check for $100 J55 0900 to Russell's widow and had a white marble monument erected on his J55 0910 grave. Cattle stealing and killing, again serious during the J55 0920 spring of 1891, placed the land grant company officers in a perplexing J55 0930 position. They were reluctant to appoint sheriffs to protect the property, J55 0940 thus running the risk of creating disturbances such as that on J55 0950 the Vermejo, and yet the cowboys protested that they got no salary J55 0960 for arresting cattle thieves and running the risk of being shot. And J55 0970 the law virtually ignored the situation. The judge became ill just as J55 0980 the Colfax District Court convened, no substitute was brought in, J55 1000 no criminal cases heard, only 5 out of 122 cases docketed were tried, J55 1010 and court adjourned sine die after sitting a few days instead of the usual J55 1020 three weeks. Pels complained: "Litigants and witnesses were J55 1030 put to the expense and inconvenience of going long distances to transact J55 1040 business; public money spent; justice delayed; nothing accomplished, J55 1050 and the whole distribution of justice in this county seems to J55 1060 be an absolute farce". Word reached the company that the man J55 1070 behind these depredations was Manuel Gonzales, a man with many followers, J55 1080 including a number who were kept in line through fear of him. J55 1090 Although wanted by the sheriff for killing an old man named Asher Jones, J55 1100 the warrant for his arrest had never been served. On May 19, a J55 1110 deputy sheriff's posse of eight men left Maxwell City and rode thirty-five J55 1120 miles up the Vermejo where they were joined by Juan Jose J55 1130 Martinez. By 3:00 A&M& they reached his house and found it vacant. J55 1140 When they were refused entrance to his brother's house nearby, J55 1150 they smashed down the door, broke the window, and threw lighted clothes J55 1160 wet with kerosene into the room. Still there was no Gonzales and J55 1170 the family would say nothing. About 300 yards up the creek was J55 1180 a cluster of Mexican houses containing six rooms in the form of a J55 1190 square. While prowling around these buildings, two of the posse recognized J55 1200 the voice of Gonzales speaking to the people inside. He was promised J55 1210 that no harm would befall him if he would come out, but he cursed J55 1220 and replied that he would shoot any man coming near the door. The J55 1230 posse then asked that he send out the women and children as the building J55 1240 would be fired or torn down over his head if necessary to take him J55 1250 dead or alive. Again he refused. In deadly earnest, the besiegers methodically J55 1260 stripped away portions of the roof and tossed lighted rags J55 1270 inside, only to have most stamped out by the women as soon as they hit J55 1280 the floor. When it became obvious that he could stay inside no longer, J55 1290 taking a thousand to one chance Gonzales rushed outside, square against J55 1300 the muzzle of a Winchester. Shot near the heart, he turned to J55 1310 one side and plunged for a door to another room several feet away, three J55 1320 bullets following him. As he pushed open the door he fell on his J55 1330 face, one of his comrades pulling him inside. Not realizing the J55 1340 seriousness of the wound, the besiegers warned that if he did not surrender J55 1350 the house would be burned down around him. Receiving no answer, J55 1360 they set the fire. When the house was about half consumed, his comrade J55 1370 ran to the door and threw up his hands, declaring repeatedly that J55 1380 he did not know the whereabouts of Manuel. Finding it true that he J55 1390 was not inside, the deputies returned to the first house and tore holes J55 1400 through the side and the roof until they could see a body on the bed J55 1410 covered by a blanket. Several slugs fired into the bed jerked aside J55 1420 the blanket to reveal an apparently lifeless hand. Shot six or eight J55 1430 times the body was draped with Russell's pistol, belt, and cartridges. J55 1440 There was no extra horse so it was left to his comrades who, though J55 1450 numbering in the fifties, had stood around on the hillside nearby J55 1460 without firing a shot during the entire attack. Early the next J55 1470 morning, a Mexican telephoned Pels that Celso Chavez, one of the J55 1480 posse members, was surrounded by ten Mexicans at his father's home J55 1490 on the upper Vermejo. The sheriff and District Attorney Mills J55 1495 hastily swore J55 1500 out a number of warrants against men who had been riding about armed, J55 1510 according to signed statements by Chavez and Dr& I& P& George, J55 1520 and ordered Deputy Barney Clark of Raton to rescue the posseman. J55 1530 Traveling all night, Clark and twelve men arrived at about seven J55 1540 o'clock May 22. Occasionally they heard gun-shot signals and a J55 1550 number of horsemen were sighted on the hills, disappearing at the posse's J55 1560 approach. A Mexican justice of the peace had issue a writ against J55 1570 Chavez for taking part in the "murder" of Manuel Gonzales J55 1580 so he and his father were anxious to be taken out of danger. The men J55 1590 helped them gather their belongings and escorted them to Raton along J55 1600 with three other families desiring to leave. The ten or more J55 1610 dangerous parties singled out for prosecution were still at large, and J55 1620 Pels realized that if these men entrenched themselves in their adobe J55 1630 houses, defending themselves through loopholes, it would be most difficult J55 1640 to capture them. Thus he wired J& P& Lower and Sons of J55 1650 Denver: "Have you any percussion hand grenades for throwing in a J55 1660 house or across a well loaded with balls or shrapnel shot? If not, J55 1670 how long to order and what is the price"? He wisely decided that J55 1680 it would be foolish to create a disturbance during the coming roundup, J55 1690 particularly since the Mexicans were on their guard. His problem J55 1700 then became one of restraining the American fighters who wanted to clean J55 1710 out the Vermejo by force immediately. J56 0010 The plant was located west of the Battenkill and south of the location J56 0020 of the former electric light plant. The Manchester Depot J56 0030 Sewer Company issued 214 shares of stock at $10 each for construction J56 0040 of a sewer in that locality, and assessments were made for its maintenance. J56 0050 It has given considerable trouble at times and empties right J56 0060 into the Battenkill. Fire District No& 1 discussed its possible J56 0070 purchase in 1945, but considered it an unwise investment. The J56 0080 sewer on Bonnet Street was constructed when there were only a few houses J56 0090 on the street. as new homes were built they were connected so that J56 0100 all residences south of School Street are served by it. B& J& J56 0110 Connell is the present treasurer and manager. The 1946 town J56 0120 meeting voted to have the Selectmen appoint a committee to investigate J56 0130 and report on the feasibility of some system of sewage disposal and J56 0140 a disposal plant to serve Manchester Center, Depot, and Way's J56 0150 Lane. The committee submitted a report signed by Louis Martin and J56 0160 Leon Wiley with a map published in the 1946 town report. The layout J56 0170 of the sewer lines was designed by Henry W& Taylor, who was the J56 0180 engineer for the Manchester Village disposal plant. No figures were J56 0190 submitted with the report and no action was taken on it by the town. J56 0200 The 1958 town meeting directed town authorities to seek federal J56 0210 and state funds with which to conduct a preliminary survey of a proposed J56 0220 sewage plant with its attendant facilities. The final step was a J56 0221 vote J56 0230 for a $230,000 bond issue for the construction of a sewage system by J56 0240 the 1959 town meeting, later confirmed by a two-thirds vote at a special J56 0250 town meeting June 21, 1960. There the matter stands with J56 0260 the prospect that soon Manchester may be removed from the roster of J56 0270 towns contributing raw sewage to its main streams. #@ TELEPHONE AND J56 0280 TELEGRAPH# MANCHESTER'S unusual interest in telegraphy has J56 0290 often been attributed to the fact that the Rev& J& D& Wickham, J56 0300 headmaster of Burr and Burton Seminary, was a personal friend and J56 0310 correspondent of the inventor, Samuel F& B& Morse. At any J56 0320 rate, Manchester did not lag far behind the first commercial system J56 0330 which was set up in 1844 between Baltimore and Washington. In J56 0340 1846 Matthew B& Goodwin, jeweler and watchmaker, became the town's J56 0350 first telegrapher in a dwelling he built for himself and his business J56 0360 "two doors north of the Equinox House" or "one door north J56 0370 of the Bank, Manchester, Vermont". Goodwin was telegrapher for J56 0380 the "American Telegraph Company" and the "Troy and Canada J56 0390 Junction Telegraph Company". Shares of capital stock at $15 each J56 0400 in the latter company were payable at the Bank of Manchester or at J56 0410 various other Vermont banks. A message of less than fifteen words to J56 0420 Bennington cost twenty-five cents. By 1871 L& C& Orvis, J56 0430 manager of the "Western Union Telegraph Company", expressed J56 0440 willingness to send emergency telegrams on Sundays from his Village J56 0450 drugstore. Orvis even needed to hire an assistant, Clark J& Wait. J56 0460 The commented editorially on the surprising J56 0470 amount of local telegraphic business. In the fall of 1878, J56 0480 the "Popular Telegraph Line" was established between Manchester J56 0490 and Factory Point by the owners, Paul W& Orvis, Henry Gray, J56 0500 J& N& Hard, and Clark J& Wait. The line soon lived up J56 0510 to its name, as local messages of moderate length could be sent for a J56 0520 dime and the company was quickly able to declare very liberal dividends J56 0530 on its capital stock. In 1879 the same Clark Wait, with H& J56 0540 H& Holley of South Dorset, formed the "American Telegraph J56 0550 Line", extending from Manchester Depot via Factory Point and J56 0560 South Dorset to Dorset. Besides being most convenient, the line "soon J56 0570 proved a good investment for the owners". Telegraphers at the J56 0580 Depot at this time were Aaron C& Burr and Mark Manley of "Burr J56 0590 and Manley", dealers in lumber and dry goods. Early equipment J56 0600 was very flimsy; the smallest gusts of wind toppled poles, J56 0610 making communications impossible. But companies continued to spring J56 0620 up. By 1883 the "Battenkill Telegraph Company" was in existence J56 0630 and Alvin Pettibone was its president. Operating in 1887 was the J56 0640 "Valley Telegraph Line", officers of which were E& C& Orvis, J56 0650 president; H& K& Fowler, vice-president and secretary; J56 0660 J& N& Hard, treasurer; F& H& Walker, superintendent; J56 0670 H& S& Walker, assistant superintendent. Two companies now had J56 0680 headquarters with Clark J& Wait, who by then had his own drugstore J56 0690 at Factory Point- the "Northern Union Telegraph Company" J56 0700 and the "Western Union". Operators were Arthur Koop and J56 0701 Norman J56 0710 Taylor. Still existing on a "Northern Union" telegraph form J56 0720 is a typical peremptory message from Peru grocer J& J& Hapgood J56 0730 to Burton and Graves' store in Manchester- "Get and send J56 0740 by stage sure four pounds best Porterhouse or serloin stake, for Mrs& J56 0750 Hapgood send six sweet oranges". About 1888 J& E& J56 0760 McNaughton of Barnumville and E& G& Bacon became proprietors J56 0770 of the "Green Mountain Telegraph Company", connecting all offices J56 0780 on the Western Union line and extending over the mountain from J56 0790 Barnumville to Peru, Londonderry, South Londonderry, Lowell Lake, J56 0800 Windham, North Windham, Grafton, Cambridgeport, Saxton's J56 0810 River, and Bellows Falls. From 1896 until 1910 John H& J56 0820 Whipple was manager of Western Union at the Center in the drugstore J56 0830 he purchased from Clark Wait. The Village office of Western Union J56 0840 with George Towsley as manager and telegrapher continued in Hard's J56 0850 drugstore until 1905. During the summers, Towsley often needed J56 0860 the assistance of a company operator. These were the years when J56 0870 people flocked to Manchester not only to play golf, which had come J56 0880 into vogue, but also to witness the Ekwanok Country Club tournaments. J56 0890 New Yorkers were kept informed of scores by reporters who telegraphed J56 0900 fifteen to twenty thousand words daily to the metropolitan newspapers. J56 0910 This boosted local telegraph business and Manchester basked in J56 0920 all the free advertising. In 1914 when the town was chosen for the J56 0930 U& S& Amateur Golf tournament, a representative hurried here from J56 0940 the Boston manager's office. In his wake came the District Traffic J56 0950 Supervisor and the cream of the telegraphic profession, ten of J56 0960 Boston's best, chosen for their long experience and thorough knowledge J56 0970 of golf. During that tournament alone, some 250,000 words winged J56 0980 their way out of Manchester. The old Morse system was replaced J56 0990 locally by the Simplex modern automatic method in 1929, when Ellamae J56 1000 Heckman (Wilcox) was manager of the Western Union office. During J56 1010 summers, business was so brisk that Mrs& Wilcox had two assistants J56 1020 and a messenger. She was succeeded by Clarence Goyette. Since J56 1030 that time the telegraph office has shifted in location from the railroad J56 1040 station at the Depot and shops at the Center back to the town clerk's J56 1050 office and drugstore at the Village. After being located for J56 1060 some years in the Village at the Equinox Pharmacy under the supervision J56 1070 of Mrs& Harry Mercier, it is presently located in the Hill J56 1080 and Dale Shop, Manchester Center. The first known telephone J56 1090 line in Manchester was established in July 1883 between Burr and J56 1100 Manley's store at Manchester Depot and the Kent and Root Marble J56 1110 Company in South Dorset. This was extended the following year J56 1120 to include the railroad station agent's office and Thayer's Hotel J56 1130 at Factory Point. In November 1887 a line connecting several dwelling J56 1140 houses in Dorset was extended to Manchester Depot. Telephone J56 1150 wires from Louis Dufresne's house in East Manchester to the Dufresne J56 1160 lumber job near Bourn Pond were up about 1895. Eber L& Taylor J56 1170 of Manchester Depot recorded the setting of phone poles in East J56 1180 Dorset and Barnumville in his diary for 1906. These must have been J56 1190 for local calls strictly, as in May 1900 the "only long distance J56 1200 telephone" in town was transferred from C& B& Carleton's to J56 1210 Young's shoe store. A small single switchboard was installed J56 1220 in the Village over Woodcock's hardware store (later E& H& J56 1230 Hemenway's). George Woodcock was manager and troubleshooter; J56 1240 Elizabeth Way was the first operator; and a night operator was also J56 1250 employed. Anyone fortunate enough to have one of those early phones J56 1260 advertised the fact along with the telephone number in the . In 1918 the New England Telephone Company J56 1280 began erecting a building to house its operations on the corner of U& J56 1290 S& Rte& 7 and what is now Memorial Avenue at Manchester Center. J56 1300 Service running through Barnumville and to Bennington County J56 1310 towns east of the mountains was in the hands of the "Gleason Telephone J56 1320 Company" in 1925, but major supervision of telephone lines J56 1330 in Manchester was with the New England Telephone and Telegraph Company, J56 1340 which eventually gained all control. More aerial and underground J56 1350 equipment was installed as well as office improvements to take care J56 1360 of the expanding business. In 1931 Mrs& F& H& Briggs, J56 1370 agent and chief operator, who was to retire in 1946 with thirty years' J56 1380 service, led agency offices in sales for the year with $2,490. J56 1390 William Hitchcock, who retired in 1938, was a veteran of thirty-four J56 1400 years' local service. Another veteran telephone operator was Edith J56 1410 Fleming Blackmer, who had been in the office forty years at the time J56 1420 of her death in 1960. In 1932 Dorset received its own exchange, J56 1430 which made business easier for the Manchester office, but it was J56 1440 not until February 1953 that area service was extended to include Manchester J56 1450 and Dorset. This eliminated toll calls between the two towns. J56 1460 Within a month, calls were up seventy per cent. #@ ELECTRIC J56 1470 POWER# ELECTRICITY plays such an important part in community life J56 1480 today that it is difficult to envision a time when current was not J56 1490 available for daily use. Yet one has to go back only some sixty years. J56 1500 The first mention of an electric plant in Manchester seems J56 1510 to be one installed in Reuben Colvin's and Houghton's gristmill J56 1520 on the West Branch in Factory Point. No records are available as J56 1530 to the date or extent of installation, but it may have been in 1896. J56 1540 On June 14, 1900 the reported that J56 1550 an electrical engineer was installing an electric light plant for Edward J56 1560 S& Isham at "Ormsby Hill". This was working by the end J56 1570 of August and giving satisfactory service. In November 1900 J56 1580 surveying was done under John Marsden on the east mountains to ascertain J56 1590 if it would be possible to get sufficient water and fall to operate J56 1600 an electric power plant. Nothing came of it, perhaps due to lack of J56 1610 opportunity for water storage. The next step was construction J56 1620 by the Manchester Light and Power Company of a plant on the west J56 1630 bank of the Battenkill south of Union Street bridge. This was nearly J56 1640 completed May 23, 1901 with a promise of lights by June 10, but J56 1650 the first light did not go on until September 28. It was at the end J56 1660 of the sidewalk in front of the Dellwood Cemetery cottage. The J56 1670 first directors of the Manchester Light and Power Company were J56 1680 John Marsden, M& L& Manley, William F& Orvis, George Smith, J56 1690 and John Blackmer. The officers were John Marsden, president; J56 1700 John C& Blackmer, vice-president; George Smith, treasurer; J56 1710 and William F& Orvis, secretary. Marsden was manager of the J56 1720 company for ten years and manager of its successor company, the Colonial J56 1730 Light and Power Company, for one year. At about the time J56 1740 the Marsden enterprise was getting under way, the Vail Light and J56 1750 Lumber Company started construction of a chair stock factory on the J56 1760 site of the present Bennington Co-operative Creamery, intending to J56 1770 use its surplus power for generating electricity. Manchester then had J56 1780 two competing power companies until 1904, when the Manchester Light J56 1790 and Power Company purchased the transmission system of the Vail J56 1800 Company. This was fortunate, as the Vail plant burned in 1905. J56 1810 The Colonial Light and Power Company was succeeded by the Vermont J56 1820 Hydro-Electric Corporation, which in turn was absorbed by the J56 1830 Central Vermont Public Service Corporation. The latter now furnishes J56 1840 the area with electricity distributed from a modern sub-station at J56 1850 Manchester Depot which was put into operation February 19, 1930 and J56 1860 was improved in January 1942 by the installation of larger transformers. J56 1870 For a time following the abandonment of the local plant, J56 1880 electric current for Manchester was brought in from the south with J56 1890 an emergency tie-in with the Vermont Marble Company system to the north. J57 0010 Some who have written on have treated it as "a learned J57 0020 diversion of a learned world", "a phantasy with which More amused J57 0030 himself", "a holiday work, a spontaneous overflow of intellectual J57 0040 high spirits, a revel of debate, paradox, comedy and invention". With J57 0050 respect to this view, two points are worth making. First, it appears J57 0060 to be based on the fact that on its title page is described J57 0070 as "festivus", "gay". It overlooks the other fact that J57 0080 it is described as "", "no J57 0090 less salutary than gay". It also overlooks the fact that in a rational J57 0100 lexicon, and quite clearly in More's lexicon, the opposite of J57 0110 serious is not gay but frivolous, and the opposite of gay is not serious J57 0120 but solemn. More believed that a man could be both serious and gay. J57 0130 That a writer who is gay cannot be serious is a common professional J57 0140 illusion, sedulously fostered by all too many academics who mistakenly J57 0150 believe that their frivolous efforts should be taken seriously because J57 0160 they are expressed with that dreary solemnity which is the only mode J57 0170 of expression their authors are capable of. Secondly, to find a learned J57 0180 diversion and a pleasing joke in More's account of the stupid J57 0190 brutalities of early sixteenth century wars, of the anguish of the poor J57 0200 and dispossessed, of the insolence and cruelty of the rich and powerful J57 0210 requires a callousness toward suffering and sin that would be surprising J57 0220 in a moral imbecile and most surprising in More himself. Indeed, J57 0230 it is even surprising in the Canon of Christ Church and Regius J57 0240 Professor of Ecclesiastical History, who fathered this most peculiar J57 0250 view, and in the brilliant Professor of Medieval and Renaissance J57 0260 English at Cambridge, who inherited it and is now its most eminent J57 0270 proponent. But to return to the main line of our inquiry. It J57 0280 is doubtful that is still widely read because More was medieval J57 0290 or even because he was a martyr- indeed, it is likely that these J57 0300 days many who read with interest do not even know that J57 0310 its author was a martyr. is still widely read because in J57 0320 a sense More stood on the margin of modernity. And if he did stand J57 0330 on the margins of modernity, it was not in dying a martyr for such unity J57 0340 as Papal supremacy might be able to force on Western Christendom. J57 0350 It was not even in writing Latin epigrams, sometimes bawdy ones, or J57 0360 in translating Lucian from Greek into Latin or in defending the study J57 0370 of Greek against the attack of conservative academics, or in attacking J57 0380 the conservative theologians who opposed Erasmus's philological J57 0390 study of the New Testament. Similar literary exercises were the J57 0400 common doings of a Christian humanist of the first two decades of the J57 0410 sixteenth century. Had More's writings been wholly limited to such J57 0420 exercises, they would be almost as dimly remembered as those of a dozen J57 0430 or so other authors living in his time, whose works tenuously survive J57 0440 in the minds of the few hundred scholars who each decade in pursuit J57 0450 of their very specialized occasions read those works. More J57 0460 stands on the margins of modernity for one reason alone- because he J57 0470 wrote . And the evidence that he does, indeed, stand there J57 0480 derives quite simply from the vigorous interest with which rather casual J57 0490 readers have responded to that book for the past century or so. J57 0500 Only one other contemporary of More's evokes so immediate and direct J57 0510 a response, and only one other contemporary work- Niccolo Machiavelli J57 0520 and . Can we discover what it is in J57 0530 that has evoked this response? Remember that in seeking the modern J57 0540 in we do not deny the existence of the medieval and the Renaissance J57 0550 there; we do not even need to commit ourselves to assessing J57 0560 on the same inconceivable J57 0570 scale the relative importance of the medieval, the J57 0580 Renaissance, and the modern. The medieval was the most important J57 0590 to Chambers because he sought to place Thomas More, the author of J57 0600 , in some intelligible relation with St& Thomas More, J57 0610 the martyr. To others whose concern it is to penetrate the significance J57 0620 of Christian Humanism, the Renaissance elements are of primary J57 0630 concern. But here we have a distinctly modern preoccupation; we want J57 0640 to know why that book has kept on selling the way it has; we want J57 0650 to know what is perennially new about . What is new J57 0660 about it? To that question the answer is simple; it can be made J57 0670 in two words, Utopian communism. But it is an answer which opens the J57 0680 door wide to an onrush of objections and denials. Surely there is nothing J57 0690 new about communism. We find it in Plato's , and J57 0700 in More acknowledges his debt to that book. We find it J57 0710 in that "common way of life **h pleasing to Christ and **h still in J57 0720 use among the truest societies of Christians", that is, the better J57 0730 monasteries which made it easier to convert the Utopians to J57 0740 Christianity. J57 0750 We find it in the later Stoic conception of man's natural condition J57 0760 which included the community of all possessions. This conception J57 0770 was taken up by the early Church Fathers and by canon lawyers and J57 0780 theologians in the Middle Ages; and More was far too well read not J57 0790 to have come across it in one or several of the forms thus given it. J57 0800 But although the idea of communism is very old even in More's J57 0810 day and did not spring full-clad from his imagination in 1515, it J57 0820 is not communism as such that we are concerned with. We are concerned J57 0830 not with the genus communism nor with other species of the genus: J57 0840 Platonic, Stoic, early Christian, monastic, canonist or theological J57 0850 communism; we are concerned with Utopian communism- that is, simply J57 0860 communism as it appears in the imaginary commonwealth of Utopia, J57 0870 as More conceived it. Perhaps one way to sharpen our sense of the modernity J57 0880 of Utopian communism is to contrast it with the principal earlier J57 0890 types of communistic theory. We will achieve a more vivid sense J57 0900 of what it is by realizing what it is not. In Plato's J57 0910 communism is- to speak anachronistically- a communism of Janissaries. J57 0920 Its function is to separate from the base ruled mass, among J57 0930 whom private ownership prevails, the governing warrior elite. Moreover, J57 0940 it is too readily forgotten that in the what J57 0941 gave J57 0950 the initial impetus to Plato's excursus into the construction of an J57 0960 imaginary commonwealth with its ruling-class communism of goods, wives, J57 0970 and children, was his quest for a canon for the proper ordering of J57 0980 the individual human psyche; and it is to this problem that the J57 0990 ultimately returns. In More's communism is not J57 1000 a means of separating out a warrior elite from the lumpish mass. Utopian J57 1010 communism applies to all Utopians. And in the economy of the J57 1020 book it is not peripheral but central. The concern of is J57 1030 with the , the best ordering of a civil society; J57 1040 and it is again and again made clear that Utopian communism J57 1050 provides the institutional array indispensible to that best ordering. J57 1060 To derive Utopian communism from the Jerusalem Christian community J57 1070 of the apostolic age or from its medieval successors-in-spirit, J57 1080 the monastic communities, is with an appropriate shift of adjectives, J57 1090 misleading in the same way as to derive it from Plato's : J57 1100 in the we have to do with an elite of physical J57 1110 and intellectual athletes, in the apostolic and monastic communities with J57 1120 an elite of spiritual and religious athletes. The apostolic community J57 1130 was literally an elite: chosen by Christ himself. And the monastic J57 1140 communities were supposed to be made up of volunteers selected only J57 1150 after a novitiate which would test their religious aptitude for monastic J57 1160 rigors, their spiritual athleticism. Finally, the conception J57 1170 of the community of all possessions which originated J57 1180 with the Stoics was firmly fixed in a tradition by More's time, although J57 1190 it was not accepted by all the theologian-philosophers of the J57 1200 Middle Ages. In that tradition communism lay a safe distance back in J57 1210 the age of innocence before the Fall of Man. It did not serve to J57 1220 contrast the existing order of society with a possible alternative order, J57 1230 because the age of innocence was not a possible alternative once man J57 1240 had sinned. The actual function of patristic-civilian-canonist-scholastic J57 1250 communism was adequately set forth by St& Gregory almost a J57 1260 millenium before More wrote . "The soil is common J57 1270 to all men **h. When we give the necessities of life to the poor, J57 1280 we restore to them what is already theirs. We should think of it more J57 1290 as an act of justice than compassion". Because community not J57 1300 severalty of property is the law of nature no man can assert an absolutely J57 1310 unalterable right to what is his. Indeed, of all that is his every J57 1320 man is by nature and reason and therefore by conscience obligated J57 1330 to regard himself as a custodian. He is a trustee for the common good, J57 1340 however feeble the safeguards which the positive or municipal law of J57 1350 property provides against his misuse of that share of the common fund, J57 1360 wisely or unwisely, entrusted to his keeping. In contrast to this J57 1370 Stoic-patristic view, implies that the nature of man is such J57 1380 that to rely on individual conscience to supply the deficiencies of J57 1390 municipal law is to embark on the bottomless sea of human sinfulness J57 1400 in a sieve. The Utopians brace conscience with legal sanctions. In J57 1410 a properly ordered society the massive force of public law performs the J57 1420 function which in natural law theory ineptly is left altogether to J57 1430 a small voice so often still. In all the respects just J57 1440 indicated J57 1450 Utopian communism differs from previous conceptions in which community J57 1460 of possessions and living plays a role. Neither from one of these J57 1470 conceptions nor from a combination of them can it be deduced. We do J57 1480 not deny originality to the because Aeschylus found the J57 1490 tales of the house of Atreus among the folk lore of the Greeks. In J57 1500 a like sense whatever bits or shreds of previous conceptions one may J57 1510 find in it, Utopian communism remains, as an integral whole, original- J57 1520 a new thing. It is not merely a new thing; it is one of the very J57 1530 few new things in ; most of the rest is medieval or humanist J57 1540 or part of an old tradition of social criticism. But to say that J57 1550 at a moment in history something is is not necessarily to say J57 1560 that it is modern; and for this statement the best evidence comes J57 1570 within the five years following the publication of , when J57 1580 Martin Luther elaborates a new perception of the nature of the Divine's J57 1590 encounter with man. New, indeed, is Luther's perception, but J57 1600 not modern, as anyone knows who has ever tried to make intelligible J57 1610 to modern students what Luther was getting at. Although Utopian J57 1620 communism is both new in 1516 and also modern, it is not modern communism J57 1630 or even modern socialism, as they exist or have ever existed in J57 1640 theory or in practice. Consider the features of Utopian communism: J57 1650 generous public provision for the infirm; democratic and secret elections J57 1660 of all officers including priests, meals taken publicly in common J57 1670 refectories; a common habit or uniform prescribed for all citizens; J57 1680 even houses changed once a decade; six hours of manual labor J57 1690 a day for all but a handful of magistrates and scholars, and careful measures J57 1700 to prevent anyone from shirking; no private property, no money; J57 1710 no sort of pricing at all for any goods or services, and therefore J57 1720 no market in the economic sense of the term. Whatever the merits of J57 1730 its intent, Utopian communism is far too naive, far too crude, to suit J57 1740 any modern socialist or communist. It is not the details of Utopian J57 1750 communism that make modern, it is the spirit, the attitude J57 1760 of mind that informs those details. What that spirit and attitude J57 1770 were we can best understand if we see more precisely how it contrasts J57 1780 with the communist tradition with the longest continuous history, the J57 1790 one which reached Christianity by the way of Stoicism through the J57 1800 Church Fathers of Late Antiquity. J58 0010 During the Dorr trial the Democratic press condemned the proceedings J58 0020 and heralded Dorr as a martyr to the principles of the Declaration J58 0030 of Independence. During the Brown trial, however, the state's J58 0040 most powerful Democratic newspaper, the Providence , J58 0050 stated that Brown was a murderer, a man of blood, and that he and J58 0060 his associates, with the assistance of Republicans and Abolitionists, J58 0070 had plotted not only the liberation of the slaves but also the overthrow J58 0080 of state and federal governments. The Providence J58 0090 answered the by stating that the raid of John J58 0100 Brown was characteristic of Democratic acts of violence and that "He J58 0110 was acting in direct opposition to the Republican Party, who proclaim J58 0120 as one of their cardinal principles that they do not interfere J58 0130 with slavery in the states". The two major newspapers in Providence J58 0140 continued, throughout the crisis, to accuse each other of misrepresenting J58 0150 the facts and attempting to falsify history. While the J58 0160 continued to accuse Republicans and the J58 0170 continued to accuse Democrats, the Woonsocket complained J58 0180 that the Virginia authorities showed indecent and cowardly J58 0190 haste to condemn Brown and his men. Editor Foss stated, "Of their J58 0200 guilt **h there can be no doubt **h but they are entitled to sufficient J58 0210 time to prepare for trial, and **h a fair trial". The Providence J58 0220 thought that there were probably good reasons for J58 0230 the haste in which the trial was being conducted and that the only thing J58 0240 gained by a delay would be calmer feelings. The Providence stated that although the guilt of Brown was evident, the J58 0260 South must guarantee him a fair trial to preserve domestic peace. J58 0270 On October 31, 1859, John Brown was found guilty of treason J58 0280 against the state of Virginia, inciting slave rebellion, and murder. J58 0290 For these crimes he was sentenced to be hanged in public on Friday, J58 0300 December 2, 1859. Upon receiving the news, Northern writers, editors, J58 0310 and clergymen heaped accusations of murder on the Southern states, J58 0320 particularly Virginia. Although Rhode Islanders were preparing J58 0330 for the state elections, they watched John Brown's trial with J58 0340 extreme interest. On Wednesday morning, November 2, 1859, the Providence J58 0350 stated that although Brown justly deserved J58 0360 the extreme penalty, no man, however criminal, ought to suffer the penalty J58 0370 without a fairer trial. The editor's main criticism of the trial J58 0380 was the haste with which it was conducted. The readers of the Providence J58 0390 , however, learned that it was generally conceded J58 0400 that "Old Brown" had a fair trial. Concerning the sentence J58 0410 the editor asked, "What else can Virginia do than to hang the men J58 0411 who have J58 0420 defied her laws, organized treason, and butchered her citizens". J58 0430 In the eastern section of the state the newspapers' reaction J58 0440 to Brown's trial and sentence were basically identical. J& J58 0450 Wheaton Smith, editor of the Warren stated that "the J58 0460 ends of justice must be satisfied, a solitary example must be set, J58 0470 in order that all those misnamed philantropists [], who, actuated J58 0480 by a blind zeal, dare to instigate riot, treason, and murder, may J58 0490 heed it and shape their future course accordingly". The editor of J58 0500 the Newport could discover no evidence of extenuating J58 0510 circumstances in the Brown trial which would warrant making an exception J58 0520 to the infliction of capital punishment. In direct contrast J58 0530 to the other Rhode Island editors, Samuel S& Foss of the Woonsocket J58 0540 outwardly condemned the trial as being completely J58 0550 unfair. Concerning the sentence, Foss wrote, "If it be possible J58 0560 **h that mercy shall override vengeance **h and that John Brown's J58 0570 sentence shall be commuted to imprisonment, it would be well- well J58 0580 for the country **h and for Virginia". Despite the excitement J58 0590 being caused by the trial and sentence of John Brown, Rhode Islanders J58 0600 turned their attention to the state elections. The state had J58 0610 elected Republican candidates in the past two years. There was no doubt J58 0620 as to the control the Republican party exercised throughout the J58 0630 state. If it failed on occasion to elect its candidates for general state J58 0640 offices by majorities, the failure was due to a lingering remnant J58 0650 of the Know-Nothing party, which called itself the American Republican J58 0660 party. The American Republicans and the Republicans both nominated J58 0670 Lieutenant-Governor Turner for governor. Elisha R& Potter J58 0680 was the Democratic candidate. The results of the election of 1859 J58 0690 found Republican candidates not only winning the offices of governor J58 0700 and lieutenant-governor but also obtaining the two Congressional offices J58 0710 from the eastern and western sections of the state. During J58 0720 the month of November hardly a day passed when there was not some mention J58 0730 of John Brown in the Rhode Island newspapers. On November J58 0740 7, 1859, the Providence reprinted a letter sent J58 0750 to John Brown from "E& B&", a Quaker lady in Newport. In J58 0760 reference to Brown's raid she wrote, "though we are non-resistants J58 0770 and religiously believe it better to reform by moral and not by carnal J58 0780 weapons **h we know thee was anemated [] by the most generous J58 0790 and philanthropic motives". "E& B&" compared John Brown J58 0800 to Moses in that they were both acting to deliver millions from J58 0810 oppression. In contrast to "E& B&", most Rhode Islanders J58 0820 hardly thought of John Brown as being another Moses. Most attempts J58 0830 to develop any sympathy for Brown and his actions found an unresponsive J58 0840 audience in Rhode Island. On Wednesday evening, November J58 0850 23, 1859, in Warren, Rev& Mark Trafton of New Bedford, gave J58 0860 a "Mission of Sympathy" lecture in which he favorably viewed the J58 0870 Harper's Ferry insurrection. The Warren stated J58 0880 that many of Rev& Trafton's remarks were inappropriate and savored J58 0890 strongly of radicalism and fanaticism. In its account of the Trafton J58 0900 lecture, the Providence said that the remarks J58 0910 of J58 0920 Rev& Trafton made the people indignant. No sympathy or admiration J58 0930 for Brown could be found in the Providence , J58 0940 for the editor claimed that there were a score of men in the state prison J58 0950 who were a thousand times more deserving of sympathy. The Providence J58 0960 , however, stated that Brown's courage, bravery, J58 0980 and heroism "in a good cause would make a man a martyr; it gives J58 0990 something of dignity even to a bad one". The Woonsocket J58 1000 admitted that John Brown might deserve punishment or imprisonment J58 1010 "but he should no more be hung than Henry A& Wise or James J58 1020 Buchanan". The Newport exhibited more concern over J58 1030 the possibility of the abolitionists making a martyr of Brown than it J58 1040 did over the development of sympathy for him. In her letter J58 1050 to John Brown, "E& B&", the Quakeress from Newport, had J58 1060 suggested that the American people owed more honor to John Brown for J58 1070 seeking to free the slaves than they did to George Washington. During J58 1080 the latter days of November to the day of Brown's execution, J58 1090 it seems that most Rhode Islanders did not concur in "E& B&'s" J58 1100 suggestion. On November 22, 1859, the Providence J58 1120 stated that although Brown's "pluck" and honest fanaticism J58 1130 must be admired, any honor paid to Brown would only induce other fanatics J58 1140 to imitate his actions. A week later the J58 1150 had J58 1160 discovered the initial plans of some Providence citizens to hold a J58 1170 meeting honoring John Brown on the day of his execution. The editor J58 1180 of the warned, "**h that if such a demonstration J58 1190 be made, it will not find support or countenance from any of the men J58 1200 whose names are recognized as having a right to speak for Providence". J58 1210 The Providence 's editor wrote that he could J58 1220 not J58 1230 believe that a meeting honoring Brown was to be held in Providence. J58 1240 He further called upon the people of Providence to rebuke the meeting J58 1250 and avoid disgrace. On December 2, 1859, John Brown was J58 1260 hanged at Charles Town, Virginia. Extraordinary precautions were J58 1270 taken so that no stranger be allowed in the city and no citizen within J58 1280 the enclosure surrounding the scaffold. In many Northern towns and J58 1290 cities meetings were held and church bells were tolled. Such was not J58 1300 the case in Rhode Island. The public demonstration in honor J58 1310 of John Brown was held at Pratt's Hall in Providence, on the J58 1320 day of his execution. Despite the opposition of the city newspapers, J58 1330 the Pratt Hall meeting "brought together a very respectable J58 1340 audience, composed in part of those who had been distinguished for years J58 1350 for their radical views upon the subject of slavery, of many of our J58 1360 colored citizens, and of those who were attracted to the place by the J58 1370 novelty of such a gathering". Seated on the platform were Amos C& J58 1380 Barstow, ex-mayor of Providence and a wealthy Republican stove J58 1390 manufacturer; Thomas Davis, an uncompromising Garrisonian; the J58 1400 Reverend Augustus Woodbury, a Unitarian minister; the Reverend J58 1410 George T& Day, a Free-Will Baptist; Daniel w& Vaughan, J58 1420 and William H& H& Clements. The latter two were appointed secretaries. J58 1430 The first speaker was Amos C& Barstow who had been unanimously J58 1440 chosen president of the meeting. He spoke of his desire to promote J58 1450 the abolition of slavery by peaceable means and he compared John J58 1460 Brown of Harper's Ferry to the John Brown of Rhode Island's J58 1470 colonial period. Barstow concluded that as Rhode Island's John J58 1480 Brown became a canonized hero, if not a saint, so would it be with J58 1490 John Brown of Harper's Ferry. The next speaker was George J58 1500 T& Day. Although admitting Brown's guilt on legal grounds, J58 1510 Day said that, "Brown is no common criminal; his deed was not J58 1520 below, but above the law". J58 1530 Following Day was Woodbury who spoke of his J58 1540 disapproval of Brown's attempt at servile insurrection, his admiration J58 1550 of Brown's character, and his opposition to slavery. Woodbury's J58 1560 remarks were applauded by a portion of the audience several times J58 1570 and once there was hissing. The fourth and last speaker was Thomas J58 1580 Davis. By this time large numbers of the audience had left the J58 1590 hall. Davis commenced his remarks by an allusion to the general feeling J58 1600 of opposition which the meeting had encountered from many of the J58 1610 citizens and all the newspapers of the city. He said that the propriety J58 1620 or impropriety of such a gathering was a question that was to be settled J58 1630 by every man in accordance with the convictions of private judgments. J58 1640 In the remainder of his speech Davis spoke of his admiration for J58 1650 Brown and warned those who took part in the meeting that they "are J58 1660 liable to the charge that they are supporting traitors and upholding J58 1670 men whom the laws have condemned". He recalled that in Rhode Island J58 1680 a party opposed to the state's condemnation of a man (Thomas W& J58 1690 Dorr) proclaimed the state's action as a violation of the law J58 1700 of the land and the principles of human liberty. At the close of Davis' J58 1710 speech the following preamble and resolutions were read by the president, J58 1720 and on the question of their adoption passed unanimously: J58 1730 Whereas, John Brown has cheerfully risked his life in endeavoring J58 1750 to deliver those who are denied all rights **h and is this day doomed J58 1760 to suffer death for his efforts in behalf of those who have no helper: J58 1770 Therefore, Resolved that, while we most decidedly disapprove J58 1780 the methods he adopted to accomplish his objects, yet **h in his J58 1790 willingness to die in aid of the great cause of human freedom, we still J58 1800 recognize the qualities of a noble nature and the exercise of a spirit J58 1810 which true men have always admired and which history never fails J58 1820 to honor. Resolved that his wrongs and bereavements in Kansas, J58 1830 occasioned by the violence and brutality of those who were intent on J58 1840 the propagation of slavery in that territory, call for a charitable J58 1850 judgment upon his recent efforts in Virginia to undermine the despotism J58 1860 from which he had suffered, and commend his family to the special J58 1870 sympathy and aid of all who pity suffering and reverence justice. J58 1880 Resolved **h that the anti-slavery sentiment is becoming ripe for J58 1890 resolute action. Resolved, that we find in this fearful tragedy J58 1900 at Harper's Ferry a reason for more earnest effort to remove the J58 1910 evil of slavery from the whole land as speedily as possible **h. J58 1920 On the morning following the Pratt Hall meeting the editor of the J58 1930 Providence wrote that although the meeting was J58 1940 milder and less extreme than those held in other areas for similar purposes, J58 1950 it could have been avoided completely. J59 0010 Rather than being deceived, the eye is puzzled; instead of seeing objects J59 0020 in space, it sees nothing more than- a picture. Through J59 0030 1911 and 1912, as the Cubist facet-plane's tendency to adhere to J59 0040 the literal surface became harder and harder to deny, the task of keeping J59 0050 the surface at arm's length fell all the more to eye-undeceiving J59 0060 contrivances. To reinforce, and sometimes to replace, the simulated J59 0070 typography, Braque and Picasso began to mix sand and other foreign J59 0080 substances with their paint; the granular texture thus created likewise J59 0090 called attention to the reality of the surface and was effective J59 0100 over much larger areas. In certain other pictures, however, Braque began J59 0110 to paint areas in exact simulation of wood graining or marbleizing. J59 0120 These areas by virtue of their abrupt density of pattern, stated the J59 0130 literal surface with such new and superior force that the resulting J59 0140 contrast drove the simulated printing into a depth from which it could J59 0150 be rescued- and set to shuttling again- only by conventional perspective; J59 0160 that is, by being placed in such relation to the forms depicted J59 0170 within the illusion that these forms left no room for the typography J59 0180 except near the surface. The accumulation of such devices, J59 0190 however, soon had the effect of telescoping, even while separating, J59 0200 surface and depth. The process of flattening seemed inexorable, and it J59 0210 became necessary to emphasize the surface still further in order to J59 0220 prevent it from fusing with the illusion. It was for this reason, and J59 0230 no other that I can see, that in September 1912, Braque took the radical J59 0240 and revolutionary step of pasting actual pieces of imitation-woodgrain J59 0250 wallpaper to a drawing on paper, instead of trying to simulate J59 0260 its texture in paint. Picasso says that he himself had already made J59 0270 his first collage toward the end of 1911, when he glued a piece of J59 0275 imitation-caning J59 0280 oilcloth to a painting on canvas. It is true that his first J59 0290 collage looks more Analytical than Braque's, which would confirm J59 0300 the date he assigns it. But it is also true that Braque was the J59 0310 consistent pioneer in the use of simulated textures as well as of typography; J59 0320 and moreover, he had already begun to broaden and simplify the J59 0330 facet-planes of Analytical Cubism as far back as the end of 1910. J59 0340 ## When we examine what each master says was his first collage we J59 0350 see that much the same thing happens in each. (It makes no real difference J59 0360 that Braque's collage is on paper and eked out in charcoal, J59 0370 while Picasso's is on canvas and eked out in oil.) By its greater J59 0380 corporeal presence and its greater extraneousness, the affixed paper J59 0390 or cloth serves for a seeming moment to push everything else into a more J59 0400 vivid of depth than the simulated printing or simulated textures J59 0410 had ever done. But here again, the surface-declaring device both J59 0420 overshoots and falls short of its aim. For the illusion of depth created J59 0430 by the contrast between the affixed material and everything else J59 0440 gives way immediately to an illusion of forms in bas-relief, which gives J59 0450 way in turn, and with equal immediacy, to an illusion that seems J59 0460 to contain both- or neither. Because of the size of the areas J59 0470 it covers, the pasted paper establishes undepicted flatness , J59 0480 as more than an indication or sign. Literal flatness now tends to J59 0490 assert itself as the main event of the picture, and the device boomerangs: J59 0500 the illusion of depth is rendered even more precarious than before. J59 0510 Instead of isolating the literal flatness by specifying and circumscribing J59 0520 it, the pasted paper or cloth releases and spreads it, and J59 0530 the artist seems to have nothing left but this undepicted flatness with J59 0540 which to finish as well as start his picture. The actual surface J59 0550 becomes both ground and background, and it turns out- suddenly and paradoxically- J59 0560 that the only place left for a three-dimensional illusion J59 0570 is in of, , the surface. In their very first collages, J59 0580 Braque and Picasso draw or paint and the affixed J59 0590 paper or cloth, so that certain of the principal features of their J59 0600 subjects seem to thrust out into real, bas-relief space- J59 0610 or to be about to do so- while the rest of the subject remains J59 0620 imbedded in, or flat upon, the surface. And the surface is driven back, J59 0630 in its very surfaceness, only by this contrast. In the upper J59 0640 center of Braque's first collage, (in Douglas J59 0650 Cooper's collection), a bunch of grapes is rendered with such conventionally J59 0660 vivid sculptural effect as to lift it practically off the picture J59 0670 plane. The illusion here is no longer enclosed J59 0680 between parallel flatnesses, but seems to thrust through the surface J59 0690 of the drawing paper and establish depth of it. Yet the J59 0700 violent immediacy of the wallpaper strips pasted to the paper, and the J59 0710 only lesser immediacy of block capitals that simulate window lettering, J59 0720 manage somehow to push the grape cluster back into place on the picture J59 0730 plane so that it does not "jump". At the same time, the wallpaper J59 0740 strips themselves seem to be pushed into depth by the lines and J59 0750 patches of shading charcoaled upon them, and by their placing in relation J59 0760 to the block capitals; and these capitals seem in turn to be pushed J59 0770 back by placing, and by contrast with the corporeality J59 0780 of the woodgraining. Thus every part and plane of the picture keeps J59 0790 changing place in relative depth with every other part and plane; and J59 0800 it is as if the only stable relation left among the different parts J59 0810 of the picture is the ambivalent and ambiguous one that each has with J59 0820 the surface. And the same thing, more or less, can be said of the contents J59 0830 of Picasso's first collage. In later collages of both J59 0840 masters, a variety of extraneous materials are used, sometimes in the J59 0850 same work, and almost always in conjunction with every other eye-deceiving J59 0860 and eye-undeceiving device they can think of. The area adjacent J59 0870 to one edge of a piece of affixed material- or simply of a painted-in J59 0880 form- will be shaded to pry that edge away from the surface, while J59 0890 something will be drawn, painted or even pasted over another part of J59 0900 the same shape to drive it back into depth. Planes defined as parallel J59 0910 to the surface also cut through it into real space, and a depth is J59 0920 suggested optically which is greater than that established pictorially. J59 0930 All this expands the oscillation between surface and depth so as to J59 0940 encompass fictive space in front of the surface as well as behind it. J59 0950 Flatness may now monopolize everything, but it is a flatness become J59 0960 so ambiguous and expanded as to turn into illusion itself- at least J59 0970 an optical if not, properly speaking, a pictorial illusion. Depicted, J59 0980 Cubist flatness is now almost completely assimilated to the literal, J59 0990 undepicted kind, but at the same time it reacts upon and largely transforms J59 1000 the undepicted kind- and it does so, moreover, without depriving J59 1010 the latter of its literalness; rather, it underpins and reinforces J59 1020 that literalness, re-creates it. ## Out of this re-created literalness, J59 1030 the Cubist subject reemerged. For it had turned out, by a J59 1040 further paradox of Cubism, that the means to an illusion of depth and J59 1050 plasticity had now become widely divergent from the means of representation J59 1060 or imaging. In the Analytical phase of their Cubism, Braque J59 1070 and Picasso had not only had to minimize three-dimensionality simply J59 1080 in order to preserve it; they had also had to it- J59 1090 to the point, finally, where the illusion of depth and relief became abstracted J59 1100 from specific three-dimensional entities and was rendered largely J59 1110 as the illusion of depth and relief as a disembodied J59 1120 attribute and expropriated property detached from everything not itself. J59 1130 In order to be saved, plasticity had had to be isolated; and J59 1140 as the aspect of the subject J59 1150 was transposed into those clusters of more or less interchangeable J59 1160 and contour-obliterating facet-planes by which plasticity J59 1170 was isolated under the Cubist method, the subject itself became largely J59 1180 unrecognizable. Cubism, in its 1911-1912 phase (which the French, J59 1190 with justice, call "hermetic") was on the verge of abstract art. J59 1200 It was then that Picasso and Braque were confronted with J59 1210 a unique dilemma: they had to choose illusion and representation. J59 1220 If they opted for illusion, it could only be illusion per se- J59 1230 an illusion of depth, and of relief, so general and abstracted as J59 1240 to exclude the representation of individual objects. If, on the other J59 1250 hand, they opted for representation, it had to be representation per J59 1260 se- representation as image pure and simple, without connotations (at J59 1270 least, without more than schematic ones) of the three-dimensional space J59 1280 in which the objects represented originally existed. It was the J59 1290 collage that made the terms of this dilemma clear: the representational J59 1300 could be restored and preserved only on the flat and literal surface J59 1310 now that illusion and representation had become, for the first time, J59 1320 mutually exclusive alternatives. In the end, Picasso and Braque J59 1330 plumped for the representational, and it would seem they did so J59 1340 deliberately. (This provides whatever real justification there is for J59 1350 the talk about "reality".) But the inner, formal logic of Cubism, J59 1360 as it worked itself out through the collage, had just as much to do J59 1370 with shaping their decision. When the smaller facet-planes of Analytical J59 1380 Cubism were placed upon or juxtaposed with the large, dense shapes J59 1390 formed by the affixed materials of the collage, they had to coalesce- J59 1400 become "synthesized"- into larger planar shapes themselves J59 1410 simply in order to maintain the integrity of the picture plane. Left J59 1420 in their previous atom-like smallness, they would have cut away too abruptly J59 1430 into depth; and the broad, opaque shapes of pasted paper would J59 1440 have been isolated in such a way as to make them jump out of plane. J59 1450 Large planes juxtaposed with other large planes tend to assert themselves J59 1460 as shapes, and to the extent that they are flat, J59 1470 they also assert themselves as silhouettes; and independent silhouettes J59 1480 are apt to coincide with the recognizable contours of the subject J59 1490 from which a picture starts (if it does start from a subject). It was J59 1500 because of this chain-reaction as much as for any other reason- that J59 1510 is, because of the growing independence of the planar unit in collage J59 1520 as a - that the identity of depicted objects, or at least J59 1530 parts of them, re-emerged in Braque's and Picasso's J59 1540 and continued to remain more conspicuous there- but only as J59 1550 flattened silhouettes- than in any of their paintings done wholly in J59 1560 oil before the end of 1913. Analytical Cubism came to an end J59 1570 in the collage, but not conclusively; nor did Synthetic Cubism fully J59 1580 begin there. Only when the collage had been exhaustively translated J59 1590 into oil, and transformed by this translation, did Cubism become J59 1600 an affair of positive color and flat, interlocking silhouettes whose legibility J59 1610 and placement created allusions to, if not the illusion of, J59 1620 unmistakable three-dimensional identities. Synthetic Cubism began J59 1630 with Picasso alone, late in 1913 or early in 1914; this was the J59 1640 point at which he finally took the lead in Cubist innovation away from J59 1650 Braque, never again to relinquish it. But even before that, Picasso J59 1660 had glimpsed and entered, for a moment, a certain revolutionary path J59 1670 in which no one had preceded him. It was as though, in that instant, J59 1680 he had felt the flatness of collage as too constricting and had suddenly J59 1690 tried to escape all the way back- or forward- to literal three-dimensionality. J59 1700 This he did by using utterly literal means to carry J59 1710 the forward push of the collage (and of Cubism in general) J59 1720 into the literal space in front of the picture plane. Some J59 1730 time in 1912, Picasso cut out and folded a piece of paper in the J59 1740 shape of a guitar; to this he glued and fitted other pieces of paper J59 1750 and four taut strings, thus creating a sequence of flat surfaces in real J59 1760 and sculptural space to which there clung only the vestige of a picture J59 1770 plane. The affixed elements of collage were extruded, as it were, J59 1780 and cut off from the literal pictorial surface to form a bas-relief. J60 0010 (Los Angeles in 1957 finally bowed to the skyscraper.) And without J60 0020 high density in the core, rapid-transit systems cannot be maintained J60 0030 economically, let alone built from scratch at today's prices. J60 0040 However, the building of freeways and garages cannot continue forever. J60 0050 The new interchange among the four Los Angeles freeways, including J60 0060 the grade-constructed accesses, occupies by itself no less than of downtown land, one-eighth of a square mile, an area J60 0080 about the size of Rockefeller Center in New York. It is hard to believe J60 0090 that this mass of intertwined concrete constitutes what the law J60 0100 calls "the highest and best use" of centrally located urban land. J60 0110 As it affects the city's fiscal situation, such an interchange is J60 0120 ruinous; it removes forever from the tax rolls property which should J60 0130 be taxed to pay for the city services. Subways improved land values J60 0140 without taking away land; freeways boost valuation less (because the J60 0150 garages they require are not prime buildings by a long shot), and reduce J60 0160 the acreage that can be taxed. Downtown Los Angeles is already J60 0170 two-thirds freeway, interchange, street, parking lot and garage- one J60 0180 of those preposterous "if" statistics has already come to pass. J60 0190 The freeway with narrowly spaced interchanges concentrates and J60 0200 mitigates the access problem, but it also acts inevitably as an artificial, J60 0210 isolating boundary. City planners do not always use this boundary J60 0220 as effectively as they might. Less ambitious freeway plans may be J60 0230 more successful- especially when the roadways and interchanges are J60 0240 raised, allowing for cross access at many points and providing parking J60 0250 areas below the ramp. ## Meanwhile, the automobile and its friend J60 0260 the truck have cost the central city some of its industrial dominance. J60 0270 In ever greater numbers, factories are locating in the suburbs or J60 0280 in "industrial parks" removed from the city's political jurisdiction. J60 0290 The appeal of the suburb is particularly strong for heavy industry, J60 0300 which must move bulky objects along a lengthy assembly line and wants J60 0310 enough land area to do the entire job on one floor. To light industry, J60 0320 the economies of being on one floor are much slighter, but efficiency J60 0330 engineers usually believe in them, and manufacturers looking for J60 0340 ways to cut costs cannot be prevented from turning to efficiency engineers. J60 0350 This movement of industry away from the central cities J60 0360 is not so catastrophically new as some prophets seem to believe. It J60 0370 is merely the latest example of the leapfrog growth which formed the pattern J60 0380 of virtually all American cities. The big factories which are J60 0390 relatively near the centers of our cities- the rubber factories in J60 0400 Akron, Chrysler's Detroit plants, U&S&Steel's Pittsburgh J60 0410 works- often began on these sites at a time when was the J60 0420 edge of the city, yet close to transport (river), storage (piers) and J60 0430 power (river). The "leapfrog" was a phenomenon of the railroad and J60 0440 the steam turbine, and the time when the belts of residence surrounding J60 0450 the old factory area were not yet blighted. The truck and J60 0460 the car gave the manufacturer a new degree of freedom in selecting his J60 0470 plant site. Until internal combustion became cheap, he had to be near J60 0480 a railroad siding and a trolley line or an existing large community J60 0490 of lower-class homes. The railroad siding is still important- it J60 0500 is usually, though not always, true that long-haul shipment by rail is J60 0510 cheaper than trucking. But anybody who promises a substantial volume J60 0520 of business can get a railroad to run a short spur to his plant these J60 0530 days, and many businesses can live without the railroad. And there J60 0540 are now many millions of workers for whom the factory with the big parking J60 0550 lot, which can be reached by driving across or against the usual J60 0560 pattern of rush hour traffic and grille-route bus lines, is actually J60 0570 more convenient than the walk-to factory. Willow Run, General J60 0580 Electric's enormous installations at Louisville and Syracuse, the J60 0590 Pentagon, Boeing in Seattle, Douglas and Lockheed in Los Angeles, J60 0600 the new automobile assembly plants everywhere- none of these is J60 0610 substantially served by any sort of conventional mass rapid transit. J60 0620 They are all suburban plants, relying on the roads to keep them supplied J60 0630 with workers. And wherever the new thruways go up their banks are J60 0640 lined by neat glass and metal and colored brick light industry. The J60 0650 drive along Massachusetts' Route 128, the by-pass which makes an J60 0660 arc about twenty miles from downtown Boston, may be a vision of the future. J60 0670 The future could be worse. The plants along Route 128 J60 0680 are mostly well designed and nicely set against the New England rocks J60 0690 and trees. They can even be rather grand, like Edward Land's monument J60 0700 to the astonishing success of Polaroid. But they deny the values J60 0710 of the city- the crowded, competitive, tolerant city, the "melting J60 0720 pot" which gave off so many of the most admirable American qualities. J60 0730 They are segregated businesses, combining again on one site J60 0740 the factory and the office, drawing their work force from segregated J60 0750 communities. It is interesting to note how many of the plants on Massachusetts' J60 0760 Route 128 draw most of their income either from the government J60 0770 in non-competitive cost-plus arrangements, or from the exploitation J60 0780 of patents which grant at least a partial monopoly. ## While J60 0790 the factories were always the center of the labor market, they were J60 0800 often on the city's periphery. In spreading the factories even farther, J60 0810 the automobile may not have changed to any great extent the growth J60 0820 pattern of the cities. Even the loss of hotel business to the outskirt's J60 0830 motel has been relatively painless; the hotel-motel demarcation J60 0840 is becoming harder to find every year. What hurts most is the damage J60 0850 the automobile has done to central-city retailing, especially in J60 0860 those cities where public transit is feeble. Some retailing, J60 0870 of course, always spreads with the population- grocery stores, drugstores, J60 0880 local haberdasheries and dress shops, candy stores and the like. J60 0890 But whenever a major purchase was contemplated forty years ago- a J60 0900 new bedroom set or a winter coat, an Easter bonnet, a bicycle for Junior- J60 0910 the family set off for the downtown department store, where the J60 0920 selection would be greatest. Department stores congregated in the J60 0930 "one hundred per cent location", where all the transit lines converged. J60 0940 These stores are still there, but the volume of the "downtown J60 0950 store" has been on a relative decline, while in many cities the suburban J60 0960 "branch" sells more and more dry goods. If the retailer and J60 0970 hotelman's downtown unit sales have been decreasing, however, his dollar J60 0980 volume continues to rise, and it is dollars which you put in the J60 0990 bank. In most discussions of this phenomenon, the figures are J60 1000 substantially inflated. No suburban shopping-center branch- not even J60 1010 Hudson's vast Northland outside Detroit- does anything like J60 1020 the unit volume of business or carries anything like the variety of merchandise J60 1030 to be found in the home store. Telephone orders distort the J60 1040 picture: the suburbanite naturally calls a local rather than a central-city J60 1050 number if both are listed in an advertisement, especially if J60 1060 the local call eliminates city sales tax. The suburban branch is thereby J60 1070 credited with a sale which would have been made even if its glass J60 1080 doors had never opened. Accounting procedures which continue to charge J60 1090 a disproportionate overhead and warehouse expense to the main store J60 1100 make the branches seem more profitable than they are. In many cases J60 1110 that statement "We break even on our downtown operation and make money J60 1120 on our branches" would be turned around if the cost analysis were J60 1130 recalculated on terms less prejudicial to the old store. Fear of the J60 1140 competition- always a great motivating force in the American economy- J60 1150 makes retailers who do have suburban operations exaggerate J60 1160 both the volume and the profitability of their rival's shiny new J60 1170 branches. The fact seems to be that very many large branch stores are J60 1180 uneconomical, that the choice of location in the suburbs is as important J60 1190 as it was downtown, and that even highly suburbanized cities will J60 1200 support only so many big branches. Moreover, the cost of operations J60 1210 is always high in new store, as the conservative bankers who J60 1220 act as controllers for retail giants are beginning to discover. J60 1230 When all has been said, however, the big branch store remains a major J60 1240 break with history in the development of American retailing. Just J60 1250 as the suburban factory may be more convenient than the downtown plant J60 1260 to the worker with a car, the trip to the shopping center may seem far J60 1270 easier than to the downtown department store, though both are the same J60 1280 distance from home. Indeed, there are some cities where the suburban J60 1290 shopping pulls customers who are geographically much nearer to downtown. J60 1300 Raymond Vernon reports that residents of East St& Louis J60 1310 have been driving across the Mississippi, through the heart of downtown J60 1320 St& Louis and out to the western suburbs for major shopping, simply J60 1330 because parking is easier at the big branches than it is in the heart J60 1340 of town. To the extent that the problem is merely parking, an aggressive J60 1350 downtown management, like that of Lazarus Brothers in Columbus, J60 1360 Ohio, can fight back successfully by building a garage on the lot J60 1370 next door. If the distant patron of the suburban branch has been frightened J60 1380 away from downtown by traffic problems, however, the city store J60 1390 can only pressure the politicians to do something about the highways J60 1400 or await the completion of the federal highway program. And if the J60 1410 affection for the suburban branch reflects a desire to shop with "nice J60 1420 people", rather than with the indiscriminate urban mass which supports J60 1430 the downtown department store, the central location may be in serious J60 1440 trouble. Today, according to land economist Homer Hoyt, shopping J60 1450 centers and their associated parking lots cover some 46,000 acres J60 1460 of land, which is almost exactly the total land area in all the nation's J60 1470 Central Business Districts put together. The downtown J60 1480 store continues to offer the great inducement of variety, both within J60 1490 its gates and across the street, where other department stores are immediately J60 1500 convenient for the shopper who wants to see what is available J60 1510 before making up her mind. If anything may be predicted in the quicksilver J60 1520 world of retailing, it seems likely that the suburban branch will J60 1530 come to dominate children's clothing (taking the kid downtown is J60 1540 too much of a production), household gadgetry and the discount business J60 1550 in big-ticket items. Department stores were built on dry goods, especially J60 1560 ladies' fashions, and in this area, in the long run, the suburban J60 1570 branches will be hard put to compete against downtown. If this J60 1580 analysis is correct, the suburban branches will turn out to be what management's J60 1590 cost accountants refuse to acknowledge, marginal operations J60 1600 rather than major factors. Historically in America the appeal J60 1610 of cities has been their color and life, the variety of experience J60 1620 they offered. "How ya gonna keep 'em down on the farm"? was J60 1630 a question that had to be asked long before they saw Paree. Though J60 1640 Americans usually lived in groups segregated by national origin or religious J60 1650 belief, they liked to work and shop in the noise and vitality J60 1660 of downtown. Only a radical change in the nature of the population in J60 1670 the central city would be likely to destroy this preference- and we J60 1680 must now turn our attention to the question of whether such a change, J60 1690 gloomily foreseen by so many urban diagnosticians, is actually upon us. J60 1700 #4. SUBURBS AND NEGROES# In their book J60 1710 Christopher Tunnard and Henry Hope Reed argue that Franklin Roosevelt's J60 1720 New Deal was what made the modern suburb a possibility- J60 1730 a fine ironical argument, when you consider how suburbanites tend to J60 1740 vote. The first superhighways- New York's Henry Hudson and Chicago's J60 1750 Lake Shore, San Francisco's Bay Bridge and its approaches, J60 1760 a good slice of the Pennsylvania Turnpike- were built as J60 1770 part of the federal works program which was going to cure the depression. J60 1780 At the same time, Roosevelt's Federal Housing Administration, J60 1790 coupled with Henry Morgenthau's cheap-money policy, permitted J60 1800 ordinary lower-middle-class families to build their own homes. Bankers J60 1810 who had been reluctant to lend without better security than the house J60 1820 itself got that security from the U& S& government; householders J60 1830 who had been unable to pick up the burden of short-term high-interest J60 1840 mortgages found they could borrow for twenty-five years at 4 per J60 1850 cent, under government aegis. J61 0010 Before losing itself in the sands of the 19th Century, the grand stream J61 0020 of Italian Renaissance architectural decoration made a last appearance J61 0030 in the Brumidi frescos of the Capitol Rotunda in Washington. J61 0040 The artistic generation after Brumidi was trained in the Paris J61 0050 of that time to a more meticulous standard of execution, and tended J61 0060 to overlook greatness of conception where faults and weakness were J61 0070 easy to find. But it is a great conception. The open ceiling, with J61 0080 allegorical and classical figures thrown in masses against the sky: J61 0090 the closed frieze, formally divided into historical scenes and tightly J61 0100 tied to the stone walls, belong in their large ordering to the line J61 0110 of Correggio and his Baroque followers. The descent may be remote, J61 0120 but this is surely the only full-scale example of that vigorous inheritance J61 0130 in the United States. Constantino Brumidi designed the J61 0140 decorative scheme as a whole, in collaboration with the architect Charles J61 0150 U& Walter, at the time when plans were being made to replace J61 0160 the wooden dome of Bullfinch with the present much larger iron structure. J61 0170 After many years and many interruptions he was able to finish J61 0180 the canopy fresco, and slightly less than half the frieze, beginning J61 0190 with the Liberty group opposite the East door, and ending with William J61 0200 Penn, all but one leg, when a tragic accident ended his career. J61 0210 He left at his death sketches, drawn to scale, for the rest of the circle. J61 0220 These were carried out not too faithfully by Filippo Costaggini, J61 0230 who began by supplying the missing member to the founder of Pennsylvania J61 0240 and noting in pencil, in Italian, that he "began at this point". J61 0250 When Costaggini had used up all the sketches thirty-six J61 0260 feet of empty frieze were left over. A blank undecorated void, plastered J61 0270 in roughcast, disfigured the wall of the Rotunda until 1951. Then, J61 0280 advised by the Architect of the Capitol, the Joint Committee J61 0290 for the Library, traditionally responsible for the works of art in the J61 0300 building, ordered the space cleared and painted in fresco, to show J61 0310 "the Peace after the Civil War", "the Spanish-American War", J61 0320 and "the Birth of Aviation", to match as nearly as feasible J61 0330 Brumidi's technique and composition. Later the cleaning and restoration J61 0340 were ordered, first of the older part of the frieze, finally of J61 0350 the canopy. What follows is therefore a description of three separate J61 0360 undertakings, the new frescoing of the gap, and the successive essays J61 0370 in conservation, with some discussion of problems that arose in connection J61 0380 with each. For the use of students and future restorers, J61 0390 a full, day-by-day record was kept of all three undertakings, complete J61 0400 technical reports on what we found and what we did. These may be consulted J61 0410 in the office of the Architect of the Capitol, or the Library J61 0420 of Congress. The first preliminary was inspecting the unfinished J61 0430 length of frieze, a jumble of roughcast and finish coats, all J61 0440 in J61 0450 bad condition. It was decided to strip the whole area down to the bricks, J61 0460 and to replace the rough coats up to one inch thickness to agree J61 0470 with the older artists' preparation, with a mortar, one part slaked J61 0480 lime, three parts sand, to be put on in two layers. Cartoons were drawn J61 0490 full size, after sketches had been made to satisfy all the authorities. J61 0500 There was some difficulty here. One had to manage the given subjects, J61 0510 three diverse recent events, so as to make them part of a classical J61 0520 frieze,- that is, a pattern of large figures filling the space, J61 0530 with not much else, against a blank background. Moreover, all three J61 0540 representations must be squeezed comfortably into little more than the J61 0550 length Brumidi allowed for each one of his. When it was all J61 0560 arranged to fit, and not to interrupt the lengthwise flow of movement J61 0570 in the frieze, the cartoons were tried in place. The scaffolding, a J61 0580 confusion of heavy beams hanging from the gallery above, was strong and J61 0590 safe, but obscured visibility. Nothing could be seen from the floor, J61 0600 but by moving around the gallery one could get glimpses; and we were J61 0610 able to decide on some amplification of scale. To be sure of matching J61 0620 color as well as form, pieces of cartoon were traced on the roughcast, J61 0630 and large samples painted in fresco, then left two months to dry J61 0640 out to their final key. Later it was gratifying to note that they had J61 0650 set so solidly as to be hard to remove when the time came. The J61 0660 scaffold was the length of the space to be painted. What bits of Brumidi J61 0670 and Costaggini could be reached at either end seemed in good J61 0680 order, though the roughish sandy surface was thick with dust. Washed, J61 0690 they came out surprisingly clear and bright. It could be seen that J61 0700 both artists used a very thick final coat of plaster, one half inch, J61 0710 and that both followed the traditional Italian fresco technique as described J61 0720 by Cennino Cennini in the 14th Century, and current in Italy J61 0730 to this day. That is, they used opaque color throughout, getting solid J61 0740 highlights with active lime white. Painting "a secco" is much J61 0750 in evidence. A brown hatching reinforces and broadens shadows, and J61 0760 much of the background is solidly covered with a dark coat. This brown J61 0770 is sometimes so rich in medium as to appear to be oil paint. J61 0780 In our own practice, to have the last "intonaco" plaster coat thick J61 0790 enough to match, and at the same time to avoid fine cracks in J61 0795 drying, J61 0800 we found that it had to be put on in two layers, letting the first J61 0810 set awhile before applying the second. The mortar was three parts sand J61 0820 to two of lime. Some of the lime that is always on hand in the Capitol J61 0830 basement for plaster repairs was slaked several months for us; J61 0840 but to make it stiffer, of a really putty-like consistency to avoid cracking, J61 0850 we added a little hydrated lime- hard on the hands, but we J61 0860 could see no other disadvantage. I am told that a mortar longer slaked J61 0870 might have remained longer in condition for painting. As it was, it J61 0880 took the pigment well for six hours, enough for our purpose, and held J61 0890 it firmly in setting. It was obvious that to match Brumidi, white must J61 0900 be mixed with all but the darkest tones. Lime white, hard and brilliant, J61 0910 has a tendency to "jump" away from the other colors in drying, J61 0920 and also by its capacity to set, to preclude the use of ready-made J61 0930 gradations, so useful in decorative work. In older Italian practice, J61 0940 lime, dried and reground "bianco sangiovanni", entered into such J61 0950 prepared shades. For convenience we chose a stronger pigment, J61 0960 unknown J61 0970 to the early Italians or to Brumidi, titanium oxide, reserving the J61 0980 active lime white for highest lights, put on at the end of the day's J61 0990 stint. Other pigments were mostly raw umber, some burnt umber, and J61 1000 a little yellow ochre. This last was probably not in Brumidi's palette, J61 1010 but was needed to take the chill, bluish look off the new work next J61 1015 to the old, where softening effects J61 1020 of time were seen, even after thorough J61 1030 cleaning. The use of "secco" we tried to restrict to covering J61 1040 joints. Experience showed, however, that it is very difficult to J61 1050 paint a dark umber background in fresco that will not dry out spotty J61 1060 and uneven. Later Brumidi and Costaggini will be seen coping with this J61 1070 same problem. We were forced, as they were, to work a good deal of J61 1080 tempera into background and dark areas. We made it by Doerner's J61 1090 recipe, five parts thoroughly washed cheese curd to one of lime putty; J61 1100 ground together they made a strong adhesive, which became waterproof J61 1110 in drying. Figure 1 was taken in 1953. The new part is finished. J61 1120 On the right is the Brumidi Liberty group, as it looked after J61 1130 cleaning operations, which had not yet come around to the other end; J61 1140 where, of Costaggini, only some foliage has been washed, at the point J61 1150 where his work stopped. One is led to speculate as to why the empty J61 1160 space was there, left for our century to finish. Costaggini said it J61 1170 was Brumidi's fault in not providing enough material to fill the circle. J61 1180 Brumidi's son later maintained that Costaggini had compressed J61 1190 and mutilated his father's designs, ambitiously coveting a bit he J61 1200 could claim for his very own. This question might be settled by comparing J61 1210 the measurement of the actual circumference with the dimensions J61 1220 noted, presumably in Brumidi's hand, above the various sections of J61 1230 his long preparatory drawing, which has been kept. Whose ever J61 1240 fault, J61 1250 it is evident that Brumidi intended to fill out the whole frieze with J61 1260 his "histories" and come full circle with the scene of the discovery J61 1270 of California gold. In painting a fresco, the handling of wet mortar J61 1280 compels one always to move from top to bottom and from left to right, J61 1290 not to spoil yesterday's work with today's plastering. At the J61 1300 very first, then, Brumidi was required, by the classically pyramidal J61 1310 shape of his central group, to fill in the triangular space above the J61 1320 seated girl on Liberty's right, before starting on the allegorical J61 1330 figures themselves. Here he put a small man, whose missing hands J61 1340 might have left his function doubtful, until comparison with the first J61 1350 sketches showed that when the artist came back to the beginning, this J61 1360 was to be the closing figure of the party of "forty-niners", and J61 1370 was to hold a basket. One sees Costaggini's rendering of the same J61 1380 figure more than thirty feet away. The photograph, Figure 1 of the completed J61 1390 frieze, shows how, having been separated from his fellows in J61 1400 useless isolation for eighty years, he has now been given a hand, and J61 1410 by juxtaposition (and the permission of the Committee), given a new job, J61 1420 to represent the witnesses of the first flight at Kitty Hawk in J61 1430 1903. The startlingly bright effect of the first washings led J61 1440 the Committee to order the rest of the Brumidi-Costaggini cycle cleaned J61 1450 and restored to go with them. The fixed wooden scaffold was removed, J61 1460 and, so as to reach all the frieze, one of pipe, on wheels, built J61 1470 up from the floor. Every few days, in the early morning, as the work J61 1480 progressed, twenty men would appear to push it ahead and to shift the J61 1490 plank foundation that distributed its weight widely on the Rotunda J61 1500 pavement, supported as it is by ancient brick vaulting. On this J61 1510 giddy and oscillating platform over fifty feet from the floor, after J61 1520 a first dusting, we began to wash. A most useful tool for wetting the J61 1530 surface without running down was made from a greenhouse "mist spray" J61 1540 nozzle welded to a hose connection, to be used at low water pressure. J61 1550 A valve in the handle let us cut the pressure still lower. One J61 1560 man sprayed, with a sponge in hand to check excess wetting. A second J61 1570 assistant mopped with two sponges. In parts a repeated sponging was J61 1580 needed, but everywhere we found that water alone was enough to restore J61 1590 the original brightness. No soap or other cleaning agent was used that J61 1600 might bring in unwanted chemical reactions. The painting "a fresco" J61 1610 stood up superbly; a little of the "secco" came off. Necessary J61 1620 retouching was put on at once. Altogether we found the craftsmanship J61 1630 first rate, especially Brumidi's. We were greatly helped by J61 1640 there being no traces of former restoring. Apparently not more than J61 1650 dusting had ever been done, and not much of that. The plaster was sound, J61 1660 the intonaco firmly attached all over, and the pigment solidly incorporated J61 1670 with it in all but a few unimportant places. The greatest J61 1680 source of trouble was rain which had repeatedly flowed from openings J61 1690 above, soaking the surface and leaving streaks of dissolved lime, J61 1700 very conspicuous even after cleaning, particularly in the "Landing J61 1710 of Columbus", "Oglethorpe and the Indians", and "Yorktown". J61 1720 Here the Architect, referring to the use of the Capitol as a J61 1730 public building, not a museum, requested some repainting to maintain decorative J61 1740 effect, rather than leaving blank, unsightly patches. J61 1750 These frescos have had no care for eighty years. With naked gas jets J61 1760 below and leaky windows above, enough to ruin wall paintings in any J61 1770 medium, they have survived, in a building long unheated in winter, hot J61 1780 and damp under the iron dome in summer. J62 0010 Those whom I wish to address with this letter are for the most J62 0020 part unknown to me. It may well be that, when Rudy Pozzatti and I J62 0030 visited your country last spring, you were living and working close J62 0040 to the places we saw and the streets we walked. As American artists, J62 0050 it was natural that we would want to meet as many Soviet artists as J62 0060 possible. This letter might not have been necessary had our efforts J62 0070 to meet and talk with you been more successful. Even though we did not J62 0080 see many of your faces, it appears now quite evident that a considerable J62 0090 number of your profession heard, from those whom we had the fortune J62 0100 to encounter, that we had been in your midst. I am very pleased that J62 0110 quite a number of you found ways to communicate to me your desire to J62 0120 hear of our reactions and experiences in the U&S&S&R&. I J62 0130 can well understand your curiosity. We, ourselves, are always eager J62 0140 to know how others feel about us and the way in which we live. it is J62 0150 my hope that this written message and report will reach you through the J62 0160 good offices of the Union of Soviet Artists. There should J62 0170 be no reason to misinterpret or ignore the intent of this letter. Pozzatti J62 0180 and I endeavored earnestly to record our impressions without the J62 0190 prejudice that the anxiety of our time so easily provokes. The time-span J62 0200 of little more than a month cannot entitle me to pose as an expert J62 0210 on anything I saw. Too much damage is done by "experts" who J62 0220 have spent even less time, if any at all, in the U&S&S&R&. J62 0240 Nevertheless I consider it reasonable, because of my commitment J62 0250 as an artist, to assume that the rights and responsibilities of creative J62 0260 individuals are related to humanity as a whole rather than to specific J62 0270 geo-political interests. If this attitude is seriously questioned J62 0280 in the Soviet Union, it does not necessarily follow that the majority J62 0290 of the society in which I live is too aware of the necessity for J62 0300 clarity on this ethical as well as aesthetic point of view. It is J62 0310 a matter of some disappointment to me that still many of my own countrymen J62 0320 are too shortsighted to ascribe any symbolic significance to the J62 0330 plight of a minority, such as artists, in any social order. I encountered J62 0340 many questions and great interest upon my return from the Soviet Union J62 0350 about my reactions to that experience. That which I found most J62 0360 profound and most disturbing appeared to evoke a curiously muted reaction. J62 0370 Almost as if I were talking about something quite unreal. Apparently J62 0380 this is not the time and the climate in which people will listen J62 0390 objectively, or at least dispassionately, to individual impressions J62 0400 of a subject which preoccupies a good deal of their waking moments. Personal J62 0410 predispositions tend to blunt the ear and, in turn, the voice J62 0420 as well. I cannot be content with the anecdotal small talk of a somewhat J62 0430 unusual travelogue. I am equally impatient with the shrug of the J62 0440 shoulder, shake of the head of those who no longer care because they J62 0450 have known it for so long; the aggressive disbelief of those who are J62 0460 romantically lost in a semantic jungle of the word "Revolution"; J62 0470 the belligerent denunciations by the sick fanatics of ignorance who J62 0480 try to build a papier-mache wall of pseudo-patriotism on our physical J62 0490 horizons. Difficult as it may have been at times, Pozzatti and I saw J62 0500 enough, talked to enough artists, historians and others to realize J62 0510 that the issue is quite clear. Artists and poets are the raw nerve-ends J62 0520 of humanity; they are small in number and their contribution is not J62 0530 immediately decisive in everyday life. By themselves they may not J62 0540 be able to save the life on this planet, but without them there would J62 0550 be very little left worth saving. It cannot be said that our J62 0560 very first day in the Soviet Union turned out to be an ordinary one. J62 0570 On that cold, but bright, April day we were guests of your government J62 0580 in the reviewing stand of Red Square to witness the poeple's celebration J62 0590 for Yuri Gagarin and later on that day we attended the somewhat J62 0600 more exclusive reception for him in one of the impressive palaces J62 0610 of the Kremlin. If we thus spent our very first day in the midst of J62 0620 a large number of your people honoring a new hero and a great national J62 0630 achievement, our last day, to us at least, was equally impressive and J62 0640 very moving, even though the crowds were absent and there was almost J62 0650 complete silence. We stood under a gigantic tree in the rolling country J62 0660 just outside of Moscow looking at silent flowers on the grave of J62 0670 a Russian poet and writer who cherished the love for his country to J62 0680 the point of foregoing the highest international honor. The grave, about J62 0690 half-way between his home and the blue turrets of a small church, J62 0700 rose above the forms and spaces of gently undisciplined pastures of green, J62 0710 the sounds of birds, the silence of other graves and the casual J62 0720 paths through small forests. Just yesterday we had met and talked with J62 0730 a living writer, a contemporary of the dead poet, who is known for his J62 0740 ability of manipulating his ideas and his craft more advantageously. J62 0750 But today we were aware of only two men. One had taken a flight into J62 0760 uncharted space, in the service of science, to return as a living hero. J62 0770 The other had assumed the right to explore the equally uncharted J62 0780 space of the human spirit. The flowers on his grave attested to the J62 0790 fact that he as well was somebody's hero. These two recollections J62 0800 form the frame around a series of experiences and sights which, J62 0810 to me at least, symbolize the extremes in the aesthetic as well as ethical J62 0820 conflict between materialism and humanism. A struggle that is J62 0830 being waged all over the world in the half-light of disinterest. The J62 0840 prevalent opinion which we encountered in a variety of expressions in J62 0850 your country denied not only the existence of this conflict but it was J62 0860 elaborated even further with an incredible semantic dexterity. The socialist J62 0870 environment, it was stated, had cross-fertilized these two extreme J62 0880 seeds and was about to produce a new plant and fruit. When I speculated J62 0890 on one such occasion that the new growth, like other mutations, J62 0900 might be unable to propagate, I was immediately accused of preaching J62 0910 racial prejudice. I could not bring myself to answer that "some J62 0920 of my best friends are non-propagating mules". This kind of J62 0930 reasoning and logic takes a little time to get used to. After a while J62 0940 we were perhaps less surprised, but still puzzled, when a friendly J62 0950 discussion would suddenly jump the track into the most irrelevant and J62 0960 illogical comparisons. A chance remark about Lenin's sealed train J62 0970 brought the rejoinder that this was a myth akin to George Washington's J62 0980 cherry tree. Theories of the behavior pattern of population masses J62 0990 were compared to scientific discoveries concerning the motion-pattern J62 1000 of gaseous masses. No wonder that Pozzatti and I had at times difficulty J62 1010 in remembering the real purpose of our presence, namely, Cultural J62 1020 Exchange. Typical of such an experience was the occasion J62 1030 of a somewhat formal official welcome in the offices of the Union J62 1040 of Soviet Artists. We had looked forward to what we hoped to be our J62 1050 first informal meeting with a number of Moscow's artists. Instead, J62 1060 we became involved in a series of friendly, but overly formal, welcoming J62 1070 addresses to which we had no choice but to reply in kind. The terms J62 1080 of friendship, understanding, cooperation, etc&, tend to become J62 1090 somewhat shopworn because of constant and indiscriminate use. I can only J62 1100 hope that the continuing exchange of groups and individuals between J62 1110 our countries will not wear out all language pertinent to the occasion. J62 1120 The presiding female functionary, of massive proportions and forbidding J62 1130 appearance, initially did not contribute to the expressions of J62 1140 friendship and welcome by a number of dignified gentlemen representing J62 1150 the arts. It was only after we had responded, with what I fear were J62 1160 similar cliches, that she went into action by questioning our desire J62 1170 for friendship and understanding with a challenge about aggressive and J62 1180 warlike actions by the U&S& Government in Cuba and Laos. She J62 1190 retreated by leaving the room when we suggested that our meeting might J62 1200 well terminate right then and there. Unfortunately she returned later, J62 1210 just as I had taken advantage of the friendlier atmosphere in the J62 1220 room by stating that perhaps an unexpected result of the Cultural Exchange J62 1230 Program would be the re-emergence of Abstract Art in Russia, J62 1240 with Social Realism regaining dominance in the U&S&. This J62 1250 gave her an opportunity to ring down the curtain with the petulant admonition J62 1260 that we should not presume to lecture her on Abstraction. She J62 1270 did not go so far as to say, as was done on other occasions, that J62 1280 Abstraction as well as Impressionism were a Russian invention that J62 1290 had been discarded as unwanted by the people of the U&S&S&R& J62 1300 Pozatti and I could not know then that we would experience J62 1310 this sort of treatment more often in Moscow than elsewhere. We were J62 1320 to discover, in fact, that quite a number of people share with us the J62 1330 impression that, in contrast to other Soviet regions, Moscow's atmosphere J62 1340 is depressingly subdued and official. To have one's intentions J62 1350 deliberately or unintentionally misunderstood is always a waste J62 1360 of time. Until our Moscow experience, I had not considered it necessary J62 1370 to prepare any argument formally or informally. Artists simply do J62 1380 not talk to each other in that fashion; and, furthermore, I could J62 1390 not presume the implication that I spoke for American artists as a J62 1400 group. To save time, some clarification seemed necessary. The following J62 1410 is a statement read to a large and friendly group of your fellow artists J62 1420 in Leningrad: "We have come to your land with the J62 1430 express intention of understanding and respecting your ideas and your J62 1440 ways. Our presence here should also be considered further, sincere evidence J62 1450 of the attempts by our people and their chosen government to seek J62 1460 any and all possible ways to effect closer, peaceful ties among all J62 1470 people. We are quite convinced that one of the main hopes for the future J62 1480 depends upon the informal contacts and exchanges of ideas between J62 1490 individuals. J62 1500 In spite of the relatively short period of time that we J62 1510 have experienced among you, we have already seen many indications of J62 1520 your character and spirit. We are acutely aware that yours is a society J62 1530 which, in spite of several wars and many privations, has developed J62 1540 itself into one of the foremost nations of the world. Your past history J62 1550 is resplendent with the fruits of the intellect. Your present history J62 1560 is equally admirable for its industrial and scientific achievements. J62 1580 We have come to you to experience something of your way of life J62 1590 while J62 1600 also attempting to acquaint you with that of ours. While we, as American J62 1605 artists, J62 1610 believe deeply in the universal character of all intellectual J62 1620 activity, we would be less than honest with you, or ourselves, J62 1630 if we failed to state a specific attitude toward our own society as J62 1640 well as the international community as a whole. In stating this position, J62 1650 we should like to make it clear to you that we cannot expect artists J62 1660 and intellectuals in other lands to share our opinion in every respect. J62 1670 As a matter of fact, we prize the diversity among our own people J62 1680 so much that we will not presume to speak for all other American artists. J62 1690 But certainly, all will agree that it is not so much the knowledge J62 1700 and search for similarities between you and us, but rather the thoughtful J62 1710 exploration and acceptance of our differences which may lead J62 1720 us to our respective and desired goals with a minimum of misunderstanding. J62 1730 Like yourselves, we have pride and love for our country. J62 1740 To many of us, this is a land to which we or our parents fled from totalitarian J62 1750 terror in order to live in dignified freedom. As artists we J62 1760 feel the same obligation, as do other individuals, in considering ourselves J62 1770 responsible citizens of a great nation. J63 0010 ## is an ambitious work. Its scope is as J63 0020 broad as the question: What does it mean to live in modern society? J63 0030 A work so broad, even when it is directed by a leading idea and informed J63 0040 by a moral vision, must necessarily "fail". Even a hasty reader J63 0050 will easily find in it numerous blind spots, errors of fact and J63 0060 argument, important exclusions, areas of ignorance and prejudice, undue J63 0070 emphases on trivia, examples of broad positions supported by flimsy J63 0080 evidence, and the like. Such books are easy prey for critics. Nor need J63 0090 the critic be captious. a careful and orderly man, who values precision J63 0100 and a kind of tough intellectual responsibility, might easily be J63 0110 put off by such a book. It is a simple matter, for one so disposed, to J63 0120 take a work like and shred it into odds and J63 0130 ends. The thing can be made to look like the cluttered attic of a large J63 0140 and vigorous family- a motley jumble of discarded objects, some outworn J63 0150 and some that were never useful, some once whole and bright but J63 0160 now chipped and tarnished, some odd pieces whose history no one remembers, J63 0170 here and there a gem, everything fascinating because it suggests J63 0180 some part of the human condition- the whole adding up to nothing more J63 0190 than a glimpse into the disorderly history of the makers and users. J63 0200 That could be easily done, but there is little reason in it. J63 0210 It would come down to saying that Fromm paints with a broad brush, J63 0220 and J63 0230 that, after all, is not a conclusion one must work toward but an impression J63 0240 he has from the outset. I mention these features of the book J63 0250 because they are inherent in the book's character and therefore must J63 0260 be mentioned. It would be superfluous to build a critique around them. J63 0270 There are more substantial criticisms to be made of Fromm's account J63 0280 of capitalist civilization. It is worthwhile to recall that J63 0290 Fromm's treatment has both descriptive and normative aspects. Since J63 0300 I have already discussed his moral position, that discussion is J63 0310 incorporated by reference into the following pages, which will focus J63 0320 on the empirical and analytic side of Fromm's treatment. I shall J63 0330 first indicate a couple of weaknesses in Fromm's analysis, then argue J63 0340 that, granted these weaknesses, he still has much left that is valuable, J63 0350 and, finally, raise the general question of a philosophical versus J63 0360 a sociological approach to the question of alienation. Almost J63 0370 no empirical work has been done on the problem of alienation. Despite J63 0380 its rather long intellectual history, alienation is still a promising J63 0390 hypothesis and not a verified theory. The idea has received much J63 0400 attention in philosophy, in literature, and in a few works of general J63 0410 social criticism, such as . What is missing is J63 0420 work that would answer, presumably by the use of survey methods and Guttman-type J63 0430 attitude scales, such questions as these: What are the J63 0440 components J63 0450 of the feeling-state described as alienation? How widespread J63 0460 is alienation? What is its incidence among the various classes J63 0470 and subgroups of the population? Taking alienation as a dependent variable, J63 0480 with what socio-structural factors is it most highly associated? J63 0490 Considered as an independent variable, how does it affect behavior J63 0500 in various sectors of life? Until such work is done, there must J63 0510 remain the nagging suspicion that alienation may be little more than J63 0520 an expression of the malaise of the intellectual, who, rejected by and J63 0530 in turn rejecting the larger society, projects his own fear and despair J63 0540 onto the broader social screen. I am not suggesting that J63 0550 Fromm ought to do this kind of work. Nor do I think that alienation J63 0560 is nothing more than a projection of the malaise of the intellectual. J63 0570 I am saying only that until a fuller and different kind of evidence J63 0580 comes in, any discussion of alienation must be understood to have certain J63 0590 important limitations. Until such evidence appears, we must J63 0600 make do with the evidence we have. Here, perhaps, Fromm is vulnerable, J63 0610 for he does not always use the best and most recent evidence available, J63 0620 and he sometimes selects and interprets the evidence in rather J63 0630 special ways. Three examples follow. Fromm's analysis of alienation J63 0640 in the sphere of production centers around the concepts of the J63 0650 bureaucratization of the corporation, the separation of ownership from J63 0660 control, and the broad (and thus from the point of view of corporate J63 0670 control, ineffective) dispersion of stock ownership. For all these J63 0680 points he relies exclusively on Berle and Means's study of 1932, . The broad conclusions J63 0710 of that pioneering work remain undisturbed, but subsequent research J63 0720 has expanded and somewhat altered their empirical support, has suggested J63 0730 important revisions in the general analytic frame of reference, and J63 0740 has sharpened the meaning of particular analytic concepts in this area. J63 0750 Fromm seems unaware of these developments. Another example J63 0760 is his very infrequent use of the large amount of data from surveys J63 0770 designed to discover what and how people actually do feel and think on J63 0780 a broad J63 0790 range of topics: he cites such survey-type findings just three J63 0800 times. Moreover, the conclusions he draws from the findings are not J63 0810 always the only ones possible. For example, he cites the following J63 0820 data from two studies on job satisfaction: in the first study, 85 per J63 0830 cent of professionals and executives, 64 per cent of white collar people, J63 0840 and 41 per cent of factory workers expressed satisfaction with J63 0850 their jobs; in the second study, the percentages were 86 for professionals, J63 0860 74 for managerial persons, 42 for commercial employees, 56 for J63 0870 skilled workers, and 48 for semi-skilled workers. He concludes that J63 0880 these J63 0890 data show a "remarkably high" percentage of consciously dissatisfied J63 0900 and unhappy persons among factory and clerical workers. Starting J63 0910 from other value premises than Fromm's, some analysts might conclude J63 0920 that the percentages really tell us very little at all, while others J63 0930 might even conclude that the figures are remarkably low. Eric Hoffer, J63 0940 for example, once said that America was a paradise- the only J63 0950 one in the history of the world- for workingmen and small children. J63 0960 What matters is that while Fromm's reading of the data is not the J63 0970 only one possible, it is precisely the one we would expect from a writer J63 0980 who earnestly believes that every man can and ought to be happy and J63 0990 satisfied. Fromm also cites a poll on attitudes toward work restriction J63 1000 conducted by the Opinion Research Corporation in 1945, in which J63 1010 49 per cent of manual workers said a man ought to turn out as much as J63 1020 he could in a day's work, while 41 per cent said he should not do J63 1030 his best but should turn out only the average amount. Fromm says these J63 1040 data show that job dissatisfaction and resentment are widespread. That J63 1050 is one way to read the findings, but again there are other ways. One J63 1060 might use such findings to indicate the strength of informal primary J63 1070 associations in the factory, an interpretation which would run counter J63 1080 to Fromm's theory of alienation. Or, he might remind Fromm that J63 1090 the 41 per cent figure is really astonishingly low: after all, the J63 1100 medieval guild system was dedicated to the proposition that 100 per J63 1110 cent of the workers ought to turn out only the average amount; and today's J63 1120 trade unions announce pretty much the same view. In view J63 1130 of these shortcomings in both the amount and the interpretation of J63 1140 survey-type findings on public opinion, and considering the criticisms J63 1150 which can be brought against Fromm's philosophical anthropology, J63 1160 such a passage as the following cannot be taken seriously. "Are people J63 1170 happy, are they as satisfied, unconsciously, as they believe themselves J63 1180 to be? Considering the nature of man, and the conditions for J63 1190 happiness, this can hardly be so". The ambiguities suggested J63 1200 above stem from a more basic difficulty in Fromm's style of thought. J63 1210 He seems to use the term alienation in two different ways. Sometimes J63 1220 he uses it as a subjective, descriptive term, and sometimes as an J63 1230 objective, diagnostic one. That is, sometimes it is used to human misery, and other times it is postulated to J63 1250 anxiety and discontent. The failure to keep these two usages J63 1260 distinct presents hazards to the reader. It also permits Fromm to do J63 1270 some dubious things with empirical findings. When alienation is used J63 1280 as an objective and diagnostic category, for example, it becomes clear J63 1290 that Fromm would have to say that awareness of alienation goes far J63 1300 toward conquering it. (He in effect does say this in his discussion of J63 1310 the pseudo-happiness of the automaton conformist.) Starting from this, J63 1320 and accepting his estimate of the iniquities of modern society, it J63 1330 would follow that the really disturbing evidence of alienation would J63 1340 be that of a work-satisfaction survey which reported widespread, stated J63 1350 worker satisfaction, rather than widespread, stated worker dissatisfaction. J63 1360 The point is that in a system such as Fromm's which J63 1370 recognizes unconscious motivations, and which rests on certain ethical J63 1380 absolutes, empirical data can be used to support whatever proposition J63 1390 the writer is urging at the moment. Thus, in the example cited above J63 1400 Fromm rests his whole case on the premise that the workers are being J63 1410 deprived unconsciously, unknowingly, of fulfillment, and then supports J63 1420 this with survey data reporting conscious, experienced frustrations. J63 1430 He has his cake and eats it too: if the workers say they are dissatisfied, J63 1440 this shows conscious alienation; if they say they are satisfied, J63 1450 this shows unconscious alienation. This sort of manipulation is J63 1460 especially troublesome in Fromm's work because, although his system J63 1470 is derived largely from certain philosophic convictions, he asserts J63 1480 that it J63 1490 is based on empirical findings drawn both from social science and J63 1500 from his own consulting room. While the "empirical psychoanalytic" J63 1510 label which Fromm claims sheds no light on the validity of his underlying J63 1520 philosophy, it does increase the marketability of his product. J63 1530 The final example of the failure to use available evidence, J63 1540 though evidence of a different kind from that which has so far been considered, J63 1550 comes from Fromm's treatment of some other writers who have J63 1560 dealt with the same themes. In a brief chapter dealing with "Various J63 1570 Other Diagnoses", he quotes isolated passages from some writers J63 1580 whose views seem to corroborate his own, and finds it "most remarkable J63 1590 that a critical view of twentieth-century society was already held J63 1600 by a number of thinkers living in the nineteenth **h". He finds J63 1610 it equally "remarkable that their critical diagnosis and prognosis J63 1620 should have so much in common among themselves and with the critics of J63 1630 the twentieth century". There is nothing remarkable about this at J63 1640 all. It is largely a matter of finding passages that suit one's purposes. J63 1650 There is a difference between evidence and illustration, and Fromm's J63 1660 citation of the other diagnosticians fits the latter category. J63 1670 Glance at the list: Burckhardt, Tolstoy, Proudhon, Thoreau, J63 1680 London, Marx, Tawney, Mayo, Durkheim, Tannenbaum, Mumford, A& J63 1690 R& Heron, Huxley, Schweitzer, and Einstein. This is a delightfully J63 1700 motley collection. One can make them say the same thing only by J63 1710 not listening to them very carefully and hearing only what one wants J63 1720 to hear. The method of selection Fromm uses achieves exactly that. Furthermore, J63 1730 the list is interesting for its omissions. It omits, for J63 1740 example, practically the whole line of great nineteenth century English J63 1750 social critics, nearly all the great writers whose basic position J63 1760 is religious, and all those who are with more or less accuracy called J63 1770 Existentialists. Of course, the list also excludes all writers who are J63 1780 fairly "optimistic" about the modern situation; these, almost J63 1790 by definition, are spokesmen for an alienated ideology. It is not hard J63 1800 to find that concurrence of opinion which Fromm finds so remarkable J63 1810 when you ignore all who hold a different opinion. Turning from J63 1820 these problems of the use of evidence, one meets another type of difficulty J63 1830 in Fromm's analysis, which is his loose and ambiguous use J63 1840 of certain important terms. One such instance has already been presented: J63 1850 his use of alienation. The only other one I shall mention here J63 1860 is his use of the term capitalism. For Fromm, capitalism is J63 1870 the enemy, the root of all evil. It is of course useful to have a sovereign J63 1880 cause in one's social criticism, for it makes diagnosis and J63 1890 prescription much easier than they might otherwise be. J64 0010 If one characteristic distinguishes , it is J64 0020 the consistency with which every person on the stage- including the J64 0030 chorus- comes alive in the music. Much of this lifelike quality results J64 0040 from Mussorgsky's care in basing his vocal line on natural speech J64 0050 inflections. In this he followed a path that led back to the very J64 0060 source of opera; such composers as Monteverdi, Lully and Purcell, J64 0070 with the same goal in mind, had developed styles of recitative sensitively J64 0080 attuned to their own languages. Through long experimentation J64 0090 in his songs, Mussorgsky developed a Russian recitative as different J64 0100 from others as the language itself. Giving most of his musical continuity J64 0110 to the orchestra, he lets the speech fall into place as if by coincidence, J64 0120 but controlling the pace and emphasis of the words. J64 0130 The moments of sung melody, in the usual sense, come most often when J64 0140 the character is actually supposed to be singing, as in folk songs and J64 0150 liturgical chants. Otherwise Mussorgsky reserves his vocal melodies J64 0160 for prolonged expressions of emotion- Boris' first monologue, for J64 0170 example. Even then, the flexibility of the phrasing suggests that J64 0180 the word comes first in importance. Aside from Boris himself, J64 0190 one need but examine the secondary roles to place Mussorgsky among J64 0200 the masters of musical portraiture. Even those who appear in only one J64 0210 or two scenes are full personalities, defined with economical precision. J64 0220 Consider the four monks who figure prominently in the action: J64 0230 Pimen, Varlaam, Missail and the Jesuit Rangoni. Under no circumstances J64 0240 could we mistake one for the other; each musical setting has J64 0250 an individual touch. Pimen is an old man, weak in body- his J64 0260 voice rarely rises to a full - but firm and clear of mind. J64 0270 His calmness offers contrast to Grigori's youthful excitement. A J64 0280 quiet but sturdy theme, somewhat folklike in character, appears whenever J64 0300 the old monk speaks of the history he is recording or of his own past J64 0310 life: @ This theme comes to represent the outer world, the J64 0320 realm of battles and banquets- seen from a distance, quite distinct J64 0330 from the quieter spiritual life in the monastery. It changes and develops J64 0340 according to the text; it introduces Pimen when he comes before J64 0350 Boris in the last act. Once he has been identified, however, a J64 0360 new melody is used to accompany his narrative, a bleak motif with barren J64 0370 octaves creating a rather ancient effect: @ An imaginative J64 0380 storyteller, Pimen takes on the character he describes, as if he J64 0390 were experiencing the old shepherd's blindness and miraculous cure. J64 0400 Here the composer uses a favorite device of his, the intensification J64 0410 of the mood through key relationships. The original ~D minor seems J64 0420 to symbolize blindness, inescapable in spite of all attempts to move J64 0430 away from it. As the child addresses the shepherd in a dream, light- J64 0440 in the form of the major mode- begins to appear, and at the moment J64 0450 of the miracle we hear a clear and shining ~D major. Varlaam J64 0460 and Missail always appear together and often sing together, in a straightforward, J64 0461 rhythmically J64 0470 vigorous idiom that distinguishes them from J64 0480 the more subtle and well-educated Pimen. Their begging song might J64 0490 easily be a folk melody: @ The same could be said for the J64 0500 song to which they make their entrance in the final scene. Apparently J64 0510 their origin is humble, their approach to life direct and unsophisticated. J64 0520 Whatever learning they may have had in their order doesn't disturb J64 0530 them now. Missail is the straight man, not very talkative, J64 0540 mild-mannered when he does speak. Varlaam is loud, rowdy, uninhibited J64 0550 in his pleasures and impatient with anyone who is not the same. A J64 0560 rough figure, heard first in the introduction to the inn J64 0570 scene, characterizes him amusingly and reappears whenever he comes into J64 0580 the action: @ The Song of Kazan, in which this figure J64 0590 becomes a wild-sounding accompaniment, fills in the picture of undisciplined J64 0600 high spirits. The phrasing is irregular, and the abrupt key J64 0610 changes have a primitive forcefulness. (We can imagine how they startled J64 0620 audiences of the 1870's.) Varlaam's music begins to ramble J64 0630 as he feels the effects of the wine, but he pulls himself together J64 0640 when the need arises. Both monks respond to the guard's challenge J64 0650 with a few phrases of their begging song; a clever naturalistic touch J64 0660 is Varlaam's labored reading of the warrant. As the knack gradually J64 0670 comes back to him, his rhythm becomes steadier, with the rigid monotony J64 0680 of an unskilled reader. For the only time in the opera, words J64 0690 are set according to their natural inflection; to do so would J64 0700 have spoiled the dramatic point of the scene. Musically and J64 0710 dramatically, Rangoni is as far removed from the conventional monk as J64 0720 Varlaam. His music shows a sensuality coupled with an eerie quality J64 0730 that suggest somehow a blood-kinship with Dappertutto in Offenbach's J64 0740 . His speech shows none of the native accent of the J64 0750 Russian characters; in spite of the Italian name, he sounds French. J64 0760 His personality appears more striking by contrast with Marina, who J64 0770 is- perhaps purposely- rather superficially characterized. J64 0780 Rangoni's first entrance is a musical shock, a sudden open fifth J64 0790 in a key totally unrelated to what has preceded it. The effect is as J64 0800 if he had materialized out of nowhere. He speaks quietly, concealing J64 0810 his authority beneath a smooth humility, just as the shifting harmonies J64 0820 that accompany him all but hide the firm pedal point beneath them. J64 0830 He addresses Marina with great deference, calling her "Princess" J64 0840 at first; it is only after he has involved her emotions in his scheme J64 0850 that he uses her given name, placing himself by implication in the J64 0860 position of a solicitous father. Curiously, this scene is a close J64 0870 parallel to one that Verdi was writing at the same time, the scene J64 0880 between Amonasro and Aida. Rangoni and Amonasro have the same J64 0890 purpose- forcing the girl to charm the man she loves into serving her J64 0900 country's cause- and their tactics are much the same. Rangoni begins J64 0910 by describing the sad state of the Church; this brings a reaction J64 0920 of distress from Marina. The music becomes ethereal as he calls J64 0930 up a vision of her own sainthood: it is she, he tells her, who can J64 0940 bring the truth to Russia and convert the heretics. As if in a trance, J64 0950 she repeats his words- then realizes, with a shock, her own audacity. J64 0960 This is no assignment for a frivolous girl, she assures him. J64 0970 Now Rangoni comes to the point, and we hear, for the first time, J64 0980 a long, downward chromatic scale that will become the characteristic J64 0990 motif of his sinister power. It is a phrase as arresting as a magician's J64 1000 gesture, with a piquant turn of harmony giving an effect of strangeness. J64 1010 Another theme, sinuously chromatic, appears as he directs her J64 1020 to gain power over Grigori by any means, even at the cost of her honor. J64 1030 Coming from a priest, the music sounds as odd as the advice: J64 1040 @ Marina rebels at this suggestion. Her pride is as much at J64 1050 stake as her virtue; she is the unattainable beauty, the princess who J64 1060 turns away suitors by the dozen. Indignantly she denounces Rangoni J64 1070 for his evil thoughts and orders him to leave her. At once the J64 1080 Jesuit pulls out all the stops. To music of a menacing darkness, J64 1090 he describes the powers of Satan gaining control of the girl, poisoning J64 1100 her soul with pride and destroying her beauty. The combined threat J64 1110 of hell-fire and ugliness is too much for her, and she falls terrified J64 1120 at his feet. With another sudden change of mood, he is again calm and J64 1130 protective, exhorting her to trust and obey him as God's spokesman- J64 1140 and the chromatic scale descends in ominous contradiction. Whatever J64 1150 the source of Rangoni's power, Marina is his captive now; we J64 1160 are reminded of this at the end of the next scene, when his theme cuts J64 1170 through the warmth of the love duet, again throwing a chill over the J64 1180 atmosphere. The most unusual feature of , however, J64 1190 is the use of the greatest character of all, the chorus. This is the J64 1200 real protagonist of the drama; the conflict is not Boris versus Grigori J64 1210 or Shuiski or even the ghost of the murdered child, but Boris J64 1220 versus the Russian people. Mussorgsky makes this quite clear by the J64 1230 extent to which choral scenes propel the action. Boris' first entrance J64 1240 seems almost a footnote to the splendor of the Coronation Scene, J64 1250 with its dazzling confusion of tonalities. We have a brief glimpse J64 1260 of the Tsar's public personality, the "official Boris", but our J64 1270 real focus is on the excitement of the crowd- a signigicant contrast J64 1280 with its halfhearted acclamation in the opening scene, its bitter J64 1290 resentment and fury in the final act. One reason for the unique J64 1300 vitality of the chorus is its great variety in expression. It rarely J64 1310 speaks as a unit. Even in its most conventional appearance, the guests' J64 1320 song of praise to Marina, there are a few female dissenters criticizing J64 1330 the princess for her coldness. In many passages- for example, J64 1340 the council of boyars- each section of the chorus becomes a character J64 1350 group with a particular opinion. Hot arguments arise between J64 1360 tenors and basses, who will sing in harmony only when they agree on an J64 1370 idea. The opening scene shows this method at its most individual. J64 1380 Mussorgsky paints a telling picture of the common people, those J64 1390 who must suffer the effects of their rulers' struggle for power without J64 1400 understanding the causes. They are held in control by force, but J64 1410 barely. They will kneel and plead for Boris' leadership in a strangely J64 1420 intense song, its phrases irregularly broken as if gasping for breath, J64 1430 but when the police with their cudgels move away, they mock and J64 1440 grumble and fight among themselves. There is a quick change from the J64 1450 plaintive song to a conversational tone. "Hey, Mityukh", asks one J64 1460 group, "what are we shouting about"? And Mityukh, apparently J64 1470 the intellectual leader of the crowd, replies that he has no notion. J64 1480 The jokes and arguments grow louder until the police return; then J64 1490 the people strike up their song with even more fervor than before, ending J64 1500 it with a wail of despair. Mussorgsky frequently uses liturgical J64 1510 music with considerable dramatic force. In Pimen's cell the J64 1520 soft prayers of the monks, heard from offstage, not only help to set J64 1530 the scene but emphasize the contrast between young Grigori's thoughts J64 1540 and his situation. This is especially striking between Pimen's J64 1550 quiet exit and Grigori's vehement outburst against Boris. J64 1560 Again, as Boris feels himself nearing death, a procession files into J64 1570 the hall singing a hymn, its modal harmonies adding a churchly touch J64 1580 to the grim atmosphere: @ The words are hardly calculated J64 1590 to put the Tsar's mind at ease. They echo the words with which J64 1600 he has described his own vision of the dying child who "trembles and J64 1610 begs for mercy- and there is no mercy". The living as well as J64 1620 the dead now accuse him; this final reminder of his guilt is the fatal J64 1630 one. One of the outstanding assets of the present production J64 1640 is the restoration of the St& Basil's scene, usually omitted J64 1650 from performances and rarely included in a published score. Though brief, J64 1660 it has a sharp dramatic edge and great poignancy. In addition, J64 1670 it is an important link in the plot, giving us a revealing glimpse of J64 1680 the people's attitude toward Boris and the false Dimitri. The mayhem J64 1690 in the forest of Kromy is a natural sequel. The St& Basil's J64 1700 scene opens with little groups of beggars milling around the J64 1710 square, the ever present police keeping them under scrutiny. In the J64 1720 orchestra we hear first a hushed, hesitant figure, then J64 1730 the insistent "police" motif as it appeared in the opening scene. J64 1740 The service is over, and a number of people come from the church J64 1750 with their spokesman Mityukh in the lead. They bring the news that J64 1760 the Pretender has been excommunicated; this is met with scorn by J64 1770 the hearers, who claim that Mityukh is lying or drunk. (Mussorgsky cleverly J64 1780 contrasts the two groups by their orchestral accompaniment, solemn J64 1790 chords or mocking staccatos.) There is still more news, Mityukh J64 1800 announces: they have prayed for the soul of the Tsarevich. J65 0010 SO FAR THESE remarks, like most criticisms of Hardy, have tacitly J65 0020 assumed that his poetry is all of a piece, one solid mass of verse J65 0030 expressing a sensibility at a single stage of development. For critics, J65 0040 Hardy has had no poetic periods- one does not speak of early Hardy J65 0050 or late Hardy, or of the London or Max Gate period, but simply J65 0060 of Hardy, as of a poetic monolith. This seems odd when one recalls J65 0070 that he wrote poetry longer than any other major English poet: "Domicilium" J65 0080 is dated "between 1857 and 1860"; "Seeing the J65 0090 Moon Rise" is dated August, 1927. One might expect that in a poetic J65 0100 career of seventy-odd years, some changes in style and method would J65 0110 have occurred, some development taken place. This is not, however, J65 0120 the case, and development is a term which we can apply to Hardy J65 0130 only in a very limited sense. In a time when poetic style, and poetic J65 0140 belief as well, seem in a state of continual flux, Hardy stands out J65 0150 as a poet of almost perverse consistency. Though he struggled with J65 0160 philosophy all his life, he never got much beyond the pessimism of his J65 0170 twenties; the "sober opinion" of his letter to Noyes, written J65 0180 when Hardy was eighty years old, is essentially that of his first "philosophical" J65 0190 notebook entry, made when he was twenty-five: J65 0195 "The J65 0200 world does not despise us: it only neglects us" ( J65 0210 p& 63). And though in his later years he revised his poems many J65 0220 times, the revisions did not alter the essential nature of the style J65 0230 which he had established before he was thirty; so that, while it usually J65 0240 is easy to recognize a poem by Hardy, it is difficult to date one. J65 0250 There is only one sense in which it is valid to talk about J65 0260 Hardy's development: he did develop toward a more consistent and J65 0270 more effective control of that tone which we recognize as uniquely his. J65 0280 There is only one Hardy style, but in the earlier poems that style J65 0290 is only intermittently evident, and when it is not, the style is the J65 0300 style of another poet, or of the fashion of the time. In the later poems, J65 0310 however, the personal tone predominates. The bad early poems are J65 0320 bad Shakespeare or bad Swinburne; the bad late poems are bad J65 0330 Hardy. J65 0340 There are two ways of getting at a poet's development: J65 0350 through his dated poems, and through the revisions which he made in later J65 0360 editions of his work. About a quarter of Hardy's poems carry J65 0370 an appended date line, usually the year of completion, but sometimes inclusive J65 0380 years ("1908-1910") or two separate dates when Hardy worked J65 0390 on the poem ("1905 and 1926") or an approximate date ("During J65 0400 the War"). These dates are virtually the only clues we have to J65 0410 the chronology of the poems, since the separate volumes are neither chronological J65 0420 within themselves nor in relation to each other. With the J65 0430 exception of each volume contains dated J65 0440 poems ranging over several decades ( spans sixty-one J65 0450 years); the internal organization rarely has any chronological order, J65 0460 except in obvious groups like the "Poems of Pilgrimage", the J65 0470 "Poems of 1912-13", and the war poems. From the dated poems J65 0480 we can venture certain conclusions about Hardy's career in poetry, J65 0490 always remembering that conclusions based on a fraction of the whole J65 0500 must remain tentative. The dated poems suggest that while Hardy's J65 0510 concern with poetry may have been constant, his production was not. J65 0520 He had two productive periods, one in the late 1860's, the other J65 0530 in the decade from 1910 to 1920 (half of the dated poems are from the J65 0540 latter period, and these alone total about one-tenth of all Hardy's J65 0550 poems). There was one sterile period: only one poem is dated between J65 0560 1872 and 1882 and, except for the poems written on the trip to Italy J65 0570 in 1887, very few from 1882 to 1890. The dated poems also J65 0580 give us an idea of the degree to which Hardy drew upon past productions J65 0590 for his various volumes, and therefore probably are an indication J65 0600 of the amount of poetry he was writing at the time. and both published J65 0620 while Hardy was at work on draw heavily on poems J65 0630 written before 1900. and coming during his most productive decade, are relatively self-contained; J65 0650 the former contains no poem dated before 1909-10- that J65 0660 is, no poem from a period covered by a previous volume- and the J65 0670 latter has only a few such. The last three volumes are again more dependent J65 0680 on the past, as Hardy's creative powers declined in his old J65 0690 age. These observations about Hardy's productivity tally with J65 0700 the details of his life as we know them. The first productive period J65 0710 came when he was considering poetry as a vocation, before he had decided J65 0720 to write fiction for a living (in his note for J65 0730 he wrote that he "wrote verses 1865-1868; gave up verse for prose, J65 0740 1868-70; but resumed it later"). During the poetically sterile J65 0750 years he was writing novels at the rate of almost one a year and was, J65 0760 in addition, burdened with bad health (he spent six months in bed in 1881, J65 0770 too ill to do more than work slowly and painfully at ). J65 0780 Two entries in the support the assumption that J65 0790 during this period Hardy had virtually suspended the writing of poetry. J65 0800 Mrs& Hardy records that "**h at the end of November [1881] J65 0810 he makes a note of an intention to resume poetry as soon as possible" J65 0820 ( p& 188); and on Christmas Day, 1890, Hardy J65 0830 wrote: "While thinking of resuming 'the viewless wings of J65 0840 poesy' before dawn this morning, new horizons seemed to open, and worrying J65 0850 pettinesses to disappear" ( p& 302). There J65 0860 are more poems dated in the 1890's than in the '80's- Hardy J65 0870 had apparently resumed the viewless wings as he decreased the volume J65 0880 of his fiction- but none in 1891, the year of , and only one J65 0890 in 1895, the year of . After 1895 the number increases, and J65 0900 in the next thirty years there is only one year for which there is no J65 0910 dated poem- 1903, when Hardy was at work on . J65 0920 The second productive period, the decade from 1910 to 1920, can J65 0930 be related to three events: the completion of in 1909, J65 0940 which left Hardy free of pressure for the first time in forty years; J65 0950 the death of Emma Hardy in 1912, which had a profound emotional J65 0960 effect on Hardy for which he found release in poetry; and the First J65 0970 World War. It may seem strange that a poet should come to full J65 0980 fruition in his seventies, but we have it on Hardy's own authority J65 0990 that "**h he was a child till he was sixteen, a youth till he was J65 0995 five-and-twenty, J65 1000 and a young man till he was nearly fifty" ( J65 1010 p& 42). We may carry this sequence one step further and say J65 1020 that at seventy he was a poet at the height of his powers, wanting only J65 1030 the impetus of two tragedies, one personal, the other national, to J65 1040 loose those powers in poetry. Hardy's two productive decades J65 1050 were separated by forty years, yet between them he developed only in J65 1060 that he became more steadily himself- it was a narrowing, not an expanding J65 1070 process. Like a wise gardener, Hardy pruned away the Shakespearian J65 1080 sonnets and songs, and the elements of meter and poetic diction J65 1090 to which his personal style was not suited, and let the main stock J65 1100 of his talent flourish. The range of the later poetry is considerably J65 1110 narrower, but the number of successful poems is far greater. We J65 1120 can see the general characteristics of the earlier decade if we look J65 1130 at two poems of very different qualities: "Revulsion" (1866) J65 1140 and "Neutral Tones" (1867). There is not much to be said for "Revulsion". J65 1150 Like about half of the 1860-70 poems, it is a sonnet J65 1160 on a conventional theme- the unhappiness of love. Almost anyone could J65 1170 have written it; it is competent in the sense that it makes a coherent J65 1180 statement without violating the rules of the sonnet form, but it J65 1190 is entirely undistinguished and entirely unlike Hardy. The language J65 1200 is the conventional language of the form; there is no phrase or image J65 1210 that sounds like Hardy or that is striking enough to give individuality J65 1220 to the poem. It is smoother than Hardy usually is, but with the J65 1230 smoothness of anonymity. It is obviously a young man's poem, written J65 1240 out of books and not out of experience; it asserts emotion J65 1250 without evoking it- that is to say, it is sentimental. There are many J65 1260 such competently anonymous performances among the earlier poems. J65 1270 "Neutral Tones" we immediately recognize as a fine poem in J65 1280 Hardy's most characteristic style: the plain but not quite colloquial J65 1290 language, the hard, particular, colorless images, the slightly odd J65 1300 stanza-form, the dramatic handling of the occasion, the refusal to J65 1310 resolve the issue- all these we have seen in Hardy's best poems. J65 1320 The poem does not distort the syntax of ordinary speech nor draw on exotic J65 1330 sources of diction, yet it is obviously ordinary speech- J65 1340 only Hardy would say "a grin of bitterness swept thereby/Like an J65 1350 ominous bird a-wing", or "wrings with wrong", or would describe J65 1360 a winter sun as "God-curst". The details of the setting J65 1370 of "Neutral Tones" are not, strictly speaking, metaphorical, but J65 1380 they combine to create a mood which is appropriate both to a dismal J65 1390 winter day and to the end of love, and in this way love and weather, the J65 1400 emotions and the elements, symbolize each other in a way that is common J65 1410 to many of Hardy's best poems ("Weathers", "The Darkling J65 1420 Thrush", and "During Wind and Rain", for example) and to J65 1430 some moving passages in the novels as well ( is full of scenes constructed in this way). "Neutral J65 1450 Tones" is an excellent example of Hardy's mature style, drawn J65 1460 from his earliest productive period; I cite it as evidence that he J65 1470 did not develop through new styles as he grew older (as Yeats did), J65 1480 but that he simply learned to use better what he already had. In the J65 1490 poem we recognize and acknowledge one man's sense of the world; if J65 1500 it is somber, it is also precise, and the precision lends authority to J65 1510 the vision. In "Revulsion", on the other hand, the pessimism is J65 1520 a case not proven; the poem offers nothing to persuade us of the speaker's J65 1530 right to speak as he does. In the 1860-70 decade there are J65 1540 many poems like "Revulsion", but there is only one "Neutral Tones". J65 1550 Hardy was not Hardy very often. The "Poems of 1912-13" J65 1560 offer a good example of Hardy's style as it was manifested J65 1570 in the later productive decade. These are the poems Hardy wrote after J65 1580 the death of his first wife; they compose a painful elegy to what J65 1590 might have been, to a marriage that began with a promise of happiness, J65 1600 and ended in long years of suffering and hatred. Hardy obviously felt J65 1610 that these poems were peculiarly personal and private; he sometimes J65 1620 called them "an expiation", and he would not allow them to be published J65 1630 in periodicals. They are the only poems that he rearranged as J65 1640 a group between their first appearance (in ) J65 1650 and the publication of the . The elegiac J65 1660 tone is Hardy's natural tone of voice, and it is not surprising J65 1670 that the 1912-13 poems are consistently and unmistakably his. The J65 1680 view is always toward the past; but the mood is not quite nostalgic- J65 1690 Hardy would not allow sentiment to soften his sense of the irredeemable J65 1700 pastness of the past, and the eternal deadness of the dead. The J65 1710 poems are, the epigraph tells us, the "traces of an ancient flame"; J65 1720 the fire of love is dead, and Hardy stands, as the speaker does J65 1730 in the last poem of the sequence, over the burnt circle of charred sticks, J65 1740 and thinks of past happiness and present grief, honest and uncomforted. J66 0010 Critically invisible, modern revolt, like X-rays and radioactivity, J66 0020 is perceived only by its effects at more materialistic social levels, J66 0025 where J66 0030 it is called delinquency. "Disaffiliation", by the way, J66 0040 is the term used by the critic and poet, Lawrence Lipton, who has J66 0050 written several articles on this subject, the first of which, in the J66 0060 quoted as epigraph, "We disaffiliate **h"- John L& J66 0070 Lewis. Like the pillars of Hercules, like two ruined Titans J66 0080 guarding the entrance to one of Dante's circles, stand two J66 0090 great dead juvenile delinquents- the heroes of the post-war generation: J66 0100 the great saxophonist, Charlie Parker, and Dylan Thomas. If J66 0110 the word deliberate means anything, both of them certainly deliberately J66 0120 destroyed themselves. Both of them were overcome by the horror J66 0130 of the world in which they found themselves, because at last they J66 0140 could no longer overcome that world with the weapon of a purely lyrical J66 0150 art. Both of them were my friends. Living in San Francisco I saw J66 0160 them seldom enough to see them with a perspective which was not distorted J66 0170 by exasperation or fatigue. So as the years passed, I saw them J66 0180 each time in the light of an accelerated personal conflagration. J66 0190 The last time I saw Bird, at Jimbo's Bob City, he was so J66 0195 gone- J66 0200 so blind to the world- that he literally sat down on me before he J66 0210 realized I was there. "What happened, man"? I said, referring J66 0220 to the pretentious "Jazz Concert". "Evil, man, evil", he J66 0230 said, and that's all he said for the rest of the night. About dawn J66 0240 he got up to blow. The rowdy crowd chilled into stillness and the fluent J66 0250 melody spiraled through it. The last time I saw Dylan, J66 0260 his self-destruction had not just passed the limits of rationality. It J66 0270 had assumed the terrifying inertia of inanimate matter. Being with J66 0280 him was like being swept away by a torrent of falling stones. J66 0290 Now Dylan Thomas and Charlie Parker have a great deal more in common J66 0300 than the same disastrous end. As artists, they were very similar. J66 0310 They were both very fluent. But this fluent, enchanting utterance had, J66 0320 compared with important artists of the past, relatively little content. J66 0330 Neither of them got very far beyond a sort of entranced rapture J66 0340 at his own creativity. The principal theme of Thomas's poetry was J66 0350 the ambivalence of birth and death- the pain of blood-stained creation. J66 0360 Music, of course, is not so explicit an art, but anybody who knew J66 0370 Charlie Parker knows that he felt much the same way about his own J66 0380 gift. Both of them did communicate one central theme: Against the J66 0390 ruin of the world, there is only one defense- the creative act. This, J66 0400 of course, is the theme of much art- perhaps most poetry. It is J66 0410 the theme of Horace, who certainly otherwise bears little resemblance J66 0420 to Parker or Thomas. The difference is that Horace accepted his theme J66 0430 with a kind of silken assurance. To Dylan and Bird it was an agony J66 0440 and terror. I do not believe that this is due to anything especially J66 0450 frightful about their relationship to their own creativity. I believe J66 0460 rather that it is due to the catastrophic world in which that creativity J66 0470 seemed to be the sole value. Horace's column of imperishable J66 0480 verse shines quietly enough in the lucid air of Augustan Rome. Art J66 0490 may have been for him the most enduring, orderly, and noble activity J66 0500 of man. But the other activities of his life partook of these values. J66 0510 They did not actively negate them. Dylan Thomas's verse had to J66 0520 find endurance in a world of burning cities and burning Jews. He was J66 0530 able to find meaning in his art as long as it was the answer to air J66 0540 raids and gas ovens. As the world began to take on the guise of an immense J66 0550 air raid or gas oven, I believe his art became meaningless to him. J66 0560 I think all this could apply to Parker just as well, although, because J66 0570 of the nature of music, it is not demonstrable- at least not J66 0580 conclusively. Thomas and Parker have more in common than theme, J66 0590 attitude, life pattern. In the practice of their art, there is an J66 0600 obvious technical resemblance. Contrary to popular belief, they were J66 0610 not great technical innovators. Their effects are only superficially J66 0620 startling. Thomas is a regression from the technical originality and J66 0630 ingenuity of writers like Pierre Reverdy or Apollinaire. Similarly, J66 0640 the innovations of bop, and of Parker particularly, have been vastly J66 0650 overrated by people unfamiliar with music, especially by that ignoramus, J66 0660 the intellectual jitterbug, the jazz aficionado. The tonal novelties J66 0670 consist in the introduction of a few chords used in classical music J66 0680 for centuries. And there is less rhythmic difference between progressive J66 0690 jazz, no matter how progressive, and Dixieland, than there is J66 0700 between two movements of many conventional symphonies. What Parker J66 0710 and his contemporaries- Gillespie, Davis, Monk, Roach (Tristano J66 0720 is an anomaly), etc&- did was to absorb the musical ornamentation J66 0730 of the older jazz into the basic structure, of which it then became J66 0740 an integral part, and with which it then developed. This is true J66 0750 of the melodic line which could be put together from selected passages J66 0760 of almost anybody- Benny Carter, Johnny Hodges. It is true of J66 0770 the rhythmic pattern in which the beat shifts continuously, or at least J66 0780 is continuously sprung, so that it becomes ambiguous enough to allow J66 0790 the pattern to be dominated by the long pulsations of the phrase or J66 0800 strophe. This is exactly what happened in the transition from baroque J66 0810 to rococo music. It is the difference between Bach and Mozart. J66 0820 It is not a farfetched analogy to say that this is what Thomas J66 0830 did to poetry. The special syntactical effects of a Rimbaud or an Edith J66 0840 Sitwell- actually ornaments- become the main concern. The metaphysical J66 0850 conceits, which fascinate the Reactionary Generation still J66 0860 dominant in backwater American colleges, were embroideries. Thomas's J66 0870 ellipses and ambiguities are ends in themselves. The immediate J66 0880 theme, if it exists, is incidental, and his main theme- the terror of J66 0890 birth- is simply reiterated. This is one difference between J66 0900 Bird and Dylan which should be pointed out. Again, contrary to popular J66 0910 belief, there is nothing crazy or frantic about Parker either musically J66 0920 or emotionally. His sinuous melody is a sort of nai^ve transcendence J66 0930 of all experience. Emotionally it does not resemble Berlioz J66 0940 or Wagner; it resembles Mozart. This is true also of a painter J66 0950 like Jackson Pollock. He may have been eccentric in his behavior, J66 0960 but his paintings are as impassive as Persian tiles. Partly this difference J66 0970 is due to the nature of verbal communication. The insistent talk-aboutiveness J66 0980 of the general environment obtrudes into even the most J66 0990 idyllic poetry. It is much more a personal difference. Thomas certainly J66 1000 wanted to tell people about the ruin and disorder of the world. J66 1010 Parker and Pollock wanted to substitute a work of art for the world. J66 1020 Technique pure and simple, rendition, is not of major importance, J66 1030 but it is interesting that Parker, following Lester Young, was J66 1040 one of the leaders of the so-called saxophone revolution. In modern J66 1050 jazz, the saxophone is treated as a woodwind and played with conventional J66 1060 embouchure. Metrically, Thomas's verse was extremely conventional, J66 1070 as was, incidentally, the verse of that other tragic enrage, Hart J66 1080 Crane. I want to make clear what I consider the one technical J66 1090 development in the first wave of significant post-war arts. Ornament J66 1100 is confabulation in the interstices of structure. A poem by Dylan J66 1110 Thomas, a saxophone solo by Charles Parker, a painting by Jackson J66 1120 Pollock- these are pure confabulations as ends in themselves. Confabulation J66 1130 has come to determine structure. Uninhibited lyricism should J66 1140 be distinguished from its exact opposite- the sterile, extraneous J66 1150 invention of the corn-belt metaphysicals, or present blight of poetic J66 1160 professors. Just as Hart Crane had little influence on anyone J66 1170 except very reactionary writers- like Allen Tate, for instance, J66 1180 to whom Valery was the last word in modern poetry and the felicities J66 1190 of an Apollinaire, let alone a Paul Eluard were nonsense- so Dylan J66 1200 Thomas's influence has been slight indeed. In fact, his only J66 1210 disciple- the only person to imitate his style- was W& S& Graham, J66 1220 who seems to have imitated him without much understanding, and J66 1230 who has since moved on to other methods. Thomas's principal influence J66 1240 lay in the communication of an attitude- that of the now extinct J66 1250 British romantic school of the New Apocalypse- Henry Treece, J& J66 1260 F& Hendry, and others- all of whom were quite conventional J66 1270 poets. Parker certainly had much more of an influence. At one J66 1280 time it was the ambition of every saxophone player in every high school J66 1290 band in America to blow like Bird. Even before his death this influence J66 1300 had begun to ebb. In fact, the whole generation of the founding J66 1310 fathers of bop- Gillespie, Monk, Davis, Blakey, and the J66 1315 rest- J66 1320 are just now at a considerable discount. The main line of development J66 1330 today goes back to Lester Young and by-passes them. The point J66 1340 is that many of the most impressive developments in the arts nowadays J66 1350 are aberrant, idiosyncratic. There is no longer any sense of continuing J66 1360 development of the sort that can be traced from Baudelaire to J66 1370 Eluard, or for that matter, from Hawthorne through Henry James to J66 1380 Gertrude Stein. The cubist generation before World War /1,, and, J66 1390 on a lower level, the surrealists of the period between the wars, both J66 1400 assumed an accepted universe of discourse, in which, to quote Andre J66 1410 Breton, it was possible to make definite advances, exactly as in the J66 1420 sciences. I doubt if anyone holds such ideas today. Continuity exits, J66 1430 but like the neo-swing music developed from Lester Young, it is J66 1440 a continuity sustained by popular demand. In the plastic arts, J66 1450 a very similar situation exists. Surrealists like Hans Arp and Max J66 1460 Ernst might talk of creation by hazard- of composing pictures by J66 1470 walking on them with painted soles, or by tossing bits of paper up in J66 1480 the air. But it is obvious that they were self-deluded. Nothing looks J66 1490 anything like an Ernst or an Arp but another Ernst or Arp. Nothing J66 1500 looks less like their work than the happenings of random occasion. J66 1510 Many of the post-World War /2, abstract expressionists, apostles J66 1520 of the discipline of spontaneity and hazard, look alike, and do look J66 1530 like accidents. The aesthetic appeal of pure paint laid on at random J66 1540 may exist, but it is a very impoverished appeal. Once again what has J66 1550 happened is an all-consuming confabulation of the incidentals, the accidents J66 1560 of painting. It is curious that at its best, the work of this J66 1570 school of painting- Mark Rothko, Jackson Pollock, Clyfford Still, J66 1580 Robert Motherwell, Willem de-Kooning, and the rest- resembles J66 1590 nothing so much as the passage painting of quite unimpressive painters: J66 1600 the mother-of-pearl shimmer in the background of a Henry McFee, J66 1610 itself a formula derived from Renoir; the splashes of light and J66 1620 black which fake drapery in the fashionable imitators of Hals and Sargent. J66 1630 Often work of this sort is presented as calligraphy- the pure J66 1640 utterance of the brush stroke seeking only absolute painteresque values. J66 1650 You have only to compare such painting with the work of, say, J66 1660 Sesshu, to realize that someone is using words and brushes carelessly. J66 1670 At its best the abstract expressionists achieve a simple rococo J66 1680 decorative surface. Its poverty shows up immediately when compared J66 1690 with Tiepolo, where the rococo rises to painting of extraordinary profundity J66 1700 and power. A Tiepolo painting, however confabulated, is a J66 1710 universe of tensions in vast depths. A Pollock is an object of art- J66 1720 bijouterie- disguised only by its great size. In fact, once the size J66 1730 is big enough to cover a whole wall, it turns into nothing more than J66 1740 extremely expensive wallpaper. Now there is nothing wrong with complicated J66 1750 wallpaper. There is just more to Tiepolo. The great Ashikaga J66 1760 brush painters painted wallpapers, too- at least portable ones, J66 1770 screens. A process of elimination which leaves the artist with J66 1780 nothing but the play of his materials themselves cannot sustain interest J66 1790 in either artist or public for very long. So, in the last couple J66 1800 of years, abstract expressionism has tended toward romantic suggestion- J66 1810 indications of landscape or living figures. J67 0010 ANGLO-SAXON and Greek epic each provide on two occasions J67 0020 a seemingly authentic account of the narration of verse in the heroic J67 0030 age. Hrothgar's court bard sings of the encounters at Finnsburg (lines J67 0040 1068-1159), and improvises the tale of Beowulf's exploits in J67 0050 a complimentary comparison of the Geatish visitor with Sigemund (lines J67 0060 871-892); Alcinou^s' court bard sings of the discovered adultery J67 0070 of Ares and Aphrodite ( /8,.266-366), and takes up J67 0080 a tale of Odysseus while the Ithacan wanderer listens on ( J67 0090 /8,.499-520). Nothing in all this is autobiographical: unlike J67 0100 the poets of and , the poet of is J67 0110 not concerned with his own identity; the poet of the , J67 0120 reputed blind, reveals himself not at all in singing of the blind minstrel J67 0130 Demodocus. Since none of these glimpses of poetizing without writing J67 0140 is intended to incorporate a signature into the epic matter, there J67 0150 is prima-facie evidence that and the Homeric poems each J67 0160 derive from an oral tradition. That such a tradition lies behind J67 0170 the and the , at least, is hard to deny. Milman J67 0180 Parry rigorously defended the observation that the extant Homeric J67 0190 poems are largely formulaic, and was led to postulate that they could J67 0200 be shown entirely formulaic if the complete corpus of Greek epic survived; J67 0210 he further reasoned that frequent formulas in epic verse indicate J67 0220 oral composition, and assumed the slightly less likely corollary J67 0230 that oral epic is inclined towards the use of formulas. Proceeding from J67 0240 Parry's conclusions and adopting one of his schemata, Francis P& J67 0250 Magoun, Jr&, argues that likewise was created from J67 0260 a legacy of oral formulas inherited and extended by bards of successive J67 0270 generations, and the thesis is striking and compelling. Yet a fresh J67 0280 inspection will indicate one crucial amendment: and J67 0290 the Homeric poems are not at all formulaic to the same extent. J67 0300 The bondage endurable by an oral poet is to be estimated only by a J67 0310 very skilful oral poet, but it appears safe to assume that no sustained J67 0320 narrative in rhyme could be composed without extreme difficulty, even J67 0330 in a language of many terminal inflections. Assonance seems nearly J67 0340 as severe a curb, although in a celebrated passage William of Malmesbury J67 0350 declares that a was intoned before the battle J67 0360 commenced at Hastings. The Anglo-Saxon alliterative line and the J67 0370 Homeric hexameter probably imposed less of a restraint; the verse J67 0380 of or of the and the was not easy J67 0390 to create but was not impossible for poets who had developed their talents J67 0400 perforce in earning a livelihood. Yet certain aids were valuable J67 0410 and quite credibly necessary for reciting long stretches of verse without J67 0420 a pause. The poet in a written tradition who generally never blots J67 0430 a line may once in a while pause and polish without incurring blame. J67 0440 But the oral poet cannot pause; he must improvise continuously J67 0450 with no apparent effort. Even though the bondage of his verse is not J67 0460 so great as the writing poet can manage, it is still great enough for J67 0470 him often to be seriously impeded unless he has aids to facilitate rapid J67 0480 composition. The Germanic poet had such aids in the kennings, which J67 0490 provided for the difficulties of alliteration; the Homeric poet J67 0500 had epithets, which provided for recurring needs in the hexameter. Either J67 0510 poet could quickly and easily select words or phrases to supply J67 0520 his immediate requirements as he chanted out his lines, because the kennings J67 0530 and the epithets made possible the construction of systems of numerous J67 0540 synonyms for the chief common and proper nouns. Other synonyms J67 0550 could of course serve the same function, and for the sake of ease I J67 0560 shall speak of kennings and epithets in the widest and loosest poss1ble J67 0570 sense, and name, for example, a kenning for the Danes. J67 0580 Verbal and adverbial elements too participated in each epic diction, J67 0590 but it is for the present sufficient to mark the large nominal and J67 0600 adjectival supply of semantic near-equivalents, and to designate the J67 0610 members of any system of equivalents as basic formulas of the poetic J67 0620 language. Limited to a few thousand lines of heroic verse in Anglo-Saxon J67 0630 as in the other Germanic dialects, we cannot say how frequently J67 0640 the kennings in recurred in contemporary epic on the same J67 0650 soil. But we can say that since a writing poet, with leisure before J67 0660 him, would seem unlikely to invent a technique based upon frequent and J67 0670 substantial circumlocution, the kennings like the epithets must reasonably J67 0680 be ascribed to an oral tradition. One of the greatest J67 0690 Homerists of our time, Frederick M& Combellack, argues that when J67 0700 it is assumed the and the are oral poems, the J67 0710 postulated single redactor called Homer cannot be either credited with J67 0720 or denied originality in choice of phrasing. Any example of grand J67 0730 or exquisite diction may have been created by the poet who compiled numerous J67 0740 lays into the two works we possess or may be due to one of his J67 0750 completely J67 0760 unknown fellow-craftsmen. The quest of the historical Homer J67 0770 is likely never to have further success; no individual word in the J67 0780 or the can be credited to any one man; no strikingly J67 0790 effective element of speech in the extant poems can with assurance J67 0800 be said not to have been a commonplace in the vaster epic corpus J67 0810 that may have existed at the beginning of the first millennium before J67 0820 Christ. This observation is of interest not only to students of Homeric J67 0830 poetry but to students of Anglo-Saxon poetry as well. To the J67 0840 extent that a tale is twice told, its final author must be suspect, although J67 0850 plagiarism in an oral tradition is less a misdemeanor than the J67 0860 standard . Combellack argues further, and here J67 0870 he makes his main point, that once the and the J67 0880 are thought formulaic poems composed for an audience accustomed to J67 0890 formulaic poetry, Homeric critics are deprived of an entire domain they J67 0900 previously found arable. With a few important and a few more unimportant J67 0910 exceptions, no expression can be deemed for its J67 0920 context, because each was very probably the only expression that long-established J67 0930 practice and ease of rapid recitation would allow. Words J67 0940 or phrases that connoisseurs have admired as handsome or ironic or J67 0950 humorous must therefore lose merit and become regarded as mere inevitable J67 0960 time-servers, sometimes accurate and sometimes not. This observation J67 0970 too may have reference to Anglo-Saxon poetry. To the extent that J67 0980 a language is formulaic, its individual components must be regarded J67 0990 as no more distinguished than other cliches. W& F& Bryan J67 1000 suggests that certain kennings in were selected sometimes J67 1010 for appropriateness and sometimes for ironic inappropriateness, but J67 1020 such a view would appear untenable unless it is denied that the language J67 1030 of is formulaic. If the master of scops who was most J67 1040 responsible for the poem ever used kennings that were traditional, he J67 1050 was at least partly deprived of free will and not inclined towards shrewd J67 1060 and sophisticated misuse of speech elements. Once many significant J67 1070 phrases are found in theory or in recurrent practice to provide for J67 1080 prosodic necessity, they are not to be defended for their semantic properties J67 1090 in isolated contexts. It is false to be certain of having discovered J67 1100 in the language of such effects as intentional irony. J67 1110 Yet, if the argument is turned awry, there may be found a J67 1120 great deal in Bryan's view, after all. A formulaic element need not J67 1130 be held meaningless merely because it was selected with little conscious J67 1140 reflection. Time-servers though the periphrastic expressions are, J67 1150 they may nevertheless be handsome or ironic or humorous. A long evolution J67 1160 in an oral tradition caused the poetic language of the heroic J67 1170 age to be based upon formulas that show the important qualities of things, J67 1180 and these formulas are therefore potentially rather than always actually J67 1190 accurate. True, we do not know how they were regarded in their J67 1200 day, but we need not believe the epic audience to have been more insensitive J67 1210 to the formulas than the numerous scholars of modern times who J67 1220 have read Germanic or Homeric poetry all their lives and still found J67 1230 much to admire in occasional occurrences of the most familiar phrases. J67 1240 Nouns and adjectives in a written tradition are chosen for the nonce; J67 1250 in an oral tradition they may be chosen for the entire epic corpus, J67 1260 and tend towards idealization rather than distinctive delineation. J67 1270 Reliance is therefore not to be placed upon the archaeological particulars J67 1280 in an oral poem; no-one today would hope to discover the unmistakable J67 1290 ruins of Heorot or the palace of Priam. A ship at dry-dock J67 1300 could be called a foamy-necked floater in Anglo-Saxon or a swift J67 1310 ship in Greek. Even when defenseless of weapons the Danes would be J67 1320 (as their king is Hrothgar) and Priam would be |e|u|m|m|e|l|i|h|s. J67 1330 Achilles, like Siegfried in the , J67 1340 is potentially the swiftest of men and may accordingly J67 1350 be called swift-footed even when he stands idle. In J67 1360 the agnomen of Marcius is used deliberately and pointedly, but the J67 1370 Homeric epithets and the Anglo-Saxon kennings are used casually and J67 1380 recall to the hearer "a familiar story or situation or a useful or J67 1390 pleasant quality of the referent". The epic language was not entirely J67 1400 the servant of the poet; it was partly his master. The poet's J67 1410 intentions are difficult to discern and, except to biographers, unimportant; J67 1420 the language, however, is a proper object of scrutiny, and the J67 1430 effects of the language are palpable even if sometimes inevitable. J67 1440 and the Homeric poems appear oral compositions. Yet J67 1450 they are written; at some stage in their evolution they were transcribed. J67 1460 Albert B& Lord suggests that the Homeric poems were dictated J67 1470 to a scribe by a minstrel who held in his mind the poems fully matured J67 1480 but did not himself possess the knowledge of writing since it J67 1490 would J67 1500 be useless to his guild, and Magoun argues that the J67 1510 poet and Cynewulf may have dictated their verse in the same fashion. J67 1520 This explanation is attractive, but is vitiated at least in part by J67 1530 the observation that Cynewulf, though he used kennings in the traditional J67 1540 manner, was a literate man who four times inscribed his name by runes J67 1550 into his works. If Cynewulf was literate, the poet J67 1560 may have been also, and so may the final redactor of the and J67 1570 the . In lieu of the amanuensis to the blind or illiterate J67 1580 bard, one may conceive of a man who heard a vast store of oral poetry J67 1590 recited, and became intimately familiar with the established aids J67 1600 to poetizing, and himself wrote his own compositions or his edition of J67 1610 the compositions of the past. Other theories of origin are compatible J67 1620 with the formulaic theory: may contain a design for J67 1630 terror, and the may have a vast hysteron-proteron pattern answering J67 1640 to a ceramic pattern produced during the Geometric Period in J67 1650 pottery. The account of the growth and final transcription of these J67 1660 epics rests partly, however, upon the degree to which they were formulaic. J67 1670 Carl Eduard Schmidt counted 1804 different lines repeated J67 1680 exactly in the two Homeric poems, and by increasing this figure so J67 1690 as to include lines repeated with very slight modifications he counted J67 1700 2118 different lines used a total of 5612 times. Thus one line in J67 1710 five from the and the is to be found somewhere J67 1720 else in the two poems. The ratio is thoroughly remarkable, because the J67 1730 lines are so long- half again as long as those of . Anglo-Saxon J67 1740 poetry appears to have no comparable amount of repetition; J67 1750 there is no reason to think that the scop used and re-used whole lines J67 1760 and even lengthy passages after the manner of his Homeric colleague. J67 1770 In determining the extent to which any poem is formulaic it is idle, J67 1780 however, to inspect nothing besides lines repeated in their entirety, J67 1790 for a stock of line-fragments would be sufficient to permit the poet J67 1800 to extemporize with deftness if they provided for prosodic needs. J67 1810 The closest scrutiny is owed to the Anglo-Saxon kennings and the Homeric J67 1820 epithets; if any words or phrases are formulaic, they will be. J67 1830 The has two words for the shield, |a|s|p|i|s J67 1840 and |s|a|k|o|s. J68 0010 RECENT CRITICISM OF has tended to emphasize J68 0020 its symbolic and mythic content, to show, as M& D& Zabel has J68 0030 said of Dickens generally, that much of the novel's impact resides J68 0040 in its "allegoric insight and moral metaphor". J& H& Miller's J68 0050 excellent chapter on has lately illustrated J68 0060 how fruitfully that novel can be read from such a perspective. J68 0070 In his analysis, however, he touches upon but fails to explore an idea, J68 0080 generally neglected in discussions of the book, which I believe is J68 0090 central to its art- the importance of human hands as a recurring feature J68 0100 of the narrative. This essay seeks to make that exploration. J68 0110 Dickens was not for nothing the most theatrical of the great Victorian J68 0120 writers. He knew instinctively that next to voice and face an J68 0130 actor's hands are his most useful possession- that in fiction as J68 0140 in the theatre, gesture is an indispensable shorthand for individualizing J68 0150 character and dramatizing action and response. It is hardly accidental, J68 0160 therefore, that many of his most vivid figures do suggestive or J68 0170 eccentric things with their hands. In the hands J68 0180 become almost an obsession. Mr& Jaggers habitually bites his J68 0185 forefinger, J68 0190 a gesture which conveys both contempt and the inscrutable abstractedness J68 0200 that half fascinates, half terrifies all who have dealings with him. J68 0210 Miss Havisham's withered hands, heavy as if her unhappiness were J68 0220 somehow concentrated in them, move in restless self-pity between her J68 0230 broken heart and her walking stick. Pumblechook's "signature" J68 0240 is the perpetually extended glad hand. Wemmick reveals his self-satisfaction J68 0250 by regularly rubbing his hands together. Old Mr& Pocket's J68 0260 frantic response to life imprisonment with a useless, social-climbing J68 0270 wife is to "put his two hands into his disturbed hair" and "make J68 0280 an extraordinary effort to lift himself up by it", (23) whereas J68 0290 Joe Gargery endures the shrewish onslaughts of Mrs& Joe by apologetically J68 0300 drawing "the back of his hand across and across his nose". J68 0310 (7) Such mannerisms would be less worthy of remark, were it J68 0320 not that in , as in no other of Dickens' novels, J68 0330 hands serve as a of plot and theme- a kind of unifying J68 0340 symbol or natural metaphor for the book's complex of human interrelationships J68 0350 and the values and attitudes that motivate them. Dickens J68 0360 not only reveals character through gesture, he makes hands a crucial J68 0370 element of the plot, a means of clarifying the structure of the novel J68 0380 by helping to define the hero's relations with all the major characters, J68 0390 and a device for ordering such diverse themes as guilt, pursuit, J68 0400 crime, greed, education, materialism, enslavement (by both people J68 0410 and institutions), friendship, romantic love, forgiveness, and redemption. J68 0420 We have only to think of Lady Macbeth or the policeman-murderer J68 0430 in Thomas Burke's famous story, "The Hands of Mr& Ottermole", J68 0440 to realize that hands often call up ideas of crime and punishment. J68 0450 So it is with , whether the hands be J68 0460 Orlick's J68 0470 as he strikes down Mrs& Gargery or Pip's as he steals a J68 0480 pie from her pantry. Such associations suit well with the gothic or J68 0490 mystery-story aspects of Dickens' novel, but, on a deeper plane, they J68 0500 relate to the themes of sin, guilt, and pursuit that have recently J68 0510 been analyzed by other critics. The novel opens with a fugitive J68 0520 convict frantically trying to avoid the nemesis of being "laid hands J68 0530 on"- (3) a mysterious figure who looks into Pip's frightened J68 0540 eyes in the churchyard "as if he were eluding the hands of the dead J68 0550 people, stretching up cautiously out of their graves, to get a twist J68 0560 upon his ankle and pull him in". (1) Magwitch terrifies Pip into J68 0570 stealing a pork pie for him by creating the image in the boy's imagination J68 0580 of a bogy man who may "softly creep **h his way to him and tear J68 0590 him open", (1) "imbruing his hands" (2) in him. As Pip agonizes J68 0600 over the theft that his own hands have committed, his guilty conscience J68 0610 projects itself upon the wooden finger of a local signpost, transforming J68 0620 it into "a phantom devoting me to the Hulks". (3) Held J68 0630 upside down in the graveyard, Pip clings in terror "with both hands" J68 0640 (1) to his convict; later he flees in panic from the family table J68 0650 just as his theft is about to be discovered and is blocked at the J68 0660 front door by a soldier who accusingly holds out a pair of handcuffs which J68 0670 he has brought to Gargery's forge for mending. Through such details J68 0680 Dickens indicates at the outset that guilt is a part of the ironic J68 0690 bond between Pip and Magwitch which is so unpredictably to alter J68 0700 both their lives. Since they commonly translate thoughts and J68 0710 feelings into deeds, hands naturally represent action, and since nearly J68 0720 half the characters in are of the underworld J68 0730 or closely allied to it, the linking of hands with crime or violence J68 0740 is not to be wondered at. Dickens, for excellent psychological reasons, J68 0750 never fully reveals Magwitch's felonious past, but Pip, at the J68 0760 convict's climactic reappearance in London, shrinks from clasping J68 0770 a hand which he fears "might be stained with blood". (39) Orlick J68 0780 slouches about the forge "like Cain" with "his hands in his pockets", J68 0790 (15) and when he shouts abuse at Mrs& Joe for objecting J68 0800 to his holiday, she claps her hands in a tantrum, beats them "upon her J68 0810 bosom and upon her knees", (15) and clenches them in her husband's J68 0820 hair. This last "rampage" is only the prelude to the vicious J68 0830 blow upon her head, "dealt by some unknown hand" (15) whose identity J68 0840 is later revealed not verbally but through a manual action- the tracing J68 0850 of Orlick's hammer upon a slate. Pip himself is to feel the J68 0860 terror of Orlick's "murderous hand" (53) in his secret rendezvous J68 0870 at the sluicehouse on the marshes. Dickens lays great emphasis on J68 0880 the hands in this scene. Orlick shakes his hand at Pip, bangs the table J68 0890 with his fist, draws his unclenched hand "across his mouth as if J68 0900 his mouth watered" for his victim, lets his hands hang "loose and J68 0910 heavy at his sides", and Pip observes him so intensely that he knows J68 0920 "of the slightest action of his fingers". (53) Orlick might almost J68 0930 be Magwitch's bogy man come alive, a figure of nemesis from Pip's J68 0940 phantasy of guilt. The scarred, disfigured wrists of Mr& J68 0950 Jaggers' housekeeper are the tell-tale marks of her sinister J68 0960 past, for her master, coolly exhibiting them to his dinner guests, makes J68 0970 a point of the "force of grip there is in these hands". (26) Jaggers' J68 0980 iron control over her ("**h she would remove her hands from J68 0990 any dish she put before him, hesitatingly, as if she dreaded his calling J68 1000 her back **h".) (26) rests on his having once got her acquitted J68 1010 of a murder charge by cleverly contriving her sleeves at the trial to J68 1020 conceal her strength and by passing off the lacerations on the backs J68 1030 of her hands as the scratches of brambles rather than of human fingernails. J68 1040 It is the similarity between Estella's hands and Molly's J68 1050 ("The action of her fingers was like the action of knitting") (48) J68 1060 that provides Pip with a vital clue to the real identity of both and J68 1070 establishes a symbolic connection between the underworld of crime and J68 1080 the genteel cruelty of Satis House. Finally, Magwitch's pursuit J68 1090 of Compeyson, his archenemy and betrayer, begins by his holding him J68 1100 in a vicelike grip on the river flats to frustrate his escape and culminates J68 1110 in his "laying his hand on his cloak to identify him", (54) J68 1120 thus precipitating the death-locked struggle in the water during which J68 1130 Compeyson drowns. Magwitch's hand here ironically becomes the agent J68 1140 of justice. But only in one of its aspects is J68 1150 a tale of violence, revenge, and retribution. Money, so J68 1160 important a theme elsewhere in Dickens, is here central, and hands are J68 1170 often associated in some way with the false values- acquisitiveness, J68 1180 snobbery, self-interest, hypocrisy, toadyism, irresponsibility, injustice- J68 1190 that attach to a society based upon the pursuit of wealth. J68 1195 Dickens suggests J68 1200 the economic evils of such a society on the first page J68 1210 of his novel in the description of Pip's five little dead brothers J68 1220 "who gave up trying to get a living exceedingly early in that universal J68 1230 struggle", who seemed to have "all been born on their backs J68 1240 with their hands in their trousers-pockets, and had never taken them J68 1245 out J68 1250 in this state of existence". (1) Pip's great expectations, his J68 1260 progress through illusion and disillusionment, turn, somewhat as they J68 1270 do for the naive hero of Dreiser's , upon J68 1280 the J68 1290 lure of genteel prosperity through unearned income- what Wemmick calls J68 1300 "portable property" and what Jaggers reproaches Pip for letting J68 1310 "slip through [his] fingers". (55) Since a gentleman J68 1320 must, if possible, avoid sullying them by work, his hands, as importantly J68 1330 as his accent, become the index of social status. Almost the first J68 1340 step in the corruption of Pip's values is the unworthy shame he J68 1350 feels when Estella cruelly remarks the coarseness of his hands: "They J68 1360 had never troubled me before, but they troubled me now, as vulgar J68 1370 appendages". (8) Pip imagines how Estella would look down upon J68 1380 Joe's hands, roughened by work in the smithy, and the deliberate contrast J68 1390 between her white hands and his blackened ones is made to symbolize J68 1400 the opposition of values between which Pip struggles- idleness J68 1410 and work, artificiality and naturalness, gentility and commonness, coldness J68 1420 and affection- in fact, between Satis House and the forge. J68 1430 When the snobbery that alienates Pip from Joe finally gives way before J68 1440 the deeper and stronger force of love, the reunion is marked by an J68 1450 embarrassed handshake at which Pip exclaims "No, don't wipe it J68 1460 off- for God's sake, give me your blackened hand"! (35) J68 1470 Pip's abject leave-taking of Miss Havisham, during which he kneels J68 1480 to kiss her hand, signalizes his homage to a supposed patroness who J68 1490 seems to be opening up for him a new world of glamour; when, on the J68 1500 journey to London that immediately follows, he pauses nostalgically J68 1510 to lay his hand upon the finger-post at the end of the village, the wooden J68 1520 pointer symbolically designates a spiritual frontier between innocence J68 1530 and the corruption of worldly vanity. Incidentally, one cannot J68 1540 miss the significance of this gesture, for Dickens reintroduces it associatively J68 1550 in Pip's mind at another moral and psychological crisis- J68 1560 his painful recognition, in a talk with Herbert Pocket, that his J68 1570 hopeless attachment to Estella is as self-destructive as it is romantic. J68 1580 In both cases the finger-post represents Pip's heightened awareness J68 1590 of contrary magnetisms. A variety of hand movements helps J68 1600 dramatize the moral climate of the fallen world Pip encounters beyond J68 1610 the forge. The vulturelike attendance of the Pocket family upon J68 1620 Miss Havisham is summed up in the hypocritical gestures of Miss Camilla J68 1630 Pocket, who puts her hand to her throat in a feigned spasm of J68 1640 grief-stricken choking, then lays it "upon her heaving bosom" with J68 1650 "an unnatural fortitude of manner", (11) and finally kisses it to J68 1660 Miss Havisham in a parody of the lady's own mannerism toward Estella. J68 1670 Pumblechook's hands throughout the novel serve to travesty greed J68 1680 and hypocritical self-aggrandizement. We first see him shaking Mrs& J68 1690 Joe's hand on discovering the sizable amount of the premium paid J68 1700 to her husband for Pip's indenture as an apprentice and later pumping J68 1710 Pip's hands "for the hundredth time at least" ("May I- J68 1720 I-"?) (19) in effusive congratulation to Pip on J68 1730 his expectations. We take leave of Pumblechook as he gloats over Pip's J68 1740 loss of fortune, extending his hand "with a magnificently forgiving J68 1750 air" and exhibiting "the same fat five fingers", one of which J68 1760 he identifies with "the finger of Providence" and shakes at Pip J68 1770 in a canting imputation of the latter's <"ingratitoode"> and J68 1780 his own generosity as Pip's <"earliest benefactor">. (58) J68 1790 Pip first learns "the stupendous power of money" from the J68 1800 sycophantic tailor, Mr& Trabb, whose brutality to his boy helper exactly J68 1810 matches J68 1820 the financial resource of each new customer, and whose fawning J68 1830 hands touch "the outside of each elbow" (19) and "rub" J68 1840 Pip out of the shop. The respectability which money confers implies J68 1850 a different etiquette, and, upon taking up the life of a London gentleman, J68 1860 Pip must learn from Herbert Pocket that "the spoon is not generally J68 1870 used over-hand, but under". J69 0010 The following items may be specified in actual or symbolic form in the J69 0020 operands of those instructions which refer to the particular items: J69 0030 channel, unit, combined channel and unit, combined arm and file, unit J69 0040 record synchronizers, inquiry synchronizers, and alteration switches. J69 0050 The declarative operation ~EQU is used to equate symbolic names J69 0060 to item numbers (see page 85). _CONTINUATION CARDS_ Certain Autocoder J69 0070 statements make provision for more parameters than may be contained J69 0080 in the operand (columns 21-75) of a single line on the Autocoder J69 0090 coding sheet. When this is the case, the appropriate section of this J69 0100 manual will indicate that "Continuation Cards" may be used. Thus, J69 0110 when specifically permitted, the operand of a given line on the Autocoder J69 0120 coding sheet may be continued in the operand of from one to J69 0130 four additional lines which immediately follow. The label and J69 0140 operation columns must be blank and the continuation of the operand J69 0150 must begin in column 21; i&e&, it must be left-justified in the J69 0160 operand column of the coding sheet. The operand need not extend across J69 0170 the entire operand column of either the header card or continuation J69 0180 cards but may end with the comma following any parameter. Remarks may J69 0190 appear to the right of the last parameter on each card provided they J69 0200 are separated from the operand by at least two blank spaces. Illustration J69 0210 of the use of continuation cards are included throughout the J69 0220 examples illustrating the various statements. If a continuation J69 0230 card follows a statement that does not permit continuation cards, J69 0240 the compiler will generate a ~NOP and issue an error message. Additional J69 0250 restrictions regarding the use of continuation cards with macro-instructions J69 0260 appear on page 106. #RESERVATION OF INDEX WORDS AND J69 0270 ELECTRONIC SWITCHES# The assignment of actual addresses to symbolic J69 0280 index word and electronic switch names occurs in Phase /3, of the J69 0290 Autocoder processor. The initial availability of index words and electronic J69 0300 switches is determined by a table which is included in the Compiler J69 0310 Systems Tape. This table originally indicates that index words J69 0320 1 through 96 and electronic switches 1 through 30 are available for J69 0330 assignment to symbolic references; index words 97 through 99 are J69 0340 not available. The initial setting of this table may be altered, however, J69 0350 as described in the 7070/7074 Data Processing System Bulletin J69 0360 "~IBM 7070/7074 Compiler System: Operating Procedure", J69 0370 form ~J28-6105. During the first pass of Phase /3,, references J69 0380 to the addresses of index words and electronic switches J69 0390 are collected and the availability table is updated. At the end J69 0400 of this pass, the table indicates which index words and electronic switches J69 0410 are not available for assignment to symbolic references. J69 0420 Both index words and electronic switches may have been made unavailable J69 0430 before the start of assignment in one of the following ways: _1._ J69 0440 The initial setting of the availability table indicated that the J69 0450 index word or electronic switch was not available for assignment. _2._ J69 0460 The one- two-digit number of the index word or electronic switch J69 0470 was used in the operand of a symbolic machine instruction to specify J69 0480 indexing or as a parameter which is an index word or electronic J69 0490 switch, e&g&, @ _3._ The one- or two-digit number of J69 0500 the index word or electronic switch was used in the operand of an ~EQU J69 0510 statement, e&g&, @ When the index words or electronic J69 0520 switches are reserved because of actual usage in the statements J69 0530 described above, the position or order of the statements within the program J69 0540 is not important; any such reference will make the index word J69 0550 or electronic switch unavailable at the end of this pass. During J69 0560 the assignment pass of Phase /3,, index words and electronic switches J69 0570 are reserved as they are encountered during assignment. Index J69 0580 words and electronic switches may be reserved in the following ways. J69 0590 The first two methods apply to both index words and electronic switches; J69 0600 the third applies only to index words. _1._ During the assignment J69 0610 pass, each instruction is examined for reference to the symbolic J69 0620 name of an index word or electronic switch. When such a reference J69 0630 is found, an actual address is assigned and the availability table is J69 0640 changed so that the assigned index word or switch is no longer available J69 0650 for later assignment. _2._ If the one- or two-digit address of J69 0660 an index word or electronic switch is used or is included in the operand J69 0670 of an ~XRESERVE or ~SRESERVE statement (see page J69 0680 99), the corresponding index word or electronic switch is reserved. J69 0690 _3._ If a statement has been assigned an address in the index word J69 0700 area _A._ by means of an actual label or _B._ by means of an J69 0710 ORIGIN statement which refers to an the J69 0720 corresponding index word will be reserved. These entries should normally J69 0730 appear at the beginning of the program or immediately following each J69 0740 ~LITORIGIN statement. Otherwise, symbolic names may have J69 0750 previously been assigned to these same index words. (This method does J69 0760 not apply to electronic switches.) The preceding methods allow J69 0770 efficient use of index words and electronic switches during a sectionalized J69 0780 or multi-phase program, particularly when used in conjunction J69 0790 with the ~LITORIGIN statement. Extreme caution should J69 0800 be used, however, to avoid the conflicting usage of an index word or electronic J69 0810 switch which may result from the assignment of more than one J69 0820 name or function to the same address. If the symbolic name or J69 0830 actual address of an index word or electronic switch appears or is included J69 0840 in the operand of an ~XRELEASE or ~SRELEASE J69 0850 statement (see page 101), the specified index word or electronic switch J69 0860 will again be made available, regardless of the method by which it J69 0870 was reserved. It will not, however, be used for symbolic assignment until J69 0880 all other index words or electronic switches have been assigned for J69 0890 the first time. If, at any time during the assignment pass, J69 0900 the compiler finds that there are no more index words available for assignment, J69 0910 the warning message "NO MORE INDEX WORDS AVAILABLE" J69 0920 will be placed in the object program listing, the table will be altered J69 0930 to show that index words 1 through 96 are available, and the assignment J69 0940 will continue as before. If the compiler finds that there are J69 0950 no more electronic switches available for assignment, the warning message J69 0960 "NO MORE ELECTRONIC SWITCHES AVAILABLE" will be placed in J69 0970 the object program listing, the table will be altered to show that electronic J69 0980 switches 1 through 30 are available, and assignment will continue J69 0990 as before. The resultant conflicting usage of index words or electronic J69 1000 switches may be avoided by reducing the number of symbolic names J69 1010 used, e&g&, through the proper use of the ~EQU, ~XRELEASE, J69 1020 or ~SRELEASE statements. As noted in Appendix J69 1030 ~C, index words 97 through 99 are available for assignment J69 1040 to symbolic names by the compiler; also, index words 93 through J69 1050 96 may have been made unavailable for assignment. #DECLARATIVE J69 1060 STATEMENTS# Autocoder declarative statements provide the processor J69 1070 with the necessary information to complete the imperative operations J69 1080 properly. Declarative statements are never executed in the object program J69 1090 and should be separated from the program instruction area, placed J69 1100 preferably at its beginning or end. Otherwise, special care must be J69 1110 taken to branch around them so that the program will not attempt to execute J69 1120 something in a data area as an instruction. If the compiler does J69 1130 encounter such statements, a warning message will be issued. 7070/7074 J69 1140 Autocoder includes the following declarative statements: ~DA J69 1150 (Define Area), ~DC (Define Constant), ~DRDW (Define Record J69 1160 Definition Word), ~DSW (Define Switch), ~DLINE J69 1170 (Define Line), ~EQU (Equate), CODE, ~DTF (Define J69 1180 Tape File), ~DIOCS (Define Input/Output Control System), J69 1190 and ~DUF (Descriptive Entry for Unit Records). ~DA, ~DC, J69 1200 ~DTF, and ~DLINE require more than one entry. J69 1210 The ~DA statement is used to name and define the positions and J69 1220 length of fields within an area. The ~DC statement is used to name J69 1230 and enter constants into the object program. Since the 7070 and 7074 J69 1240 make use of record definition words (~RDWS) to read, write, move, J69 1250 and otherwise examine blocks of storage, the ~DA and ~DC statements J69 1260 provide the option of generating ~RDWS automatically. J69 1270 When so instructed, Autocoder will generate one or more ~RDWS J69 1280 and assign them successive locations immediately preceding the area(s) J69 1290 with which they are to be associated. An ~RDW will be of the J69 1300 form **f, where ~xxxx is the starting location of the area and ~yyyy J69 1310 is its ending location. These addresses are calculated automatically J69 1320 by the processor. In some cases, it may be more advantageous J69 1330 to assign locations to ~RDWS associated with ~DA and ~DC J69 1340 areas in some other part of storage, i&e&, not immediately preceding J69 1350 the ~DA or ~DC areas. The ~DRDW statement may be J69 1360 used for this purpose. The ~DRDW statement may also be used to J69 1370 generate an ~RDW defining area specified by the programmer. J69 1380 As many as ten digital switches may be named and provided J69 1390 by the ~DSW statement for consideration by the ~SETSW and J69 1400 LOGIC macro-instructions. Each switch occupies one digit position J69 1410 in a word, can be set ON or OFF, and is considered J69 1420 as logically equivalent to an electronic switch. It cannot, however, J69 1430 be referred to by electronic switch commands, e&g&, ~ESN, ~BSN, J69 1440 etc&. An individual switch or the entire set of switches in J69 1450 a word may be tested or altered as desired. Through use of J69 1460 the ~DLINE statement, a means is provided for specifying both J69 1470 the editing of fields to be inserted in a print line area and the layout J69 1480 of the area itself. The area may include constant information supplied J69 1490 by the programmer. The area may also be provided with additional J69 1500 data during the running of the object program by means of ~EDMOV J69 1510 or MOVE macro-instructions. The declarative statement J69 1520 ~EQU permits the programmer to equate symbolic names to actual J69 1530 index words, electronic switches, arm and file numbers, tape channel J69 1540 and unit numbers, alteration switches, etc&, and to equate a symbol J69 1550 to another symbol or to an actual address. The ~DIOCS, J69 1560 ~DTF, and ~DUF statements are used when required by the Input/Output J69 1570 Control System. ~DIOCS is used to select the major J69 1580 methods of processing to be used, and to name the index words used J69 1590 by ~IOCS. Each tape file must be described by Tape File Specifications, J69 1600 produced by ~DTFS. In addition to information related J69 1610 to the file and its records, the File Specifications contain subroutine J69 1620 locations and the location of tape label information. A ~DUF J69 1630 entry must be supplied for every unit record file describing the type J69 1640 of file and the unit record equipment to be used. The ~DUF also J69 1650 supplies the locations of subroutines written by the user that are J69 1660 unique to the file. A full description of the ~DIOCS, J69 1670 ~DTF, and ~DUF statements is contained in the 7070 Data Processing J69 1680 system Bulletin "~IBM 7070 Input/Output Control System", J69 1690 form ~J28-6033-1. Brief descriptions of these three declarative J69 1700 statements and detailed descriptions of the formats and functions J69 1710 of each of the other 7070/7074 Autocoder declarative statements follow J69 1720 below. _~DIOCS- DEFINE INPUT/OUTPUT CONTROL SYSTEM_ When J69 1730 the Input/Output Control System is to be used in a program, a J69 1740 ~DIOCS statement must be used to select the major methods of processing J69 1750 to be used. This statement also allows the naming of the index J69 1760 words used by ~IOCS. _SOURCE PROGRAM FORMAT_ The basic J69 1770 format of the ~DIOCS statement is as follows: @ ANYLABEL J69 1780 is any symbolic label; it may be omitted. The entry ~DIOCS J69 1790 must be written exactly as shown. The first item in the J69 1800 operand, ~IOCSIXF, is used to specify the first ~IOCS index J69 1810 word for programs using tape files. This item may be a symbolic J69 1820 name or an actual one-digit or two-digit index word address in the range J69 1830 3-94. If the first item in the operand is omitted, the symbolic name J69 1840 ~IOCSIXF will be assigned. When an actual index word or a J69 1850 symbolic address is specified, Autocoder will equate the name ~IOCSIXF J69 1860 to it. The second item in the operand, ~IOCSIXG, J69 1870 is used to specify the second ~IOCS index word for programs J69 1880 using tape files. This item may be a symbolic name or an actual one-digit J69 1890 or two-digit index word address in the range 3-94. If the second J69 1900 item in the operand is omitted, the symbolic name ~IOCSIXG J69 1910 will be assigned. When an actual index word or a symbolic address J69 1920 is specified, Autocoder will equate ~IOCSIXG to it. J70 0010 In the midwest, oxidation ponds are used extensively for the treatment J70 0020 of domestic sewage from suburban areas. The high cost of land J70 0030 and a few operational problems resulting from excessive loadings have J70 0040 created the need for a wastewater treatment system with the operational J70 0050 characteristics of the oxidation pond but with the ability to treat J70 0060 more organic matter per unit volume. Research at Fayette, Missouri J70 0070 on oxidation ponds has shown that the ~BOD in the treated J70 0080 effluent varied from 30 to 53 ~mg/~l with loadings from 8 to J70 0090 120 ~lb ~BOD/day/acre. Since experience indicates that effluents J70 0100 from oxidation ponds do not create major problems at these ~BOD J70 0110 concentrations, the goal for the effluent quality of the accelerated J70 0120 treatment system was the same as from conventional oxidation ponds. J70 0130 Recent studies by Weston and Stack had indicated that a turbine J70 0140 aerator could be added to an oxidation pond to increase the rate of oxygen J70 0150 transfer. Their study showed that it was possible to transfer 3 J70 0160 to 4 ~lb of oxygen/~hr/~hp. O'Connor and Eckenfelder J70 0170 discussed the use of aerated lagoons for treating organic wastes. J70 0180 They indicated that a 4-day retention, aerated lagoon would give 60 J70 0190 to 76 per cent ~BOD reduction. Later, Eckenfelder increased J70 0200 the efficiency of treatment to between 75 and 85 per cent in the summer J70 0210 months. It appeared from the limited information available that the J70 0220 aerated lagoon might offer a satisfactory means of increasing the capacity J70 0230 of existing oxidation ponds as well as providing the same degree J70 0240 of treatment in a smaller volume. #RED BRIDGE SUBDIVISION# With J70 0250 the development of the Red Bridge Subdivision south of Kansas City, J70 0260 Missouri, the developer was faced with the problem of providing adequate J70 0270 sewage disposal. The sewage system from Kansas City was not J70 0280 expected to serve the Red Bridge area for several years. This necessitated J70 0290 the construction of temporary sewage treatment facilities with J70 0300 an expected life from 5 to 15 ~yr. For the initial development an J70 0310 oxidation pond was constructed as shown in Figure 1. The oxidation pond J70 0320 has a surface area of 4.77 acres and a depth of 4 ~ft. The pond J70 0330 is currently serving 1,230 persons or 260 persons per acre. In the summer J70 0340 of 1960 the oxidation pond became completely septic and emitted J70 0350 obnoxious odors. It was possible to maintain aerobic conditions in the J70 0360 pond by regular additions of sodium nitrate until the temperature decreased J70 0370 and the algae population changed from blue-green to green algae. J70 0380 The anaerobic conditions in the existing oxidation pond J70 0390 necessitated examination of other methods for supplying additional oxygen J70 0400 than by sodium nitrate. At the same time further expansion in the J70 0410 Red Bridge Subdivision required the construction of additional sewage J70 0420 treatment facilities. The large land areas required for oxidation J70 0430 ponds made this type of treatment financially unattractive to the developer. J70 0440 It was proposed that aerated lagoons be used to eliminate the J70 0450 problem at the existing oxidation ponds and to provide the necessary J70 0460 treatment for the additional development. #PILOT LAGOON# The lack J70 0470 of adequate data on the aerated lagoon system prompted the developer J70 0480 to construct an aerated lagoon pilot plant to determine its feasibility J70 0490 for treating domestic sewage. The pilot plant was a circular lagoon J70 0500 81 ~ft in ~diam at the surface and 65 ~ft in ~diam at the bottom, J70 0510 4 ~ft below the surface, with a volume of 121,000 ~gal. The J70 0520 side slopes were coated with fiberglas matting coated with asphalt to J70 0530 prevent erosion. The pilot lagoon was located as shown in Figure 1 J70 0540 to serve the area just south of the existing housing area. The major J70 0550 contributor was a shopping center with houses being added to the system J70 0560 as the subdivision developed. The pilot lagoon was designed to handle J70 0570 the wastes from 314 persons with a 4-day aeration period. Initially, J70 0580 the wastewater would be entirely from the shopping center with the J70 0590 domestic sewage from the houses increasing over an 18-month period. This J70 0600 operation would permit evaluation of the pilot plant, with a slowly J70 0610 increasing load, over a reasonable period of time. The pilot J70 0620 plant was equipped with a 3-~hp turbine aerator (Figure 2). The J70 0630 aerator had a variable-speed drive to permit operation through a range J70 0640 of speeds. The sewage flow into the treatment plant was metered and J70 0650 continuously recorded on 24-~hr charts. The raw sewage was introduced J70 0660 directly under the turbine aerator to insure maximum mixing of the J70 0670 raw sewage with the aeration tank contents. The effluent was collected J70 0680 through two pipes and discharged to the Blue River through a surface J70 0690 drainage ditch. #ANALYSES# Composite samples were collected at J70 0700 weekly intervals. The long retention period and the complete mixing J70 0710 concept prevented rapid changes in either the mixed liquor or in the effluent. J70 0720 Weekly samples would make any changes more readily discernible J70 0730 than daily samples. The composite samples were normally collected J70 0740 over a 6-~hr period, but an occasional 24-~hr composite was made. J70 0750 Examination of the operations of the shopping center permitted correlation J70 0760 of the 6-~hr composite samples with 24-~hr operations. The J70 0770 data indicated that the organic load during the 6-~hr composites was J70 0780 essentially 50 per cent of the 24-~hr organic load. Grab samples J70 0790 were collected from the existing oxidation pond to determine its J70 0800 operating conditions. Efforts were made to take the grab samples at J70 0810 random periods so that the mass of data could be treated as a 6-~hr J70 0820 composite sample. A single 24-~hr composite sample indicated that the J70 0830 sewage flow pattern and characteristics were typical. #PILOT PLANT J70 0840 OPERATIONS# The ~BOD of the influent to the pilot plant varied J70 0850 between 110 and 710 ~mg/~l with an average of 350 ~mg/~l. J70 0860 This was equivalent to 240 ~mg/~l~BOD on a 24-~hr basis. The J70 0870 ~BOD of the raw sewage was typical of domestic sewage from a J70 0875 subdivision. J70 0880 The ~BOD in the effluent averaged 58 ~mg/~l, a 76-per J70 0890 cent reduction over the 24-~hr period. Examination of the data J70 0900 in Table /1, shows that a few samples contributed to raising the effluent J70 0910 ~BOD. The periods of high effluent ~BOD occurred during J70 0920 cold periods when operational problems with the aerator resulted. J70 0930 Ice caused the aerator to overload, straining the drive belts. The J70 0940 slippage of the drive belts caused the aerator to slow down and reduce J70 0950 oxygen transfer as well as the mixing of the raw sewage. The J70 0960 organic loading on the unit averaged 32 ~lb of ~BOD/day or about J70 0970 2 ~lb ~BOD/day/1,000 ~cu ~ft aeration capacity. Needless J70 0980 to say, the organic load was very low on a volumetric basis, but was J70 0990 270 ~lb ~BOD/day/acre on a surface loading basis. It seems that J70 1000 the aerated lagoon was a very heavily loaded oxidation pond or a lightly J70 1010 loaded activated sludge system. The flow rate remained relatively J70 1020 constant during the winter months as shown in Table /1,. With J70 1030 the spring rains the flow rose rapidly due to infiltration in open J70 1040 sewers. As construction progresses, the volume of storm drainage will J70 1050 be sharply reduced. The retention period in the aerated lagoon ranged J70 1060 from 9.8 to 2.6 days, averaging 6.4 days. The large amount J70 1070 of vegetable grindings from the grocery store in the shopping center J70 1080 created a suspended solids problem. The vegetables were not readily metabolized J70 1090 by the bacteria in the aeration unit and tended to float on J70 1100 the surface. A skimming device at the effluent weir prevented loss of J70 1110 most of these light solids. The average volatile suspended solids in J70 1120 the effluent was 75 ~mg/~l while ~MLSS averaged 170 ~mg/~l J70 1130 volatile suspended solids. The average sludge age based on displacement J70 1140 of solids was calculated to be 14.5 days. The oxygen uptake rate J70 1150 in the mixed liquor averaged 0.8 ~mg/~l/~hr during the first J70 1160 four months of this study. Variations in aerator speeds during the latter J70 1170 two months of this study caused increased mixing and increased oxygen J70 1180 demand. The increase in oxygen uptake rates from 1.2 to 2.6 ~mg/~l/~hr J70 1190 which followed an increase in rotor speed was believed to J70 1200 be related to resuspension of solids which had settled at the lower J70 1210 rotor speeds. It appeared that most of the mixed liquor suspended solids J70 1220 were active microbial solids with the heavier, less active solids J70 1230 settling out. The suspended solids discharged in the effluent J70 1240 were found to be the major source of the ~BOD. Removal of the suspended J70 1250 solids by a membrane filter yielded an average effluent containing J70 1260 only 20 ~mg/~l ~BOD. The ~BOD in the drainage ditch J70 1270 receiving the pilot plant effluent averaged 12 ~mg/~l. This low ~BOD J70 1280 was due to removal of the excess suspended solids by sedimentation J70 1290 since the only dilution was surface runoff which was very low during J70 1300 this study. #MICROSCOPIC EXAMINATION# Routine microscopic examinations J70 1310 were made of the mixed liquor as indicated by McKinney and J70 1320 Gram for the various types of protozoa. It was found that the J70 1330 aerated lagoon was an activated sludge system rather than an oxidation J70 1340 pond. At no time were algae found in the mixed liquor. The bacteria J70 1350 formed typical activated sludge floc. The floc particles were all small J70 1360 as the heavier floc settled out. Initially, the flagellated J70 1370 protozoa predominated, but they soon gave way to the free swimming ciliated J70 1380 protozoa. As the temperature decreased, the number of free swimming J70 1390 ciliated protozoa decreased. Very little protozoa activity existed J70 1400 below 40`~F. When the temperature reached 32`~F all protozoan J70 1410 activity ceased; but as the temperature rose, the numbers of J70 1420 protozoa increased rapidly. Only once were stalked ciliates found in J70 1430 the mixed liquor. The predomination of free swimming ciliated protozoa J70 1440 is indicative of a high bacterial population. #OXYGEN TRANSFER# J70 1450 One of the important aspects of this study was to determine the oxygen J70 1460 transfer relationships of the mechanical aerator. Routine determinations J70 1470 were made for dissolved oxygen in the mixed liquor and for oxygen J70 1480 uptake rates. The data given in Table /2, show the routine operation J70 1490 of the aerator. The dissolved oxygen in the aeration unit was consistently J70 1500 high until January 29, 1961. An extended cold spell caused J70 1510 ice to build up on the aerator which was mounted on a floating platform J70 1520 and caused the entire platform to sink lower in the water. The added J70 1530 resistance to the rotor damaged the drive belts and reduced the oxygen J70 1540 transfer capacity. It was approximately one month before the belt J70 1550 problem was noticed and corrected, but at no time was there a deficiency J70 1560 of dissolved oxygen. A series of eight special tests were J70 1570 conducted at different rotor speeds to determine the oxygen transfer J70 1580 rate. Five of the tests were conducted with a polyethylene cover to J70 1590 simulate an ice cover. The rate of oxygen transfer at 1.0-~mg/~l J70 1600 dissolved oxygen concentration and 10`~C for various rotor speeds J70 1610 is given in Table /3,. The maximum rate of oxygen transfer at 1.0 J70 1620 ~mg/~l dissolved oxygen was calculated as 220 ~lb/day at a maximum J70 1630 rate of 9.3 ~mg/~l/~hr. The actual power requirements indicated J70 1640 2~lb oxygen transfer/~hr/~hp. The polyethylene cover reduced J70 1650 the oxygen transfer rate by 10 per cent, indicating that the maximum J70 1660 oxygen transfer is at the rotor rather than through the surface. #OXIDATION J70 1670 POND# During this study septic conditions developed in the J70 1680 oxidation pond in the spring when the ice melted. Shortly after this J70 1690 study ended septic conditions resulted which required the addition of J70 1700 sodium nitrate. The location of the oxidation pond in a high-value J70 1710 residential area makes odor nuisances a sensitive problem for the developer. J70 1720 The organic concentration in the influent raw sewage ranged from J70 1730 160 to 270 ~mg/~l of ~BOD with an average of 230 ~mg/~l. J70 1740 The ~BOD data are given in Table /4,. A single 24-~hr composite J70 1750 sample had a ~BOD of 260 ~mg/~l, indicating a typical J70 1760 domestic sewage. The daily sewage volume to the oxidation pond averaged J70 1770 147,000 ~gpd, giving a retention period of 42 days. The organic J70 1780 loading on the pond was slightly under 60~lb~BOD/day/acre. J70 1790 The effluent ~BOD averaged 34 ~mg/~l, a little lower J70 1800 than that of the study at Fayette indicated for a loading of 60~lb J70 1810 ~BOD/day/acre. The ~BOD of the effluent ranged from a J70 1820 minimum of 13 to a maximum of 47~mg/~l. Microscopic examination of J70 1830 the effluent showed that minimum ~BOD occurred when the algae began J70 1840 to decrease with cold weather. When the algae began to build up J70 1850 again, the effluent ~BOD rose. During the two weeks when the algae J70 1860 disappeared from the effluent ~BOD's in the effluent were 18 J70 1870 and 16 ~mg/~l. J71 0010 Thus, the three main categories of antisubmarine warfare operations J71 0020 are defense of shipping, defense of naval forces, and area defense. J71 0030 The last category overlaps the others in amphibious operations and J71 0040 near terminals and bases. To effect these operations, five elements J71 0050 exist (1) surface, (2) air, (3) mines, (4) submarine, and (5) J71 0060 fixed installations. Surface forces have been used to provide defense J71 0070 zones around naval and merchant ship formations, air to furnish area J71 0080 surveillance, and mines for protection of limited areas. Submarines and J71 0090 shore installations are new elements. The submarine now has a definite J71 0100 place in submarine defense particularly in denying enemy access to J71 0110 ocean areas. Fixed installations offer possibilities for area detection. J71 0120 Mine warfare is being reoriented against submarine targets. J71 0130 A sixth element, not always considered, is intelligence. It includes J71 0140 operational intelligence of the enemy and knowledge of the environment. J71 0150 Operational intelligence presumably will be available from our J71 0160 national intelligence agencies; intelligence on the environment will J71 0170 come from the recently augmented program in oceanography. The major J71 0180 postwar development is the certainty that these elements should not be J71 0190 considered singly but in combination and as being mutually supporting. J71 0200 #NECESSITY FOR AN OVER-ALL CONCEPT# Thinking on submarine defense J71 0210 has not always been clear-cut. Proponents of single elements tend J71 0220 to ensure predominance of that element without determining if it is justified, J71 0230 and the element with the most enthusiastic and vociferous proponents J71 0240 has assumed the greatest importance. Consequently, air, surface, J71 0250 and submarine elements overshadow the mine, fixed installations, J71 0260 and intelligence. These have sought more and more of what they have. J71 0270 Each seems to strive for elimination of the necessity for the others. J71 0280 This, despite postwar experience demonstrating that all elements are J71 0290 necessarily mutually supporting. Thus, the most productive areas are J71 0300 not necessarily the most stressed. This is stated to emphasize the necessity J71 0310 for an over-all concept of submarine defense, one which would J71 0320 provide positions of relative importance to ~ASW elements based on J71 0330 projected potentialities. Then the enthusiasm and energy of all elements J71 0340 can be channeled to produce cumulative progress toward a common J71 0350 objective. An over-all concept would have other advantages. It would J71 0360 allow presentation to the public of a unified approach. Now the problem J71 0370 is presented piecemeal and sometimes contradictorily. While one J71 0375 element J71 0380 is announcing progress, another is delineating its problems. The J71 0390 result can only be confusion in the public mind. A unified concept J71 0400 can serve as a guide to budgeting and, if public support is gained, will J71 0410 command Congressional support. Industry's main criticism of the J71 0420 Navy's antisubmarine effort is that it cannot determine where any J71 0430 one company or industry can apply its skills and know-how. Lacking guidance, J71 0440 industry picks its own areas. The result, coupled with the salesmanship J71 0450 for which American industry is famous, is considerable expenditure J71 0460 of funds and efforts in marginal areas. An over-all concept J71 0470 will guide industry where available talents and facilities will yield J71 0480 greatest dividends. Therefore, a broad concept of over-all submarine J71 0490 defense is needed for co-ordination of the Navy's efforts, for a logical J71 0500 presentation to the public, for industry's guidance, and as a J71 0510 basis for a program to the Congress. #PRINCIPLES INVOLVED IN AN OVER-ALL J71 0520 CONCEPT# That which follows will be a discussion of principles J71 0530 and possible content for an over-all concept of antisubmarine warfare. J71 0540 Russia possesses the preponderance of submarines in the world, divided J71 0550 between her various fleets. Some are also in Albania and others J71 0560 are on loan to Egypt. Other countries which may willingly or unwillingly J71 0570 become Communist can furnish bases. Communist target areas can J71 0580 be assumed, but there is no certainty that such assumptions coincide J71 0590 with Soviet intentions. Attack can come from almost any direction against J71 0600 many locations. Logically, then, the first principle of the plan J71 0610 must be that it is not rigidly oriented toward any geographical area. J71 0620 It is often stated that the submarine can be destroyed while J71 0630 building, at bases, in transit, and on station. Destruction of the enemy's J71 0640 building and base complex, however, requires attacks on enemy J71 0650 territory, which is possible only in event of all-out hostilities. In J71 0660 transit or on station, it may not be possible to attack the submarines J71 0670 until commission of an overt act. The Communists are adept at utilizing J71 0680 hostilities short of general war and will do so whenever it is J71 0690 to their advantage. Therefore the second principle of the plan must be J71 0700 that, while providing for all-out hostilities, its effectiveness is J71 0710 not dependent on general war. Antisubmarine warfare does not involve J71 0720 clashes between large opposing forces, with the decision a result J71 0730 of a single battle. It is a war of attrition, of single actions, J71 0740 of an exchange of losses. This exchange must result in our ending up J71 0750 with some effective units. Initially, having fewer units of some elements- J71 0760 especially submarines- than the opponent, our capabilities need J71 0770 to be sufficiently greater than theirs, so that the exchange will J71 0780 be in our favor. Therefore, the third principle of the plan must be that J71 0790 it does not depend for effectiveness on engagement by the same types, J71 0800 unless at an assured favorable exchange rate. The submarine J71 0810 has increased its effectiveness by several orders of magnitude since J71 0820 World War /2,. Its speed has increased, it operates at increasingly J71 0830 greater depths, its submerged endurance is becoming unlimited, and J71 0840 it will become even more silent. The next developments will probably J71 0850 be in weaponry. The missile can gradually be expected to replace the J71 0860 torpedo. As detection ranges increase, weapons will be developed to J71 0870 attack other submarines and surface craft at these ranges. Therefore, J71 0880 the fourth principle of the plan must be that it provide for continuously J71 0890 increasing capabilities in the opponent. No element can accomplish J71 0900 the total objective of submarine defense. Some elements support J71 0910 the others, J71 0920 but all have limitations. Some limitations of one element J71 0930 can be compensated for by a capability of another. Elements used J71 0940 in combination will increase the over-all capability more than the sum J71 0950 of the capabilities of the individual elements. Therefore, the plan's J71 0960 fifth principle must be that it capitalize on the capabilities of J71 0970 all elements in combination. Conceivably the submarine defense J71 0980 problem can be solved by sufficient forces. Numbers would be astronomical J71 0990 and current fiscal policies make this an impractical solution. J71 1000 Shipbuilding, aircraft procurement, and weapon programs indicate that J71 1010 there will not be enough of anything. Therefore, any measures taken J71 1020 in peacetime which will decrease force requirements in war will contribute J71 1030 greatly to success when hostilities occur. Therefore, the sixth J71 1040 principle of the plan must be that it concentrate on current measures J71 1050 which will reduce future force requirements. The world is constantly J71 1060 changing; what was new yesterday is obsolescent today. The J71 1070 seventh principle of the plan is self-evident; it must be flexible enough J71 1080 to allow for technological breakthroughs, scientific progress, and J71 1090 changes in world conditions. #SUPPORTING ELEMENTS IN ~ASW OPERATIONS# J71 1100 To this point the need for an over-all plan for submarine defense J71 1110 has been demonstrated, the mission has been stated, broad principles J71 1120 delineating its content laid down, and the supporting elements listed. J71 1130 Before considering these elements in more detail, an additional J71 1140 requirement should be stated. Large area coverage will accomplish all J71 1150 other tasks. Therefore, because reduction in tasks results in reduction J71 1160 of forces required, the plan should provide for expanding area coverage. J71 1170 But it must be remembered that the plan should not be oriented J71 1180 geographically. Consequently, the system giving area coverage (if such J71 1190 coverage is less than world wide) must be flexible and hence at least J71 1200 partially mobile. Since effective area coverage appears fairly remote, J71 1210 the requirement can be borne in mind while considering the elements: J71 1220 air, surface, sub-surface, fixed installations, mines, and intelligence. J71 1230 These are arranged approximately in the order of the vociferousness J71 1240 of their proponents but will be discussed in the reverse order J71 1250 in the hope that the true order of importance will result. ## , J71 1260 as used herein, will include information on possible J71 1270 opponents and on the environment which can affect operations. These can J71 1280 be referred to as operational intelligence and environmental intelligence. J71 1290 In submarine defense these must have maximum stress. Good operational J71 1300 intelligence can ensure sound planning, greatly reduce force J71 1305 requirements, J71 1310 and increase tactical effectiveness. Environmental intelligence J71 1320 is just as important. The ocean presently co-operates with the J71 1330 target. Full knowledge of the science of oceanography can bring the J71 1340 environment to our side, resulting in an increase in effectiveness of J71 1350 equipment and tactics, a decrease in enemy capabilities, and the development J71 1360 of methods of capitalizing on the environment. Therefore, improved J71 1370 intelligence will result in reduced force requirements and, as J71 1380 it supports all other elements, rates a top priority. Gathering intelligence J71 1390 is important, but of equal importance is its translation into J71 1400 usable form. A program is needed to translate the results of oceanographic J71 1410 research into tactical and operating instructions. Approaching J71 1420 this problem on a statistical basis is invalid, because the opponent J71 1430 has the same sources available and will be encountered not under J71 1440 average conditions, but under the conditions most advantageous to him. J71 1450 Therefore, the on-the-scene commander must have detailed operating J71 1460 instructions based on measurement of conditions, in the area, at the time J71 1470 of encounter. All capabilities must be used to maximum advantage J71 1480 then. Temperature, wind, oxygen content, depth, bottom character, and J71 1490 animal life are the chief environmental variables. There may be others. J71 1500 Variations in sound velocity should be measured rather than temperature, J71 1510 because more of the variables would be encompassed. These variations J71 1520 must eventually be measured horizontally as well as vertically. J71 1530 Progress in predicting water conditions is encouraging, but little J71 1540 guidance is available to the man at sea on the use of such information. J71 1550 A concurrent effort is needed to make oceanographic data useful on J71 1560 the spot. ## has in the past been directed against J71 1570 surface targets. By its nature it has always been of great psychological J71 1580 advantage and small efforts have required considerably greater J71 1590 counter-efforts. Mines are being increasingly oriented against submarine J71 1600 targets. They are still considered to be for use in restricted waters, J71 1610 however, and targets must come within a few yards of them. Mines J71 1620 need to be recognized as a major element in anti-submarine warfare employment, J71 1630 extended to deep water, and have their effective area per unit J71 1640 increased. Mines can be used to deny access to great areas; they J71 1650 are difficult to counter, cost little to maintain until required, and J71 1660 can be put into place quickly. A most attractive feature is that detection J71 1670 and attack are combined in a single package. Effective employment J71 1680 will reduce force requirements. For example, effective mine J71 1690 barriers from Florida to Cuba and across the Yucatan Channel from J71 1700 Cuba to Mexico would remove all requirements for harbor defense, J71 1710 inshore patrol, convoy escort, shipping control, and mine defense for J71 1720 the entire Gulf of Mexico. More extended systems, covering all passage J71 1730 into the Caribbean, would free the Caribbean and the Gulf of Mexico J71 1740 from the previously listed requirements. Systems covering the Gulf J71 1750 of St& Lawrence and possibly the entire coasts of the United J71 1760 States are not impossible. Such mine defense systems could permit concentration J71 1770 of mobile forces in the open oceans with consequent increase J71 1780 in the probability of success. The advantages inherent in mine warfare J71 1790 justify as great an importance for this element as is accorded any J71 1800 of the other elements. ## are increasingly J71 1810 advocated as the problem of area defense emerges. The proponents J71 1820 are scientific and technical men who exercise considerable influence J71 1830 on their military counterparts. Systems which detect submarines over J71 1840 wide areas are attractive, although they can be only "burglar alarms". J71 1850 Mobile forces are required to localize and attack detected targets, J71 1860 since the systems are not capable of pinpointing a target. Such systems J71 1870 are expensive and are oriented geographically. In an over-all J71 1880 ~ASW concept, dependence on and effort expended for such systems J71 1890 should be limited to those with proven capabilities. No general installation J71 1900 should be made until a model installation has been proved and J71 1910 its maximum capability determined. In addition, proposals for fixed installations J71 1920 should be carefully weighed against a counterpart mobile J71 1930 system. For fixed installations will always lack the flexibility that J71 1940 should be inherent in naval systems. ## has become J71 1950 increasingly attractive as an antisubmarine weapon system. It operates J71 1960 in its target's environment, and any advantage gained therefrom J71 1970 by the target is shared by the attacker. But the submarine is a weapon J71 1980 of ambush and therefore always in danger of being ambushed. J72 0010 Two metabolites (/1, and /2,) of ~p-aminobenzoic acid (~PABA) J72 0020 which act as cofactors for the hydroxylation of aniline by acid-fast J72 0030 bacteria are biosynthesized from ~PABA. The 7 carbons of ~PABA J72 0040 are incorporated directly into metabolite /2, (as shown with J72 0050 both ring-labeled and carboxy-labeled **f). Thirty-five of the 36 J72 0060 carbon atoms arise from ~PABA. All 28 carbons of metabolite /1, J72 0070 (a product of mild acid hydrolysis of /2,) arise from ~PABA. J72 0080 Metabolite /1, isolated from the medium, however, showed a lower specific J72 0090 activity, which indicates endogenous synthesis of this metabolite. J72 0100 Vigorous acid hydrolysis of metabolite /1, destroyed the J72 0110 biological activity of the compound and liberated two aryl amines. J72 0120 Fragment ~A has been obtained in crystalline form as a dioxalate salt J72 0130 and free base. Preliminary evidence tentatively indicates that the J72 0140 molecule (metabolite /1,) is cleaved at a secondary amide bond. (N& J72 0150 H& Sloane; chemical studies are being pursued with the cooperation J72 0160 of K&G& Untch.) _STUDIES ON ESTERASES_- Research J72 0170 on esterases in mammalian sera was continued. One of the most interesting J72 0180 findings was the extreme sensitivity of plasma arylesterases to J72 0190 rare earth ions. The inhibition of the enzyme by very low concentrations J72 0200 of lanthanum ion is probably the strongest known biological effect J72 0210 of rare earth salts. Various metal ions have been found to protect plasma J72 0220 arylesterase against inactivation by urea and guanidine. The effects J72 0230 can be related to the structure of this -~SH enzyme. The non-identity J72 0240 of serum and red blood cell arylesterase was also established. J72 0250 Furthermore, the hydrolysis of paraoxon was studied in mammalian J72 0260 sera, and it was found that it is hydrolyzed by albumin (or a factor attached J72 0270 to it) in addition to arylesterase. Selective inhibitors can J72 0280 distinguish the two activities. Investigations on the acceleration of J72 0290 human plasma cholinesterase were carried further. (E& G& Erdo^s, J72 0300 L& E& Boggs, C& D& Mackey) _BIOPHYSICAL STUDIES ON J72 0310 MODIFIED FIBROUS PROTEINS_- Electron-microscopical and physical-chemical J72 0320 methods were used to demonstrate the renaturation of heat-denatured J72 0330 collagen and ribonucleic acid. (R& V& Rice) A method J72 0340 was devised for extracting and purifying soluble earthworm collagen J72 0350 (~EWC). It was observed that ~EWC macromolecules are the J72 0360 same diameter (15~A) but much longer (up to several microns) than J72 0370 vertebrate tropocollagen. This unusual collagen also was shown to undergo J72 0380 a reversible thermal phase transformation. (R& V& Rice, M& J72 0390 D& Maser) _STUDIES ON PEPTIDES AND PEPTIDASES_- This investigation J72 0400 involved several aspects. Substance ~Z, an active urinary J72 0410 peptide, was purified by extraction in organic solvents and repeated J72 0420 column chromatography; high-voltage electrophoresis and paper chromatography J72 0430 were used in preliminary structural studies; pharmacological J72 0440 effects on isolated surviving organs and J72 0460 on blood pressure were assayed; special equipment required for registering J72 0470 respiration and for recording the contraction of smooth muscles J72 0480 under various conditions was developed by the Instruments Section J72 0490 (Victor Jackman, W& C& Barnes, J& F& Reiss); and enzymes J72 0500 which terminate the action of peptides such as bradykinin and perhaps J72 0510 Substance ~Z were studied. Experiments are in progress to develop J72 0520 ultraviolet spectrophotometric techniques for assaying these enzymes J72 0530 and for studying their sensitivity to metal ions. (E& G& Erdo^s, J72 0540 C& D& Mackey, A& G& Renfrew, W& B& Severs, J72 0550 E& M& Sloane) _SEED PROTEINS_- In a physiochemical study J72 0560 of seed proteins, the globulins of the Brazil nut have been investigated. J72 0570 In addition to the known principal globulin, excelsin, three J72 0580 other ultracentrifugally distinct components have been observed. A J72 0590 water-soluble protein of quite low molecular weight (ca& 10,000) has J72 0600 also been found in this system and partly characterized. (E& F& J72 0610 Casassa, H& J& Notarius) #CONTINUUM MECHANICS AND VISCOELASTICITY# J72 0620 _THEORY OF NON-NEWTONIAN FLUIDS_- On the basis of J72 0630 a differentiability assumption in function space, it is possible to prove J72 0640 that, for materials having the property that the stress is given by J72 0650 a functional of the history of the deformation gradients, the classical J72 0660 theory of infinitesimal viscoelasticity is valid when the deformation J72 0670 has been infinitesimal for all times in the past. By strengthening J72 0680 the differentiability assumption, it has been possible to derive second J72 0690 and higher order theories of viscoelasticity. In the second-order J72 0700 theory, one of the normal stress differences can be calculated from the J72 0710 first-order stress relaxation function. (B& D& Coleman with J72 0720 Walter Noll, Department of Mathematics, Carnegie Institute of Technology) J72 0730 _VISCOELASTIC MEASUREMENTS_- An extensive series of J72 0740 measurements was made on a high-density polyethylene in a torsion pendulum J72 0750 instrument using forced sinusoidal oscillation, free vibration, and J72 0760 creep measurements over the temperature range of **f to 80`C&. J72 0770 As many as seven decades of the time scale were thus covered isothermally. J72 0780 The simple time-temperature equivalence valid for many amorphous J72 0790 systems did not hold here. It was possible, however, to decompose J72 0800 the compliance into a sum of a frequency-independent component and two J72 0810 viscoelastic mechanisms, each compatible with the Boltzmann superposition J72 0820 principle and with a consistent set of time-temperature equivalence J72 0830 factors. (Hershel Markovitz, D&J& Plazek, Haruo Nakayasu) J72 0840 #GEOCHEMISTRY# _TRACE ELEMENTS IN TEKTITES, METEORITES, AND RELATED J72 0850 MATERIALS_- The results of microanalysis of tektites (natural J72 0860 glasses of unknown origin) for gallium and germanium have shown that J72 0870 these glasses are probably produced from terrestrial (or less likely J72 0880 from lunar) matter by impact of a celestial body. The gallium/germanium J72 0890 ratio is higher than that for ordinary igneous, metamorphic, or sedimentary J72 0900 matter as a result of selective volatilization of the components J72 0910 of the tektite. Gallium oxide is less volatile than silica (the J72 0920 main constituent of tektites) and germanium oxide is more volatile. Australites J72 0930 (tektites from Australia) give the appearance of a second J72 0940 melting. In conformity with this conclusion a higher trace gallium J72 0950 content was found in the portion (flange) that has undergone a second J72 0960 melting. The silicate fractions of stony meteorites show gallium/germanium J72 0970 ratios similar to those of tektites because they too have undergone J72 0980 melting at some point in their histories. Libyan Desert silica-glass, J72 0990 another natural glass, is composed of nearly pure silica J72 1000 and has the same trace germanium content as sands in the area. The gallium J72 1010 content, however, has been enhanced five-fold. This glass is probably J72 1020 formed from Libyan Desert sands by comet or stony-meteorite J72 1030 impact. Nickel-iron meteorites with sufficient kinetic energy J72 1040 to produce large terrestrial-explosion craters may nevertheless melt only J72 1050 small quantities of material. Most of the impact energy is spent J72 1060 in crushing and fragmentation. When rapid quenching follows melting, J72 1070 may result. These always contain metallic inclusions. J72 1080 Impact glasses not containing elemental nickel-iron may have been J72 1090 produced by stony meteorites or comets. No meteorites have ever been J72 1100 recovered from paleoexplosion craters, and recent craters containing J72 1110 impact glass have all been produced by metallic meteorites with the exception J72 1120 of Aouelloul crater, Adrar, Western Sahara Desert. This J72 1130 crater contains impact glass with no metallic inclusions and no meteoritic J72 1140 material has been recovered. (A& J& Cohen, John Anania) J72 1150 #INORGANIC CHEMISTRY# Preparation of a coordination compound is often J72 1160 accomplished by the simple method of reacting a metal salt with a J72 1170 ligand in a suitable solvent such as an alcohol. By applying this general J72 1180 principle, a great number of complex compounds of osmium, ruthenium, J72 1190 iridium, and rhenium, with triphenylphosphine, triphenylarsine, J72 1195 and triphenylstibine J72 1200 have been obtained in this laboratory during the past few J72 1210 years. (Lauri Vaska, E& M& Sloane, J& W& DiLuzio) J72 1220 In the absence of direct evidence to the contrary, decomposition of J72 1230 solvent alcohol coordination of its fragments to the metal were J72 1240 not considered, following the above heretofore-accepted assumption in J72 1250 preparative coordination chemistry. Recent work with radiocarbon and J72 1260 deuterated alcohols as solvents, however, has given evidence that metal-hydrido J72 1270 and -carbonyl complexes may be readily formed by reaction J72 1280 with alcohol in some of these systems. Some of the previously reported J72 1290 compounds have thus been reformulated and a series of new hydrido and J72 1300 carbonyl compounds discovered, the more representative examples being J72 1310 **f, **f, **f, **f and **f (**f). The coordination complexes J72 1320 formed by transition metals with primary and secondary phosphines and J72 1330 arsines are being investigated (R& G& Hayter). Particular interest J72 1340 is directed towards the condensation of these ligands with metal J72 1350 halides to form substituted phosphide or arside complexes. During the J72 1360 past year, these ligands have yielded some unusual five-coordinate complexes J72 1370 of nickel (/2,) and some interesting binuclear phosphorus-bridged J72 1380 complexes of palladium (/2,) (see figure), as well as new compounds J72 1390 of the well-known type **f. The structures, properties, and reactions J72 1400 of these compounds are being studied. In another study J72 1410 chromium-substituted aluminum oxyhydroxides and related species, prepared J72 1420 homogeneously by high-temperature hydrolysis, are being characterized J72 1430 and investigated spectrally in the ultraviolet region with a view J72 1440 to identification and semiquantitative estimation of the phases formed J72 1450 under varying preparative conditions. (J& A& Laswick, N& L& J72 1460 Heatwole) #STRUCTURE AND PROPERTIES OF MACROMOLECULES# _ELASTICITY J72 1470 OF MACROMOLECULAR NETWORKS_- The theory of elasticity of J72 1480 Gaussian networks has been developed on a more general basis and the J72 1490 equations of state relating variables of pressure, volume, temperature, J72 1500 stress and strain have been precisely formulated. Simple elongation J72 1510 has been treated in detail. The various stress-temperature coefficients J72 1520 for constancy of volume and strain, constancy of pressure and strain, J72 1530 and constancy of pressure and length have been interrelated. The J72 1540 dilation accompanying elongation and the simultaneously developed anisotropy J72 1550 of compressibility have been related to the elongation. In continuation J72 1560 of these theoretical studies, a more precise elucidation of J72 1570 the effects of imperfections in network structure is sought. (P& J& J72 1580 Flory, C& A& J& Hoeve) _CHAIN CONFORMATIONS OF POLYMERIC J72 1590 CHAINS_- Recent theoretical work to calculate the dimensions J72 1600 of polymeric chains by Volkenstein and Lifson has been extended to include J72 1610 more general types of chains. The mean-square end-to-end distance J72 1620 of the polyisobutylene chain has been calculated in reasonable agreement J72 1630 with values deduced from viscosity data. These studies are being J72 1640 extended to different polymers to increase our knowledge about the J72 1650 hindrances to rotation around chain bonds. (C& A& J& Hoeve, J72 1660 A& A& Blumberg) _CRYSTALLIZATION IN POLYMERS AND COPOLYMERS_- J72 1670 The crystallization of copolymers comprising **f units interspersed J72 1680 with a minor percentage of **f is limited by the inability of the J72 1690 crystal lattice characteristic of the former to accommodate the bulky J72 1700 side group of the latter. Only uninterrupted sequences of the former J72 1710 are eligible for formation of crystallites. Limitations on the lengths J72 1720 of these sequences diminish the stability of the comparatively short J72 1730 crystallites which can be formed, and this is reflected in a broadening J72 1740 of the melting range. (Robert Chiang, J& B& Jackson, P& J72 1750 J& Flory) Carefully executed melting studies on this system (M& J72 1760 J& Richardson) permit quantitative estimation of the instability J72 1770 engendered by reduced crystallite length. The complex morphology of J72 1780 polycrystalline homopolymers is necessarily dependent on the same factor. J72 1790 Hence, the present studies offer a possible basis for interpretations J72 1800 in the latter field. _CONTRACTION OF MUSCLE_- Glycerinated J72 1810 muscle, in the presence of the physiological agent. (~ATP) responsible J72 1820 for delivering energy to the mechanochemically active proteins J72 1830 of muscle, has been shown to undergo a contraction which is highly sensitive J72 1840 both to temperature and to solvent composition in mixtures of J72 1850 alcohols and water. Experiments carried out over long periods of time J72 1860 in order to allow establishment of a steady state have shown that the J72 1870 onset of contraction and its completion are confined to an interval of J72 1880 several degrees Centigrade and to a concentration range of only several J72 1890 per cent. The contraction therefore partakes of the character of J72 1900 a phase transition. While ~ATP appears to be necessary for the J72 1910 occurrence of contraction, its presence and enzymatic hydrolysis of it J72 1920 by the muscle protein myosin are not the only criteria for contraction. J72 1930 (C& A& J& Hoeve, P& J& Flory) _ANIONIC POLYMERIZATION_- J72 1940 One of the principal aims of anionic polymerization techniques J72 1950 is the synthesis of polymers of extremely narrow molecular weight J72 1960 distribution. A simple process for the preparation of nearly monodisperse J72 1970 polystyrene of predictable molecular weight has been developed. J72 1980 The preparation of such products is not new, but the systems heretofore J72 1990 employed in polymerizations have commanded considerable experimental J72 2000 skill and starting materials of a high purity. In the new process J72 2010 impurities present in the solvent (benzene), the monomer, and in the J72 2020 reaction system which would cause deactivation of propagation centers, J72 2030 are rendered inactive prior to polymerization by gradual addition of J72 2040 initiator, a mixture of butyl-lithium and telomeric styryl-lithium, at J72 2050 a temperature low enough to suppress chain growth. Upon completion J72 2060 of the purging step, additional initiator appropriate for the molecular J72 2070 weight of the sample desired is added, and the system is then warmed J72 2080 to the polymerization temperature, at which the reaction is allowed J72 2090 to go to completion. The predictability of the molecular weights was J72 2100 found to be within 10% for the polymers prepared, with **f ratios less J72 2110 than 1.1. Contrary to observations with ethers, no apparent J72 2120 change of the reactivity of the chain ends takes place over considerable J72 2130 periods of time in benzene as solvent. J73 0010 _ORGANIZATION:_ In this publication measurements of interfacial J73 0020 angles of crystals are used to classify and identify chemical substances. J73 0030 T& V& Barker, who developed the classification-angle system, J73 0040 was about to begin the systematic compilation of the index when he J73 0050 died in 1931. The compilation work was undertaken by a number of interested J73 0060 crystallographers in the Department of Mineralogy of the University J73 0070 Museum at Oxford. Since 1948 the working headquarters has J73 0080 been the J73 0090 Department of Geology and Mineralogy. Numerous cooperating individuals J73 0100 in Great Britain, Holland, the United States, and Belgium J73 0110 have contributed editorially or by making calculations. Great interest J73 0120 and practical help have been given by the Barker Index Committee. J73 0130 Financial and material help have come from academic, governmental, and J73 0140 industrial organizations in England and Holland. Editors for Volumes J73 0150 /1, and /2, were M& W& Porter and the late R& C& J73 0160 Spiller, both of Oxford University. A third volume remains to be J73 0170 published. _SUBSTANCES:_ Volume /1, deals with 2991 compounds J73 0180 belonging to the tetragonal, hexagonal and trigonal, and orthorhombic J73 0190 systems; and Volume /2,, with about 3500 monoclinic substances. J73 0200 Volume /3,, in preparation, will treat the anorthic compounds described J73 0210 in Groth's CHEMISCHE KRYSTALLOGRAPHIE. _PROPERTIES:_ J73 0220 The Barker system is based on the use of the smallest number of J73 0230 interfacial angles necessary for indexing purposes. Other morphological, J73 0240 physical, and optical property values are also given. _SOURCES J73 0250 OF DATA:_ The index is essentially a new treatment of previously J73 0260 compiled morphological data. Most of the data used are from Groth's J73 0270 CHEMISCHE KRYSTALLOGRAPHIE. _CRITICALITY:_ Every calculation J73 0280 has been made independently by two workers and checked by one of J73 0290 the editors. _USE OF NOMENCLATURE, SYMBOLS, UNITS, PHYSICAL CONSTANTS:_ J73 0300 Accepted crystallographic symbolism has been used; other J73 0310 symbols related to the index necessarily have been introduced. _CURRENCY:_ J73 0320 This publication covers the old literature (Groth); there J73 0330 is no mechanism for keeping the volumes up to date. _FORMAT:_ J73 0340 The publication form is that of clothbound books. The data are presented J73 0350 in lists and tables. Part 1 in both volumes is labeled "Introduction J73 0360 and Tables". The tables include those for the classification J73 0370 angles, refractive indices, and melting points of the various types J73 0380 of crystals. Part 2 of Volume /1, and Parts 2 and 3 of Volume J73 0390 /2, contain the crystal descriptions. These are grouped into sections J73 0400 according to the crystal system, and within each section compounds J73 0410 are arranged in the same order as in Groth's CHEMISCHE KRYSTALLOGRAPHIE. J73 0420 An alphabetical list of chemical and mineralogical names J73 0430 with reference numbers enables one to find a particular crystal description. J73 0440 References to the data sources are given in the crystal descriptions. J73 0450 _PUBLICATION AND DISTRIBUTION:_ The BARKER INDEX J73 0460 is published for the Barker Index Committee by W& Heffer + Sons, J73 0470 Ltd&, 3-4 Petty Cury, Cambridge, England. Volume /1, containing J73 0480 Parts 1 and 2 was published in 1951; Volume /2,, in three J73 0490 parts, in 1956. The two volumes are available from the publisher J73 0500 for $16.80 and $28.00, respectively. #/2,-2. CRYSTAL DATA# _ORGANIZATION:_ J73 0510 The present edition of CRYSTAL DATA was written J73 0520 by J&D&H& Donnay, the Johns Hopkins University, Baltimore, J73 0530 Md& (Part /2,) and Werner Nowacki, University of Berne, J73 0540 Switzerland (Part /1,) with the collaboration of Gabrielle Donnay, J73 0550 U& S& Geological Survey, Washington, D& C&. Many collaborators J73 0560 in the United States and Switzerland helped in collecting J73 0570 and assembling data, in making calculations, and in editing. Support J73 0580 came from academic and industrial groups in these two countries. The J73 0590 Geological Society of America gave a grant-in-aid to complete the J73 0600 work and bore the expenses of publication. Preparation of a second J73 0610 edition is in progress under the sponsorship of the Crystal Data Committee J73 0620 of the American Crystallographic Association. Coeditors are J73 0630 J&D&H& Donnay, G& E& Cox of Leeds University, and J73 0640 Olga Kennard of the National Council for Medical Research, London. J73 0650 Financial grants have been received from the National Science J73 0660 Foundation and the (British) Institute of Physics for the compilation J73 0670 work and the publication costs. The continuity of the project is J73 0680 suggested by plans for an eventual third edition. _SUBSTANCES:_ J73 0690 Elements, alloys, inorganic and organic compounds. (Metal data will J73 0700 not be included in the second edition, since these have been collected J73 0710 independently by W& B& Pearson, National Research Council, J73 0720 Ottawa, and published as A HANDBOOK OF LATTICE SPACINGS AND STRUCTURES J73 0730 OF METALS AND ALLOYS by Pergamon Press.) _PROPERTIES:_ J73 0740 Crystallographic data resulting mainly from ~X-ray and electron J73 0750 diffraction measurements are presented. Cell dimensions, number of formula J73 0760 units per cell, space group, and specific gravity are given for J73 0770 all substances. For some substances, auxiliary properties such as the J73 0780 melting point are given. _SOURCES OF DATA:_ Part /1, of the J73 0790 present edition covers the literature to mid-1948; Part /2,, up J73 0800 to the end of 1951. Much of the material comes directly from secondary J73 0810 sources such as STRUKTURBERICHT. _CRITICALITY:_ The vast J73 0820 number of compounds to be covered, the limited resources to do the job, J73 0830 and the immediate need for this type of compilation precluded a thorough J73 0840 evaluation of all available data in the present edition. Future J73 0850 editions may be more critical. _USE OF NOMENCLATURE, SYMBOLS, UNITS, J73 0860 PHYSICAL CONSTANTS:_ Since Parts /1, and /2, were prepared J73 0870 independently, the abbreviation schemes and the chemical symbols used J73 0880 differ in the two parts. The second edition should have greater uniformity. J73 0890 _CURRENCY:_ A second edition is in preparation, and there J73 0900 are long range plans for a third. _FORMAT:_ Data in the present J73 0910 edition are presented in tables and lists. Part /1, deals with J73 0920 the classification of crystalline substances by space groups and is J73 0930 not a numerical data compilation. The compounds are divided according J73 0940 to composition into seven categories. Part /2, contains determinative J73 0950 tables for the identification of crystalline substances. These are J73 0960 arranged according to crystal system. There are formula and name indexes J73 0970 covering both parts. References for Part /1, are given at the J73 0980 end and for Part /2, in the tables. _PUBLICATION AND DISTRIBUTION:_ J73 0990 The present edition of CRYSTAL DATA (**f), published in J73 1000 1954 as Memoir 60 of the Geological Society of America, is now out J73 1010 of print. The manuscript of the second edition will probably be ready J73 1020 by the end of 1960. #/2,-3. CRYSTAL STRUCTURES# _ORGANIZATION:_ J73 1030 The author of CRYSTAL STRUCTURES is Ralph W&G& J73 1040 Wyckoff, University of Arizona, Tucson, Arizona. The first section J73 1050 of this publication appeared in 1948 and the last supplement in 1960. J73 1060 Though now complete, the publication is included in this directory J73 1070 because of its importance and because of the long-term nature of its J73 1080 preparation. _SUBSTANCES:_ Elements, inorganic and organic compounds J73 1090 (no alloys). _PROPERTIES:_ The data presented are derived J73 1100 almost entirely from ~X-ray diffraction measurements and include J73 1110 atomic coordinates, cell dimensions, and atomic and ionic radii. _SOURCES J73 1120 OF DATA:_ Published literature. _CRITICALITY:_ The J73 1130 aim was to state the results of available determinations of atomic J73 1140 positions in crystals. Presumably the tabulated data are best available J73 1150 values. The critical comments in the textual sections of this J73 1160 publication are invaluable. _USE OF NOMENCLATURE, SYMBOLS, UNITS, J73 1170 PHYSICAL CONSTANTS:_ The terminology used conforms to that of INTERNATIONALE J73 1180 TABELLEN ZUR BESTIMMUNG VON KRISTALLSTRUKTUREN. _CURRENCY:_ J73 1190 During the years of publication, supplement and replacement J73 1200 sheets were issued periodically. Coverage of the literature extends J73 1210 through 1954 and includes some 1955 references. It is to be hoped J73 1220 that some way will be found to keep this important work current. _FORMAT:_ J73 1230 The publication form is that of loose-leaf sheets (**f) J73 1240 contained in binders. The book is divided into chapters and in each chapter J73 1250 the material is grouped into Text, Tables, Illustrations, and J73 1260 Bibliography. Each group is paginated separately; numbers sometimes J73 1270 followed by letters are used so that insertions can be made. Inorganic J73 1280 structures are found in Chapters /2,-/12,, organic structures J73 1290 in Chapters /13,-/15,. Within each chapter an effort has been J73 1300 made to group together those crystals with similar structures. There J73 1310 are three indexes, i&e&, an inorganic formula index, a mineralogical J73 1320 name index, and a name index to organic compounds. _PUBLICATION J73 1330 AND DISTRIBUTION:_ Publisher of CRYSTAL STRUCTURES is Interscience J73 1340 Publishers, 250 Fifth Avenue, New York 1, N& Y&. The J73 1350 work consists of four sections and 5 supplements. Price of the complete J73 1360 work including all necessary binders is $148.50. #/2,-4. DANA'S J73 1370 SYSTEM OF MINERALOGY# _ORGANIZATION:_ Six editions of J73 1380 James Dwight Dana's SYSTEM appeared between 1837 and 1892. J73 1390 In 1915 Edward S& Dana, editor of the sixth edition, asked W& J73 1400 E& Ford of Yale University to prepare a seventh edition of his J73 1410 father's work. A number of people became involved in the preparation J73 1420 but work was slow until 1937. In that year a grant was obtained from J73 1430 the Penrose Fund of the Geological Society of America to finance J73 1440 additional full-time workers. Money was also advanced by the publishers, J73 1450 John Wiley + Sons, Inc&. Volume /1, was completed in 1941 J73 1460 and published in 1944. The editors of this volume and Volume /2, J73 1470 were the late Charles Palache, Clifford Frondel, and the late Harry J73 1480 Berman, all of Harvard University. Work on Volume /2, was J73 1490 begun in 1941, interrupted by the war in 1942, and resumed in 1945. The J73 1500 volume was completed in 1950 and published in 1951. A supplementary J73 1510 grant from the Geological Society of America helped finance its J73 1520 publication. Besides the editors there were many contributors in the J73 1530 United States and Great Britain to Volumes /1, and /2,. W& J73 1540 E& Ford, for example, continued to supply data on the occurrence J73 1550 of minerals until his death in 1939. Volume /3, is nearing completion J73 1560 and there are plans to revise Volume /1,. The project is currently J73 1570 supported by Harvard University. _SUBSTANCES:_ Minerals. J73 1580 _PROPERTIES:_ Crystallographic, physical, optical, and chemical J73 1590 properties. The crystallographic data given include interaxial angles J73 1600 and unit cell dimensions; the physical property values include hardness, J73 1610 melting point, and specific gravity. _SOURCES OF DATA:_ Almost J73 1620 entirely original articles in journals; abstracts and other compilations J73 1630 on rare occasions when original papers are not available. J73 1640 _CRITICALITY:_ All information is carefully appraised and uncertain J73 1650 facts are designated by (?). An authentic diffraction pattern J73 1660 is always obtained and optical properties are frequently checked. _USE J73 1670 OF NOMENCLATURE, SYMBOLS, UNITS, PHYSICAL CONSTANTS:_ Recommendations J73 1680 of international authorities, such as the International Union J73 1690 of Crystallography, are followed. There is a complete synonymy at J73 1700 the beginning of each species description. _CURRENCY:_ Currency J73 1710 in the usual sense cannot be maintained in an undertaking of this sort. J73 1720 _FORMAT:_ The data are presented in text and tables in bound J73 1730 volumes. Volume /1, of the seventh edition contains an introduction J73 1740 and data for eight classes of minerals; Volume /2, contains data J73 1750 for forty-two classes. References are given at the end of each mineral J73 1760 description and a general index is given at the end of each volume. J73 1770 There will be a comprehensive index in Volume /3, covering all J73 1780 three volumes. _PUBLICATION AND DISTRIBUTION:_ Volume /1, (**f) J73 1790 of the seventh edition of DANA'S SYSTEM OF MINERALOGY was published J73 1800 in 1944 and Volume /2, (**f) in 1951 by John Wiley + Sons, J73 1810 Inc&, New York, N& Y&. (The association of Wiley + Sons J73 1820 with the Dana Mineralogies dates back to 1844 when they published J73 1830 the second edition of the SYSTEM.) The two volumes are available J73 1840 from the publisher for $14.00 and $16.00, respectively. #/2,-5. J73 1850 THE GROTH INSTITUTE# _ORGANIZATION:_ "The Groth Institute", J73 1860 which was established in 1958, is a group activity affiliated J73 1870 with the Physics Department of The Pennsylvania State University, J73 1880 University Park, Pa&. Ray Pepinsky is the Director. The Institute J73 1890 derives its name from Paul von Groth's CHEMISCHE KRYSTALLOGRAPHIE, J73 1900 a five-volume work which appeared between 1906 and 1919. J73 1910 The resident staff is large and consists of professional assistants, J73 1920 graduate students, abstractors, librarian, technical editor, machine J73 1930 operators, secretarial help, and others. There are also corresponding J73 1940 members and outside advisory groups. The Air Force Office of Scientific J73 1950 Research has provided financial assistance in the early stages J73 1960 of the Institute's program. _SUBSTANCES:_ All crystalline J73 1970 substances and other solid-state materials. _PROPERTIES:_ The J73 1980 aim is to collect a very broad range of physical, chemical, morphological, J73 1990 and structural data for crystals on an encyclopedic scale and to J73 2000 seek all possible useful and revealing correlations of properties with J73 2010 internal structure. _SOURCES OF DATA:_ The first stage of operation J73 2020 has centered on the literature imaging of critical or summarizing J73 2030 tabulations such as the Barker Index. Coverage of primary literature J73 2040 will follow. Unpublished data will be available to the Groth institute J73 2050 from cooperating groups and individuals. _CRITICALITY:_ J73 2060 Critical evaluation of all data compiled is not a primary aim of this J73 2070 project. However, the proposed correlation of the many interrelated J73 2080 properties of crystals will reveal discrepancies in the recorded data J73 2090 and suggest areas for reinvestigation. In addition, the availability J73 2100 of computers will permit recalculation and refinement of much structural J73 2110 information. _USE OF NOMENCLATURE, SYMBOLS, UNITS, PHYSICAL J73 2120 CONSTANTS:_ For punched-card or tape storage of information all J73 2130 literature values must be conformed to a common language. In this J73 2140 way a degree of unification of nomenclature, symbols, and units will be J73 2150 realized. J74 0010 BECAUSE INDIVIDUAL CLASSES OF foods differ in their requirements J74 0020 for preservation, a number of methods have been developed over the years J74 0030 involving one or a combination of procedures such as dehydration, J74 0040 fermentation, salting, chemical treatment, canning, refrigeration, and J74 0050 freezing. The basic objectives in each instance are to make available J74 0060 supplies of food during the intervals between harvesting or slaughter, J74 0070 to minimize losses resulting from the action of microorganisms and J74 0080 insects, and to make it possible to transport foods from the area of J74 0090 harvest or production to areas of consumption. In earlier years, J74 0100 the preservation of food was essentially related to survival. In J74 0110 the more sophisticated atmosphere of today's developed nations, food-preservation J74 0120 techniques have sought also to bring variety, peak freshness, J74 0130 and optimum taste and flavor in foods at reasonable cost to the J74 0140 comsumer. With the development of nuclear technology, isotopic J74 0150 materials, and machine radiation sources in recent years, the possibilities J74 0160 of applying ionizing radiation to the preservation of foods attracted J74 0170 the attention of investigators in the United States and throughout J74 0180 the world. An early hope that irradiation might be the ultimate J74 0190 answer to practically all food preservation problems was soon dispelled. J74 0200 Interest remained, however, in the possibility that it would serve J74 0210 as a useful supplementary method for counteracting spoilage losses J74 0220 and for preserving some foods at lower over-all costs than freezing, or J74 0230 without employing heat or chemicals with their attendant taste alterations. J74 0240 #FACTORS RESPONSIBLE FOR THE SPOILAGE OF FOODS# The chief J74 0250 factors responsible for the spoilage of fresh foodstuffs are (1) microorganisms J74 0260 such as bacteria, molds, and yeasts, (2) enzymes, (3) insects, J74 0270 (4) sprouting, and (5) chemical reactions. Microorganisms are often J74 0280 responsible for the rapid spoilage of foods. Of special concern is J74 0290 the growth of bacteria such as which generate J74 0300 poisonous products. Enzymatic action in stored food produces changes J74 0310 which can adversely affect the appearance of food or its palatability. J74 0320 Spoilage by chemical action results from the reaction of one group J74 0330 of components in the food with others or with its environment, as in J74 0340 corrosion of the walls of metal containers or the reaction of fats with J74 0350 oxygen in the air to produce rancidity. Sprouting is a naturally J74 0360 occurring phenomenon in stored potatoes, onions, carrots, beets, J74 0370 and similar root vegetables. Insect infestation is a problem of importance J74 0380 chiefly in stored grain. The presence of parasitic organisms J74 0390 such as in pork introduces another factor which J74 0400 must be dealt with in food processing. To permit the storage J74 0410 of food for long periods of time, a method of preservation must accomplish J74 0420 the destruction of microorganisms and inhibition of enzymatic J74 0430 action. The term "sterilization" applies to methods involving essentially J74 0440 complete destruction of all microorganisms. Food treated in J74 0450 this manner and protected from recontamination by aseptic methods of packaging J74 0460 and containment presumably could be stored for long periods without J74 0470 refrigeration. The process of "pasteurization" involves milder J74 0480 and less prolonged heat treatment which accomplishes the destruction J74 0490 of most, but not all, of the microorganisms. Less severe thermal J74 0500 treatment as by blanching or scalding serves to inactivate enzymes. #GENERAL J74 0510 EFFECTS OF IONIZING RADIATION# Ionizing radiation can cause J74 0520 the destruction of microorganisms and insects involved in food spoilage J74 0530 or, at lower doses, can inhibit their action. It furnishes a means J74 0540 of destroying insects in stored grain products as well as certain parasitic J74 0550 organisms present in meats. Deactivation of enzymes is also J74 0560 possible, although some types require extremely heavy doses of 10 ~Mrad J74 0570 or more. Because of undesirable flavors, odors, colors, and generally J74 0580 low palatability associated with radiation treatment of this magnitude, J74 0590 the inactivation of enzymes is best accomplished prior to irradiation J74 0600 by the conventional heat-processing methods of blanching. J74 0610 Radiation does not retard the chemical spoilage of food. It will, J74 0620 however, inhibit the sprouting of potatoes and other root vegetables. J74 0630 The radiation doses required for the preservation of foods J74 0640 are in the following ranges: _1._ For radiosterilization, to destroy J74 0650 all organisms for long-term preservation- about 4.5 ~Mrad for J74 0660 nonacid foods of low salt content. _2._ For radiopasteurization, J74 0670 to partially destroy microorganisms; results vary with types of food, J74 0680 storage conditions, and objectives of treatment- commonly of the J74 0690 order of 0.2 ~Mrads but up to about 0.8 ~Mrads. _3._ For J74 0700 destruction of insects- about 25,000 ~rads. _4._ For inhibiting J74 0710 the sprouting of root vegetables- 4,000 to 10,000 ~rads. J74 0720 Preserving foods with ionizing radiation leads to some undesirable side J74 0730 effects, particularly at the higher radiation dosages. In this respect, J74 0740 the general palatability and individual acceptance of most radiosterilized J74 0750 foods has, to date, been found to be low in comparison with J74 0760 fresh and commercially processed foods. A number of foods are quite J74 0770 acceptable as regards taste and palatability, however, at dosages substantially J74 0780 less than sterilization levels. Moreover, the nutritive value J74 0790 of irradiated foods apparently undergoes little, if any, change, although J74 0800 some of the fat-soluble vitamins are affected by sterilization J74 0810 doses. #RADIATION SOURCES# For irradiation of food, the results J74 0820 obtained depend upon the dose rather than the specific type of radiation, J74 0830 and X-ray, gamma, and high-energy electron radiation are suitable. J74 0840 Aside from availability and economic considerations, each has certain J74 0850 practical advantages; for example, gamma rays give deeper penetration J74 0860 but cannot be focused or collimated, whereas unidirectional electron J74 0870 beams may be split and directed to both the top and bottom of the J74 0880 food package to be irradiated. Selection of a source for commercial irradiation J74 0890 would involve consideration of numerous factors including required J74 0900 dose rate, load factor, throughput, convenience, safety, and most J74 0910 important, costs. Of the potentially useful sources of ionizing J74 0920 radiations, gamma sources, cobalt-60, cesium-137, fission products, J74 0930 or a reactor irradiation loop system using a material such as an indium J74 0940 salt have received most attention for food-preservation systems. J74 0950 Of the various particle accelerators, the Van de Graff machines, resonant J74 0960 transformers, and linear accelerators are the principal ones available J74 0970 for commercial use. Costs of the effective energy produced J74 0980 by these sources is a major obstacle in the development of food-preservation J74 0990 processes. Estimated production costs of radiation energy J74 1000 from machine and nuclide sources range from $1 to $10 per ~kwhr. Conventional J74 1010 energy for processing foods is available in the range of J74 1020 at most a few cents per ~kwhr for electric power and the equivalent J74 1030 of a few mills per ~kwhr for process steam. Radiation, therefore, is J74 1040 at an initial cost disadvantage even though only 1 to 10 per cent as J74 1050 much radiation energy as heat energy is required for radiopasteurization J74 1060 or radiosterilization. What are the possibilities of lowered radiation J74 1070 production costs for the future? It has been estimated that for J74 1080 applications on a megawatt scale costs might reach values in the neighborhood J74 1090 of 10 cents per ~kwhr for large-scale accelerators or for J74 1100 gamma radiation generated in a reactor core. No comparable reductions J74 1110 in the cost of nuclide radiation are foreseen. Such projections, however, J74 1115 appear highly J74 1120 speculative and the capacities involved are far beyond J74 1130 those foreseen for food-preservation facilities. Because agricultural J74 1140 activities are seasonal and the areas of production and harvest J74 1150 of many foods are widely scattered geographically, and because of J74 1160 the high cost of transporting bulk food items any substantial distance J74 1170 to a central processing location, the use of large central processing J74 1180 stations, where low-cost radiation facilities approaching the megawatt J74 1190 range might be utilized, is inherently impracticable. #PRESENT STATUS J74 1200 OF IRRADIATION PRESERVATION OF FOODS# The objective of complete J74 1210 sterilization of foods is to produce a wholesome and palatable product J74 1220 capable of being stored without refrigeration for extended periods J74 1230 of time. Chief interest in radiosterilization resides in the military J74 1240 services. For them, providing appetizing food under battle or emergency J74 1250 conditions is a paramount consideration. They require completely J74 1260 sterile foods capable of being stored without refrigeration, preferably J74 1270 items already cooked and ready to eat. High nutritional value, variety, J74 1280 palatability, and appetizing appearance are important for reasons J74 1290 of morale. Foods for rear stations, which require cooking, but no refrigeration, J74 1300 are also of interest. Of primary interest are meats. J74 1310 Radiopasteurization, which produces fewer adverse sensory changes J74 1320 in food products, has potential usefulness in prolonging the keeping J74 1330 qualities of fresh and refrigerated food items. Thus, food so processed J74 1340 might reach more remote markets and permit the consumer to enjoy more J74 1350 produce at peak freshness and palatability. Commercial interest is chiefly J74 1360 in this type of treatment, as is military interest under peacetime J74 1370 conditions. The present status of food preservation by ionizing J74 1380 radiation is discussed by food classes in the following paragraphs. J74 1390 _MEATS_ The radiation processing of meat has received extensive J74 1400 investigation. To date, the one meat showing favorable results at J74 1410 sterilization doses is pork. Of particular interest to the military J74 1420 services is the demonstration that roast pork, after radiosterilization, J74 1430 is superior in palatability to available canned pork products. Tests J74 1440 with beef have been largely unsuccessful because of the development J74 1450 of off-flavors. A prime objective of the Army Quartermaster Corps J74 1460 program is to find the reasons for beef's low palatability and means J74 1470 of overcoming it, since it is a major and desirable dietary item. Partly J74 1480 because low-level heat treatment is needed to inactivate enzymes J74 1490 before radiosterilization, treated fresh meats have the appearance of J74 1500 boiled or canned meat. Off-flavor is a less severe problem with J74 1510 the radiopasteurization of meats, but problems of commercial acceptability J74 1520 remain. Moderate radiation doses of from 100,000 to 200,000 ~rads J74 1530 can extend the shelf life (at 35 ~F) of fresh beef from 5 days J74 1540 to 5 or 6 weeks. However, the problem of consumer acceptability remains. J74 1550 The preradiation blanching process discolors the treated beef J74 1560 and liquid accumulates in prepackaged cuts. Cooked beef irradiated in J74 1570 the absence of oxygen assumes an unnatural pink color. When lamb J74 1580 and mutton are irradiated at substerilization doses, the meat becomes J74 1590 dehydrated, the fat become chalky, and, again, unnatural changes in J74 1600 color occur. Ground meats such as fresh pork sausage and hamburger J74 1610 have a relatively short shelf life under refrigeration, and radiopasteurization J74 1620 might be thought to offer distinctly improved keeping J74 1630 qualities. However, a major problem here is one of scale of processing; J74 1640 ground meats are usually prepared from scrap meats at the local J74 1650 level, whereas irradiation at economic volumes of production would require J74 1660 central processing and distribution facilities. The problems of J74 1670 color change by blanching and liquid accumulation within the package are J74 1680 the same as for solid cuts. Specialty cooked items containing J74 1690 meat portions, as in "frozen dinners" might offer a potential use J74 1700 for radiopasteurization. The principal potential advantage would be J74 1710 that the finished product could be transported and stored at lower cost J74 1720 under refrigeration instead of being frozen. A refrigerated item J74 1730 could also be heated and served in less time than is required for frozen J74 1740 foods of the same type. Competitive processes for preserving J74 1750 meats are by canning and freezing. Costs of canning meat are in the J74 1760 range of 0.8 to 5 cents per pound; costs of freezing are in the area J74 1770 of 2 to 3.5 cents per pound. The table on page 10 shows costs of canning J74 1780 and freezing meat, and estimated costs for irradiation under certain J74 1790 assumed conditions. Under the conditions of comparison, it will J74 1800 be noted that: _(1)_ Radiosterilization (at 3 ~Mrad) is more J74 1810 expensive than canning, particularly for the cesium-137 source. _(2)_ J74 1820 Radiopasteurization by either the electron accelerator or cesium-137 J74 1830 source is in the range of freezing costs. _(3)_ Irradiation J74 1840 using the nuclide source is more expensive than use of an electron accelerator. J74 1850 _POULTRY_ Results of irradiation tests with poultry have J74 1860 been quite successful. At sterilizing doses, good palatability results, J74 1870 with a minimum of changes in appearance, taste, and odor. Radiopasteurization J74 1880 has also been successful, and the shelf life of chicken J74 1890 can be extended to a month or more under refrigerated storage as compared J74 1900 with about 10 days for the untreated product. Acceptable taste and J74 1910 odor are retained by the irradiated and refrigerated chicken. Acceptance J74 1920 of radiopasteurization is likely to be delayed, however, for two J74 1930 reasons: (1) the storage life of fresh chicken under refrigeration J74 1940 is becoming a minimal problem because of constantly improved sanitation J74 1950 and distributing practices, and (2) treatment by antibiotics, a measure J74 1960 already approved by the Federal Food and Drug Administration, J74 1970 serves to extend the storage life of chicken at a low cost of about 0.5 J74 1980 cent per pound. _SEAFOOD_ Fresh seafood products are extremely J74 1990 perishable. Although refrigeration has served to extend the storage J74 2000 life of these products, substantially increased consumption might be possible J74 2010 if areas remote from the seacoast could be served adequately. J75 0010 Furthermore, it has made an exact assessment of the removal mechanisms J75 0020 possible. The instrument is shown in Fig& 1 and consists J75 0030 essentially of a hard, sharp, tungsten carbide knife which is pushed J75 0040 along the substrate to remove the coating. The force required to accomplish J75 0050 removal is plotted, by means of an electronic recorder, against J75 0060 distance of removal. Since the removal force is a function of coating J75 0070 thickness, a differential transformer pickup has been incorporated into J75 0080 the instrument to accurately measure film thickness. This, too, is J75 0090 recorded against distance by a repeat run over the same track previously J75 0100 cut. A number of adjustment features are included in the Hesiometer J75 0110 to facilitate measurement and permit ready removal of coatings deposited J75 0120 on such substrates as iron and other metals, glass, wood, and J75 0130 plastic surfaces. The measurement of topcoats on primers can also readily J75 0140 be carried out. Hesiometer results have been found to compare J75 0150 excellently with manual knife scratching tests. The instrumental J75 0160 method, however, is about 100 times more sensitive and yields numerical J75 0170 results which can be accurately repeated at wil over a period of time. J75 0180 If a wedge-shaped coating of increasing thickness is removed from J75 0190 a substrate by an instrument like the Hesiometer with a knife of constant J75 0200 rake angle, a number of removal mechanisms are often observed J75 0210 which depend upon the thickness of the coating. At low thicknesses a J75 0220 cutting (or shearing) phenomenon is often encountered. As the coating J75 0230 becomes thicker, the cutting may abruptly change to a cracking type of J75 0240 failure. If the coating becomes still thicker, a peeling type failure J75 0250 finally can occur. The typical appearance of these various mechanisms J75 0260 is illustrated in Figs& 2, 3, and 4, which are single frame enlargements J75 0270 of high speed movies taken during the course of the knife removal J75 0280 process. It can be seen from Fig& 2 that the cutting removal J75 0290 of a coating from its substrate involves pure cohesive failure of the J75 0300 coating. The molecular forces holding the coating to the substrate are J75 0310 obviously greater than the cohesive strength of the coating and J75 0320 failure occurs by shear along a plane starting at the tip of the knife J75 0330 and extending to the coating surface. The pictures of Figs& J75 0335 3 and J75 0340 4 show the cracking and peeling types of removal where the coating J75 0350 is detached by failure in a region at, or close to, the interface between J75 0360 coating and substrate. If the force required to remove the J75 0370 coatings is plotted against film thickness, a graph as illustrated schematically J75 0380 in Fig& 5 may characteristically result. Here, ~ J75 0390 is the coatings removal force measured parallel to the surface of the J75 0400 substrate and ~ is the film thickness. It can be seen that J75 0410 the force is characteristic of the removal process and changes abruptly J75 0420 from cutting to cracking to peeling removal. Also, it can be readily J75 0430 seen that the cutting and peeling types of failure show a steady state J75 0440 response, while the cracking mechanism is of a dynamic nature. J75 0450 It should be recalled that these three mechanisms can occur on the J75 0460 same coating deposited upon the same substrate merely as a function of J75 0470 changes in coatings thickness. Presumably the interfacial bond strength J75 0480 and gross cohesive properties are identical in each case. What then, J75 0490 are the factors that contribute to these phenomena? Why should J75 0500 the "practical adhesion" of a coating as assessed by a knife method J75 0510 change, initially increasing rather rapidly and then decreasing stepwise J75 0520 to very low values as the knife is forced through a coating of increasing J75 0530 thickness? #CUTTING MECHANISM OF COHESIVE FAILURE# The J75 0540 cutting (or shearing) removal process has been previously described. J75 0550 It was found that the coating is separated from its substrate entirely J75 0560 by cohesive failure. The details of the removal process are shown J75 0570 schematically in Fig& 6. The various forces result from the reaction J75 0580 of the removed paint chip against the face of the knife and along J75 0590 the shear plane, which makes an angle ~|f with the substrate. The J75 0600 action and reaction forces are ~ and **f, respectively and J75 0610 are equal and opposite in direction. All the other force vectors are J75 0620 derived from these. **f is the force required to cut a coating of thickness J75 0630 ~ from the substrate. **f is the shear force along the shear J75 0640 plane; **f and **f are the thrust forces acting against coating J75 0650 and knife, respectively; **f is the normal compressive force acting J75 0660 on the shear plane; **f is the friction force between chip and knife J75 0670 surfaces, and ~

is the normal force acting on the face of the J75 0680 knife. ~|a is the rake angle of the knife; ~|f is the angle J75 0690 the shear plane makes with the substrate; ~|t is the friction J75 0700 angle; and ~|b is the angle the resultants make with the plane of J75 0710 the substrate. An analysis of the vector relationships shows J75 0720 that the rake angle ~|a and the friction angle ~|t determine J75 0730 the vector direction **f of the force resultants ~ and **f. Consequently, J75 0740 both the rake angle of the knife as well as the friction J75 0750 occurring between the back of the removed coating and the front of the J75 0760 knife will determine in large part the detailed mechanism of the cutting J75 0770 removal process. It is difficult to measure the direction J75 0780 and magnitude of ~ directly. In actual practice, the values most J75 0790 readily amenable to measurement are the cutting force **f and the J75 0800 shear angle ~|f. These two values and the rake angle ~|a are J75 0810 sufficient to determine the other parameters of these relationships. J75 0820 ~|a is defined by the geometry of the knife; ~|f can readily J75 0830 be determined by measuring the thickness of the coating before and after J75 0840 cutting from the substrate; **f is instrumentally determined. From J75 0850 Fig& 6 the relationship between these parameters can readily be J75 0860 derived and the cutting force is **f where ~|l is the shear strength J75 0870 of the coating and is a parameter of the coatings material, ~ J75 0880 is the width of the removed coating and ~ is its thickness. J75 0890 If the cutting force, **f is plotted against film thickness, J75 0900 a straight line should result passing through the origin and having slope J75 0910 **f. However, in the actual assessment of the cutting force by instrumental J75 0920 methods for any thickness of coating a number of spurious effects J75 0930 occur which must be taken into account and which make the measured J75 0940 value larger than the true cutting force indicated by eqn& (1). J75 0950 #BLUNT KNIFE# One of these is the fact that the knife employed, no J75 0960 matter how well sharpened, will have a slightly rounded cutting edge. J75 0970 This signifies that ~|a, the rake angle, is no longer a constant J75 0980 to zero film thickness. The curvature of this bluntness is, in the J75 0990 case of the Carboloy knife employed in the Hesiometer, determined by J75 1000 the grain sizes of the polished grit and the tungsten carbide crystals J75 1010 cemented together in the knife body and is in the order of 0.1 to 0.2 J75 1020 mil&. The force vector concept of Fig& 6 can readily be J75 1030 applied to this condition also. Because the rake angle **f at the tip J75 1040 of the knife is very much smaller (or even negative) when compared J75 1050 to the value of ~|a for the major portion of the knife, a very rapid J75 1060 increase in cutting force with thickness will result. This reduces J75 1070 to the relationship: **f where **f is the intercept at zero thickness J75 1080 of the extrapolation of the slope indicated in eqn& (1), **f is the J75 1090 thickness of the coating equivalent to the rounding off of the knife J75 1100 tip, **f is a straight line first approximation of this roundness, and J75 1110 the other symbols are equivalent to those of eqn& (1). It can be J75 1120 seen that **f is a constant, and is determined for the most part by the J75 1130 geometry of the knife. The blunter the knife, the higher is the value J75 1140 of **f. The importance of a hard, abrasion resistant knife material J75 1150 like the Carboloy employed in the Hesiometer immediately becomes J75 1160 apparent. Softer knives would blunt very rapidly, making the value of J75 1170 **f inexact. In extreme cases of very soft knives this value may even J75 1180 change during the course of a measurement. #KNIFE FRICTION# A second J75 1190 factor which enters into the practical measurement of the instrumentally J75 1200 determined cutting force is the frictional resistance caused J75 1210 by the bottom of the knife against the substrate. This is not a constant J75 1220 value like **f, but varies with the thickness of the coating and the J75 1230 direction and magnitude of the resultants ~ and **f of Fig& J75 1240 6. Under equilibrium conditions of cutting the chip exerts a thrust J75 1250 **f against the knife which tends to push it into the substrate or J75 1260 lift it away from the substrate depending on the vector direction of **f. J75 1270 The resultant friction force, **f is thus directly proportional to J75 1280 **f and consequently also to film thickness. The value of **f J75 1290 can readily be assessed by determining the frictional force exerted J75 1300 on the knife while running over the previously stripped coating track J75 1310 under various external loadings. A straight line relationship is usually J75 1320 observed in a plot of **f against load ~, having slope ~, J75 1330 and **f Since the load ~, under actual cutting conditions J75 1340 is caused by **f, it can be seen that **f The measured force, J75 1350 ~, in cutting removal of coatings from their substrates consequently J75 1360 can be seen to be the sum of that force required to cut the J75 1370 coating, **f that due to the bluntness of the knife, **f, and that due J75 1380 to the friction between the bottom of the knife and the substrate, **f, J75 1390 or **f The first two forces are directly interrelated and depend J75 1400 upon film thickness, whereas **f is independent of these two and is a J75 1410 constant for a given knife/coating combination. These theoretical J75 1420 relationships are more clearly illustrated in Fig& 7 and their J75 1430 sum can be seen to correlate in form with practical measurements made J75 1440 with the Hesiometer as illustrated in the first portion of Fig& 5 J75 1450 for the cutting mechanism. #CHIPPING MECHANISM OF COHESIVE FAILURE# J75 1455 Although a large number of coatings systems, J75 1460 particularly at low thicknesses fail cohesively by the cutting mechanism, J75 1470 frequently a second type of cohesive failure may also take place. J75 1480 This is a chipping, dynamic type failure encountered with very brittle J75 1490 coatings resins or very highly pigmented films. This is shown in J75 1500 the photomicrograph of Fig& 8. The basic difference between J75 1510 the continuous cutting mechanism and that of the chipping mechanism J75 1520 is that instead of shear occurring in the coating ahead of the knife continuously J75 1530 without fracture, rupture intermittently occurs along the J75 1540 shear plane. The detailed mechanisms of this type of failure have been J75 1550 studied extensively by MERCHANT for metal cutting, and the principles J75 1560 found can be directly applied to coatings. By studying J75 1570 high speed movies made of this type of failure, the sequence of relationships J75 1580 as schematically illustrated in Fig& 9 could be observed. J75 1590 In the first picture (9~a) the knife is just beginning to advance J75 1600 into the inclined surface which was left from the previous chip J75 1610 formation. In the next, the shear plane angle is high, and extends to J75 1620 the inclined work surface. With increasing advance of the knife into J75 1630 the coating the shear plane extends to the coatings surface and the shear J75 1640 angle rapidly decreases. Eventually, rupture occurs along the shear J75 1650 plane (9~e), and the cycle repeats itself. MERCHANT J75 1660 has found that the same basic relationships which describe the geometry J75 1670 and force systems in the case of the cutting mechanism can also be J75 1680 applied to the discontinuous chip formation provided the proper values J75 1690 of instantaneous shear angle and instantaneous chip thickness or cross-sectional J75 1700 area are used. Consequently, if the shear angle ~|f J75 1710 is replaced by the rupture angle **f, the relationships as described in J75 1720 eqns& (1), (2), (4), and (6) will directly apply. #THE CRACKING J75 1730 MECHANISM# Under equilibrium cutting conditions, the chip exerts a J75 1740 force **f against the coating and an equal opposite force **f against J75 1750 the knife in the plane of the substrate as shown in Fig& 6. If the J75 1760 rake angle ~|a of the knife is high enough and the friction angle J75 1770 ~|t between the front of the knife and the back of the chip is low J75 1780 enough to give a positive value for **f, the resultant vector ~ J75 1790 will lie above the plane of the substrate. J76 0010 Within only a few years, foamed plastics materials have managed J76 0020 to grow into an integral, and important, phase of the plastics industry- J76 0030 and the end is still not yet in sight. Urethane foam, as only J76 0040 one example, was only introduced commercially in this country in 1955. J76 0050 Yet last year's volume probably topped 100 million lb& and expectations J76 0060 are for a market of 275 million lb& by 1964. Many of the other J76 0070 foamed plastics, particularly the styrenes, show similar growth potential. J76 0080 And there are even newer foamed plastics that are yet to be J76 0090 evaluated. As this issue goes to press, for example, one manufacturer J76 0100 has announced an epoxy foam with outstanding buoyancy and impact strength; J76 0110 another reports that a cellular polypropylene, primarily for use J76 0120 in wire coating applications, is being investigated. On the J76 0130 following pages, each of the major commercial foamed plastics is described J76 0140 in detail, as to properties, applications, and methods of processing. J76 0150 It might be well to point out, however, some of the newer J76 0160 developments that have taken place within the past few months which J76 0170 might have a bearing on the future of the various foamed plastics involved. J76 0180 In urethane foams, for example, there has been a definite trend J76 0190 toward the polyether-type materials (which are now available in two-component J76 0200 rigid foam systems) and the emphasis is definitely on one-shot J76 0210 molding. Most manufacturers also seem to be concentrating on formulating J76 0220 fire-resistant or self-extinguishing grades of urethane foam that J76 0230 are aimed specifically at the burgeoning building markets. Urethane J76 0240 foam as an insulator is also coming in for a good deal of attention. J76 0250 In one outstanding example, Whirlpool Corp& found that by switching J76 0260 to urethane foam insulation, they could increase the storage capacity J76 0270 of gas refrigerators to make them competitive with electric models. J76 0280 Much interest has also been expressed in new techniques for processing J76 0290 the urethane foams, including spraying, frothing, and molding (see J76 0300 article, p& 391 for details). And in meeting the demands for urethane J76 0310 foam as a garment interlining, new adhesives and new methods of laminating J76 0320 foam to a substrate have been developed. New techniques J76 0330 for automatic molding of expandable styrene beads have helped boost J76 0340 that particular material into a number of new consumer applications, including J76 0350 picnic chests, beverage coolers, flower pots, and flotation-type J76 0360 swimming toys. Two other end-use areas which contributed to expandable J76 0370 styrene's growth during the year were packaging (molded inserts J76 0380 replacing complicated cardboard units) and foamed-core building panels. J76 0390 Extruded expandable styrene film or sheet- claimed to be competitive J76 0400 price-wise with paper- also showed much potential, particularly J76 0410 for packaging. Sandwich panels for building utility shelters that J76 0420 consist of kraft paper skins and rigid styrene foam cores also aroused J76 0430 interest in the construction field. In vinyl foam, the big news J76 0440 was the development of techniques for coating fabrics with the material J76 0450 (for details, see P& 395). Better "hand", a more luxurious J76 0460 feel, and better insulating properties were claimed to be the result. J76 0470 Several companies also saw possibilities in using the technique for J76 0480 extruding or molding vinyl products with a slight cellular core that J76 0490 would reduce costs yet would not affect physical properties of the end J76 0500 product to any great extent. Readers interested in additional J76 0510 information on foams are referred to the Foamed Plastics Chart appearing J76 0520 in the Technical Data section and to the list of references which J76 0530 appears below. #URETHANE FOAMS# @ Since the mid 1950s, when J76 0540 urethane foam first made its appearance in the American market, growth J76 0550 has been little short of fantastic. Present estimates are that production J76 0560 topped the 100-million-lb& mark in 1960 (85 to 90 million J76 0570 lb& for flexible, 10 or 11 million lb& for rigid); by 1965, production J76 0580 may range from 200 to 350 million lb& for flexible and from 115 J76 0590 to 150 million lb& for rigid. The markets that have started to open J76 0600 up for the foam in the past year or so seem to justify the expectations. J76 0610 Furniture upholstery, as just one example, can easily take millions J76 0620 of pounds; foamed refrigerator insulation is under intensive evaluation J76 0630 by every major manufacturer; and use of the foam for garment J76 0640 interlining is only now getting off the ground, with volume potential J76 0650 in the offing. _BASIC CHEMISTRY_ Urethane foams are, basically, J76 0660 reaction products of hydroxyl-rich materials and polyisocyanates (usually J76 0670 tolylene diisocyanate). Blowing can be either one of two types- J76 0680 carbon dioxide gas generated by the reaction of water on the polyisocyanate J76 0690 or mechanical blowing through the use of a low-boiling liquid J76 0700 such as a fluorinated hydrocarbon. The most important factor J76 0710 in determining what properties the end-product will have is quite naturally J76 0720 the type of hydroxyl-rich compound that is used in its production. J76 0730 Originally, the main types used were various compositions of polyesters. J76 0740 These are still in wide use today, particularly in semi-rigid J76 0750 formulations, for such applications as cores for sandwich-type structural J76 0760 panels, foamed-in-place insulation, automotive safety padding, arm J76 0770 rests, etc&. More recently, polyethers- again in varied compositions, J76 0780 molecular weights, and branching- have come into use at first J76 0790 for the flexible foams, just lately for the rigids. The polyether glycols J76 0800 are claimed to give flexible urethanes a spring-back action which J76 0810 is much desired in cushioning. Although the first polyether foams J76 0820 on the market had to be produced by the two-step prepolymer method, J76 0830 today, thanks to new catalysts, they can be produced by a one-shot J76 0840 technique. It is possible that the polyether foams may soon be molded J76 0850 on a production basis in low-cost molds with more intricate contours J76 0860 and with superior properties to latex foam. The polyester urethane J76 0870 foam is generally produced with adipic acid polyesters; the polyether J76 0880 group generally consists of foams produced with polypropylene glycol J76 0890 or polypropylene glycol modified with a triol. _ONE SHOT VS& J76 0900 PREPOLYMER_ In the prepolymer system, the isocyanate and resin are J76 0910 mixed anhydrously and no foaming occurs. The foaming can be accomplished J76 0920 at some future time at a different location by the addition of the J76 0930 correct proportion of catalyst in solution. In one-shot, the isocyanate, J76 0940 polyester or polyether resin, catalyst, and other additives are J76 0950 mixed directly and a foam is produced immediately. Basically, this means J76 0960 that simpler processing equipment (the mixture has good flowing characteristics) J76 0970 and less external heat (the foaming reaction is exothermic J76 0980 and develops internal heat) are required in one-shot foaming, although, J76 0990 at the same time, the problems of controlling the conditions of J76 1000 one-shot foaming are critical ones. _PROPERTIES_ Most commercial J76 1010 uses of urethane foams require densities between 2 and 30 lb&/cu& J76 1020 ft& for rigid foams, between 1 and 3 lb&/cu& ft& for flexible J76 1030 foams. This latter figure compares with latex foam rubber at an average J76 1040 of 5.5 lb&/cu& ft& in commercial grades. _COMPRESSION STRENGTH:_ J76 1050 Graph in Fig& 1, p& 392, indicates how the ratio of J76 1060 compressive strength to density varies as the latter is increased or J76 1070 decreased. The single curve line represents a specific formulation in J76 1080 a test example. By varying the formula, this curve may be moved forward J76 1090 or backward along the coordinates to produce any desired compression J76 1100 strength/density ratio. _THERMAL CONDUCTIVITY AND TEMPERATURE RESISTANCE:_ J76 1110 In flexible urethane foams, we are referring to the range J76 1120 between the highest and lowest temperatures under which the materials' J76 1130 primary performance remains functionally useful. In temperature J76 1140 resistance, this quality is usually related to specific properties, J76 1150 e&g&, flexural, tensile strengths, etc&. Thermal conductivity is J76 1160 directly traceable to the material's porous, air-cell construction J76 1170 which effectively traps air or a gas in the maze of minute bubbles which J76 1180 forms its composition. These air or gas bubbles make highly functional J76 1190 thermal barriers. The ~K factor, a term used to denote the rate J76 1200 of heat transmission through a material (B&t&u&/sq& ft& J76 1210 of material/hr&/`F&/in& of thickness) ranges from 0.24 to 0.28 J76 1220 for flexible urethane foams and from 0.12 to 0.16 for rigid urethane J76 1230 foams, depending upon the formulation, density, cell size, and nature J76 1240 of blowing agents used. Table /1,, p& 394, shows a comparison of J76 1250 ~K factor ratings of a number of commercial insulating materials J76 1260 in common use, including two different types of rigid urethane foam. _FLEXURAL J76 1270 STRENGTH:_ This term refers to the ability of a material J76 1280 to resist bending stress and is determined by measuring the load required J76 1290 to cause failure by bending. The higher-density urethane semi-rigid J76 1300 foams usually have stronger flex fatigue resistance, i&e&, the J76 1310 12 lb&/cu& ft& foam has 8 times the flexural strength of the J76 1320 3 lb&/cu& ft& density. Note that flexural strength is not always J76 1330 improved by simply increasing the density, nor is the change always J76 1340 proportional from one formulation to another. Where flexural strength J76 1350 is an important factor, be sure that your urethane foam processor is J76 1360 aware of it. _TENSILE STRENGTH:_ This property refers to the greatest J76 1370 longitudinal stress or tension a material can endure without tearing J76 1380 apart. Like compression strength of urethane foams, it has a direct J76 1390 relationship to formulation. Exceptional tensile strength is another J76 1400 of urethane foam's strong features. Figure 2, above, shows the J76 1410 aging properties of urethane foams as determined by the percent of change J76 1420 in tensile strength during exposure to ultra-violet light. _PROCESSING J76 1430 URETHANES_ There are many ways of producing a foamed urethane J76 1440 product. The foam can be made into slab stock and cut to shape, it J76 1450 can be molded, it can be poured-in-place, it can be applied by spray J76 1460 guns, etc&. Slab stock is still one of the most important forms J76 1470 of urethane end-product in use today. Basically, the foam machines J76 1480 that produce such stock consist of two or more pumping units, a variable J76 1490 mixer, a nozzle carriage assembly, and, in many cases, a conveyor J76 1500 belt to transport and contain the liquid during the reaction process J76 1510 and until it solidifies into foam. The ingredients are fed from tanks J76 1520 through a hose and into the mixer at a predetermined rate. The mixing J76 1530 head moves back and forth slowly across the width of the receptacle. J76 1540 It only takes a few minutes for the foaming action to be completed J76 1550 and after a short cure, the material can be cut into lengths as desired. J76 1560 Much has been done in the way of ingenious slitters to fabricate J76 1570 the slab stock into finished products. Profile cutting machines J76 1580 are available which can split foam to any desired thickness and produce J76 1590 sine, triangle, trapezoid, and other profiles in variable heights, J76 1600 dimensions, etc&. The convoluted sheets can be combined to attain J76 1610 certain cushioning effects mechanically rather than chemically. Also J76 1620 available is a slitter which "peels" the inside of a folded block J76 1630 of foam and can be used to slit continuous sheets up to 300 yd& in J76 1640 length, down to 1/16 in& thick. The low cost and ease of fabrication J76 1650 of the dies for three-dimensional foam cutting plus the wide J76 1660 variety of shapes, dimensions, and contours that can be tailor-made to J76 1670 customer requirements has made the technique useful for producing case J76 1680 liners, materials handling containers, packaging and cushioning devices, J76 1690 and such novelties as soap dishes, toys, head rests, arch supports, J76 1700 and gas pedal covers. _MOLDING_ Although slab stock appeared J76 1710 first, it soon became apparent that for the production of cushions with J76 1720 irregular shapes, crowned contours, or rounded edges, the cutting of J76 1730 slab stock is a wasteful and uneconomical process. Only by resorting J76 1740 to molding techniques can the cushion manufacturer hope to compete satisfactorily J76 1750 in the established cushion market. The closed molding J76 1760 of flexible urethane foams has been a problem ever since the introduction J76 1770 of the material (molding in open molds was more feasible). J76 1780 Satisfactory methods for polyester foams and even prepolymer polyether J76 1790 foams were never fully achieved. Closed molding generally resulted J76 1800 in parts weighing more (because of higher density) than parts fabricated J76 1810 from free-blown foams. This counteracted the gain from having no scrap J76 1820 loss. In addition, there were difficulties with the flow and spreading J76 1830 of the foam mixture over the mold surface, trouble with lack of J76 1840 gel strength in the rising foam, and problems of splits. The introduction J76 1850 of one-shot polyether foam systems, aided by the development of J76 1860 new catalysts, helped to alleviate some of the problems of closed molding. J76 1870 While there are still many bugs to be ironed out, the technique J76 1880 is fast developing. _OTHER TECHNIQUES_ Simple systems are available J76 1890 that make it possible for urethane foam components to be poured, pumped, J76 1900 etc&, into a void where they foam up to fill the void. In a J76 1910 typical application- the making of rigid urethane foam sandwich panels- J76 1920 an amount of foam mixture calculated to expand 10 to 20% more J76 1930 than the volume of the panel is poured into the panel void and the top J76 1940 of the panel is locked in place by a jig. J77 0010 Temperature of the wash and rinse waters is maintained at 85-90`F& J77 0020 (29-32`C&). The top rolls are loaded with 40 lbs&. Sixty J77 0030 lbs& loading is possible but 40 lbs& is adequate. The suds J77 0040 box drain is arranged at the start to deliver into the raised main drain J77 0050 pipe (thus returning suds to soap box) and the machine is started. J77 0060 The 160-ml& bath containing the calculated amount of detergent is J77 0070 applied slowly and directly to the running specimen. Washing is continued J77 0080 for 30 minutes or for a period of time sufficient to allow 100 nips J77 0090 or passes through the squeeze rolls. At the conclusion of the washing, J77 0100 8 liters of water at 90`F& (32`C&) are automatically metered J77 0110 from the rinse reservoir to the washing tubs, 4 liters to each tub. J77 0120 This operation requires from 10 to 12 minutes. During the rinsing J77 0130 operation the volume in the tubs gradually increases until overflow J77 0140 from the main drain begins. At this point the drains are readjusted so J77 0150 that the suds box drain will discharge directly into the waste line J77 0160 and the main tub drain is set at the 2-1/2 mark on the drain gauge. When J77 0170 all of the rinse water has passed from the reservoir to the tubs the J77 0180 main drains are lowered to permit complete draining of the tubs. The J77 0190 run is complete when all the water has drained off into the waste line. J77 0200 By this procedure rinsing progresses in two stages, first J77 0210 by dilution until the time when the drains are separated and thereafter J77 0220 by displacement of the soil-bearing liquor by clean rinse water, since J77 0230 soiled liquor squeezed from the specimens at the nip passes directly J77 0240 to waste from the suds box drains. This method of rinsing appears J77 0250 to produce maximum cleansing with minimum soil redeposition. #SUGGESTED J77 0260 EVALUATION AND CLASSIFICATION# Evaluation may be made on J77 0270 either a soil-removal or a grease-removal basis as desired. A J77 0275 reflectance-measuring J77 0280 instrument may be desirable to measure cleaning, whereas J77 0290 Soxhlet extraction is necessary to measure grease removal. J77 0300 #PURPOSE AND SCOPE# This test method is intended for determining J77 0310 the dimensional changes of woven or knitted fabrics, made of fibers other J77 0320 than wool, to be expected when the cloth is subjected to laundering J77 0330 procedures commonly used in the commercial laundry and the home. Four J77 0340 washing test procedures are established, varying in severity from very J77 0350 severe to very mild, and are intended to cover the range of practical J77 0360 washing from commercial procedure to hand washing. Five drying test J77 0370 procedures are established to cover the range of drying techniques J77 0380 used in the home and commercial laundry. Three methods for determining J77 0390 the dimensional restorability characteristics are established for those J77 0400 textiles which require restoration by ironing or wearing after laundering. J77 0410 These tests are not accelerated and must be repeated to evaluate J77 0420 dimensional changes after repeated launderings. Table /1, J77 0430 summarizes all of the various washing, drying, and restoration procedures J77 0440 available. The person using these tests must determine which combination J77 0450 of procedures is practical for any specific item in order to J77 0460 evaluate the dimensional changes of textile fabrics or garments after J77 0470 laundering procedures commonly used in the home or commercial laundry. J77 0480 It is possible to identify the test procedure completely with a code J77 0490 consisting of a Roman Numeral, a letter, and an Arabic number. For J77 0500 example Test /3, ~E 1 refers to a specimen which has been washed J77 0510 by procedure "/3," (at 160`F& for a total of 60 minutes J77 0520 in the machine, has been dried in a tumble dryer by procedure "~E" J77 0530 and has been subjected to restorative forces on the Tension J77 0540 Presser by procedure "1". #PRINCIPLE# A specimen or garment J77 0550 is washed in a cylindrical reversing wash wheel, dried and subjected J77 0560 to restorative forces where necessary. Temperature and time of agitation J77 0570 in the wash wheel are varied to obtain different degrees of severity. J77 0580 Drying procedures and application of restorative force procedures J77 0590 are varied to conform with end-use handling during home or commercial J77 0600 laundering. Distances marked on the specimen in warp and filling J77 0620 directions (or wales and courses for knitted fabrics) are measured before J77 0630 and after laundering. #APPARATUS AND MATERIALS# _WASH WHEEL- J77 0640 CYLINDRICAL WASH WHEEL OF THE REVERSING TYPE._ The wheel (cage) J77 0650 is 20 to 24 inches inside diameter and 20 to 24 inches inside length. J77 0655 There J77 0660 are three fins each approximately three inches wide extending the full J77 0670 length of the inside of the wheel. One fin is located every 120` J77 0680 around the inside diameter of the wheel. The wash wheel rotates at a J77 0690 speed of 30 revolutions per minute, making five to ten revolutions before J77 0700 reversing. The water inlets are large enough to permit filling the J77 0710 wheel to an eight-inch level in less than two minutes, and the outlet J77 0720 is large enough to permit discharge of this same amount of water in J77 0730 less than two minutes. The machine is equipped with a pipe for injecting J77 0740 live steam that is capable of raising the temperature of water at J77 0750 an eight-inch level from 110` to 140`F& (38` to 60`C&) in J77 0760 less than two minutes. The machine shall contain an opening for the J77 0770 insertion of a thermometer or other equivalent equipment for determining J77 0780 the temperature of the water during the washing and rinsing procedures. J77 0790 It is equipped with an outside water gauge that will indicate the J77 0800 level of the water in the wheel. A domestic automatic washer J77 0810 that will give equivalent results may be used. The wash wheel is the J77 0820 equipment preferred for the test. _PRESSING EQUIPMENT- FLAT-BED J77 0830 PRESS MEASURING 24 INCHES BY 50 INCHES OR LARGER._ Any flat-bed press J77 0840 capable of pressing a specimen 22 inches square may be used as an J77 0850 alternative. The flat-bed press is maintained at a temperature not less J77 0860 than 275`F& (135`C&). _DRYER- DRYER OF THE ROTARY TUMBLE J77 0870 TYPE, HAVING A CYLINDRICAL BASKET APPROXIMATELY 30 INCHES IN DIAMETER J77 0880 AND 24 INCHES IN LENGTH AND ROTATING AT APPROXIMATELY 35 R&P&M&._ J77 0890 The dryer is provided with a means of maintaining a drying temperature J77 0900 of 120`-160`F& (49`-71`C&), measured in the exhaust J77 0910 vent as close as possible to the drying chamber. _SCREEN DRYING J77 0920 RACKS- 16-MESH SCREENING (SARAN OR VELON)._ _DRYING ROOM-FACILITIES J77 0930 FOR DRIP- OR LINE-DRYING._ _EXTRACTOR- CENTRIFUGAL EXTRACTOR J77 0940 OF THE LAUNDRY-TYPE WITH A PERFORATED BASKET, APPROXIMATELY 11 J77 0950 INCHES DEEP BY 17 INCHES IN DIAMETER, WITH AN OPERATING SPEED OF APPROXIMATELY J77 0960 1,500 R&P&M&._ _PEN AND INK, INDELIBLE- OR OTHER J77 0970 SUITABLE MARKING DEVICE._ _MEASURING SCALE-._ _SOAP, NEUTRAL J77 0980 CHIP- FED& SPEC& ~P ~S 566 OR ~ASTM ~D-496._ J77 0990 _SOFTENER- E&G& SODIUM METAPHOSPHATE OR SODIUM HEXAMETAPHOSPHATE J77 1000 (IF NEEDED IN HARD WATER AREAS)._ _DETERGENT, SYNTHETIC- J77 1010 ALKYLARYSULFONATE TYPE._ _FLATIRON, ELECTRIC- APPROXIMATELY J77 1020 3 LB&_ _TENSION PRESSER- CONSISTING OF A PADDED IRONING BOARD J77 1030 FROM WHICH EXTEND CLAMPING MEMBERS ON ALL FOUR SIDES._ Two of the J77 1040 clamps are fixed to the edges of the board whereas two clamps travel on J77 1050 guide rails opposite the fixed clamps. The movable clamps travel on J77 1060 carriages which ride the rails and are drawn by dead-weight loading. J77 1070 Sets of weights are provided so that the load can be selected in the J77 1080 range of 1/2 to 4 pounds. A perforated aluminum plate, used to provide J77 1090 the drying surface, is heated by means of a flatiron. A special template J77 1100 is furnished with the apparatus to enable marking a specimen for J77 1110 a central measuring area and the fabric extensions to the clamps (see J77 1120 Fig& 2). _KNIT SHRINKAGE GAUGE- CONSISTING OF A SET OF 20 MOUNTING J77 1130 PINS SET IN GUIDES IN RADIAL SLOTS (FIG&1)._ Each pin is individually J77 1140 sprung to a tensioning member which is driven outwardly in J77 1150 the slot. The springs have an extension of 1 inch at **f tension. The J77 1160 tensioning members have a common drive so that the application of restorative J77 1170 force takes place simultaneously in all directions in the plane J77 1180 of the test specimen. The minimum diameter of the pin frame in the J77 1190 collapsed state is 11 inches and the maximum diameter in the freely J77 1200 extended state (unloaded) is 14 inches. The surface of the apparatus J77 1210 in contact with the test specimen is uncluttered and polished so as J77 1220 to be as friction-free as possible. #TEST SPECIMENS# The preparation J77 1230 of test specimens will vary depending upon the type of dimensional J77 1240 restorability procedure (if any) to be used. Three specimens J77 1250 for each sample to be tested are required in order to arrive at a satisfactory J77 1260 average of performance. This is especially true for knitted J77 1270 fabrics. Specimens are allowed to reach moisture equilibrium with J77 1280 a standard atmosphere of **f and **f and then laid out without tension J77 1290 on a flat, polished surface, care being taken that the fabric is J77 1300 free from wrinkles or creases. Fabrics that are badly distorted in their J77 1310 unlaundered state due to faulty finishing may give deceptive dimensional J77 1320 change results when laundered by any procedure. This also holds J77 1325 true J77 1330 if restorative forces are applied. Therefore, it is recommended that J77 1340 in such cases the sample be replaced, or if used, the results of dimensional J77 1350 change or dimensional restorability tests be considered as indicative J77 1360 only. Generally, it is necessary to mark distances on J77 1370 a specimen (or garment) in both lengthwise and widthwise directions and J77 1380 to measure before and after laundering. The distances may be marked J77 1390 with indelible ink and a fine-point pen, by sewing fine threads into J77 1400 the fabric, or by a specially designed stamping machine. The marked distances J77 1410 are parallel to the respective yarns. Usually, the greater the J77 1420 original distances marked, the greater will be the accuracy of the J77 1430 test. Distances of less than 10 inches are not recommended. _WOVEN J77 1440 FABRICS TO BE DRIED BY PROCEDURE ~B (FLAT-BED PRESSED) OR RESTORED BY J77 1450 PROCEDURE 3 (HAND IRONING):_ The specimen of fabric is a rectangle J77 1460 at least 22 by 22 inches, except for cloth narrower than 22 inches, J77 1470 in which case the specimen is the entire width of the fabric. Three J77 1480 distances, each at least 18 inches, are measured and marked off parallel J77 1490 to each of the warp and filling directions. The distances are at J77 1500 least two inches from any edge of the specimen. _WOVEN OR WARP KNITTED J77 1510 FABRICS TO BE SUBJECTED TO RESTORATIVE PROCEDURE 1 (TENSION PRESSER)._ J77 1520 Each specimen is at least 25 inches by 25 inches. Place the template J77 1530 (Fig& 2) on the fabric so that the sides of the 10 inch square J77 1540 cut out of the template are parallel to the warp and filling for woven J77 1560 fabrics, or the wales and courses for knitted fabrics, and so that the J77 1570 same amount of fabric extends beyond the edges of the template on all J77 1580 sides. Mark the specimen at the outer edges of the template with pen J77 1590 and also place three dots on the specimen at each J77 1600 side of the 10 inch square, one dot at midpoint, and one at approximately J77 1610 1/2 inch from each corner. Measure and record. _CIRCULAR KNITTED J77 1620 FABRICS TO BE SUBJECTED TO RESTORATIVE PROCEDURE 2, (KNIT SHRINKAGE J77 1630 GAUGE)._ Each specimen is approximately 16 inches square. The markings J77 1640 consist of a centrally located 10 inch diameter measuring circle J77 1650 and a 14 inch diameter circle of 20 dots equidistantly spaced (See J77 1660 Figure 1). _GARMENTS._ Critical measurements in length and width J77 1670 directions should be taken before and after washing, drying, and restorative J77 1680 procedures. #PROCEDURE# _WASHING-_ The washing J77 1690 procedures are summarized in Table /2,. Place the specimen J77 1700 in the wash wheel with sufficient other similar fabric to make a dry J77 1710 load of **f pounds. Start the wash wheel and note the time. Immediately J77 1720 add water at 100-105`F& (38-43`C&) to the wheel to a level J77 1730 of **f inches; this level will be increased by condensed steam. J77 1740 When this water level has been reached, inject steam into the wheel until J77 1750 the temperature reaches that shown in Column ~B of Table /2,. J77 1760 Add sufficient soap (and softener if required to counteract hard J77 1770 water) to furnish a good running suds, or if desired use a synthetic detergent. J77 1780 _TEST /1,_- Stop the wash wheel at the end of the J77 1790 time J77 1800 shown in Column ~A of Table /2, and drain. Refill the machine J77 1810 to a level of **f inches with water at 100-109` F& (38-43` C&) J77 1820 and start the machine. Inject steam, if necessary, to reach the J77 1830 temperature shown in Column ~D of Table /2,. Again stop the machine J77 1840 at the end of the time shown in Column ~C of Table /2,. J77 1850 This procedure is repeated for the second rinse, using the temperatures J77 1860 and time shown in Columns ~F and ~E of Table /2,. _TESTS J77 1865 /2,, /3,, J77 1870 AND /4,._- Run the machine continuously until completion J77 1880 of the test. Drain off the soap solution of the suds cycle at such J77 1890 a time that the wheel has become substantially empty of soap and water J77 1900 at the end of the time shown in Column ~A of Table /2,, measured J77 1910 from the time the wash wheel was started. Refill the machine to a J77 1920 level of **f inches with water at 100-109` F& (38-43` C&). J77 1930 When this water level has been reached, inject steam until the temperature J77 1940 is that shown in Column ~D. Drain off the water at such a time J77 1950 that the wheel has become substantially empty of water at the end J77 1960 of the sum of the times shown in Columns ~A and ~C, measured from J77 1970 the time the wash wheel was started. Immediately refill to a level J77 1980 of **f inches with water at 100-109` F& (38-43` C&). When J77 1990 this water level has been reached inject steam until the temperature is J77 2000 that shown in Column ~F. Drain off the water at such a time that J77 2010 the wheel has become substantially empty of water at the end of the J77 2020 sum of the times shown in Columns ~A, ~C, and ~E, measured from J77 2030 the time the wash wheel was started. J78 0010 High-gain, photoelectronic image intensification is applied under J78 0020 conditions of low incident light levels whenever the integration time J78 0030 required by a sensor or recording instrument exceeds the limits of J78 0040 practicability. Examples of such situations are (aerial) night reconnaissance, J78 0050 the recording of radioactive tracers in live body tissues, J78 0060 special radiography in medical or industrial applications, track recording J78 0070 of high energy particles, etc&. High-gain photoelectronic J78 0080 image intensification may be achieved by several methods; some of J78 0090 these are listed below: _(A)_ Cascading single stages by coupling J78 0100 lens systems, _(B)_ Channel-type, secondary emission image intensifier, J78 0110 _(C)_ Image intensifier based upon the "multipactor" J78 0120 principle, _(D)_ Transmission secondary electron multiplication J78 0130 image intensifiers (~TSEM tubes), _(E)_ Cascading of single J78 0140 stages, enclosed in one common envelope. Cascading single stages J78 0150 by is rather inefficient as the lens systems J78 0160 limit the obtainable gain quite severely. Channel-type image intensifiers J78 0170 are capable of achieving high-gain values; suffer, however, J78 0180 from an inherently low resolution. Image intensifiers based upon J78 0190 the multipactor principle appear to hold promise as far as obtainable J78 0200 resolution is concerned. However, the unavoidable low-duty cycle restricts J78 0210 the effective gain. ~TSEM tubes have been constructed showing J78 0220 high gain and resolution. However, electrostatic focus, important J78 0230 for many applications, has not been realized for these devices. Resolution J78 0240 limitations with electrostatic focus might be anticipated due to J78 0250 chromatic aberrations. Furthermore, the thin film dynodes appear to J78 0260 have a natural diameter limitation wherever a mesh support cannot be J78 0270 tolerated. single stages enclosed by a J78 0280 have been constructed with high gain and high resolution. These J78 0290 tubes may differ both in the choice of the electron optical system J78 0300 and in the design of the coupling members. The electron optical system J78 0310 may be either a magnetic or electrostatic one. The magnification J78 0320 may be smaller, equal, or larger than unity. An electrostatic J78 0330 system suffers generally from image plane curvature leading to defocusing J78 0340 in the peripheral image region if a flat viewing screen (or interstage J78 0350 coupler) is utilized, while a magnetic system requires accurate J78 0360 adjustment of the solenoid, which is heavy and bulky. As it will be discussed J78 0370 later, peripheral defocusing can be improved on by utilizing J78 0380 curved fiber couplers. It should be noted, however, that the paraxial J78 0390 resolution is quite similar for both electron optical systems. J78 0400 It is felt that fiber-coupled double- (and multi-) stage image intensifiers J78 0410 will gain considerable importance in the future. Therefore, we J78 0420 shall consider in this paper the theoretical gain and resolution capabilities J78 0430 of such tubes. The luminous efficiency and resolution of single J78 0440 stages, fiber couplers, and finally of the composite tube will be J78 0450 computed. It will be shown theoretically that the high image J78 0460 intensification obtainable with such a tube and contact photography permits J78 0470 the utilization of extremely low incident light levels. The effect J78 0480 of device and quantum noise, associated with such low input levels, J78 0490 will be described. After these theoretical considerations, constructional J78 0500 details of a fiber-coupled, double-stage X-ray image J78 0510 intensifier will be discussed. Measured performance characteristics J78 0520 for this experimental tube will be listed. The conclusion shall J78 0530 be reached that fiber-coupled, double-stage tubes represent a sensible J78 0540 and practical approach to high-gain image intensification. #BASIC J78 0550 DESIGN OF A FIBER-COUPLED, DOUBLE-STAGE IMAGE INTENSIFIER# The tube J78 0560 design which forms the basis of the theoretical discussion shall J78 0570 be described now. The electron optical system (see fig& 14-1) is J78 0580 based in principle on the focusing action of concentric spherical cathode J78 0590 and anode surfaces. The inner [anode] sphere is pierced, elongated J78 0600 into a cup, and terminated by the phosphor screen. The photoelectrons J78 0610 emitted from a circular segment of the cathode sphere are focused J78 0620 by the positive lens action of the two concentric spheres, pass through J78 0630 the [negative] lens formed by the anode aperture, and impinge J78 0640 upon the cathodoluminescent viewing screen. The cylindrical focusing J78 0650 electrode permits adjustment of the positive lens part by varying the J78 0660 focusing potential. The anode potential codetermines the gain, ~, J78 0670 and magnification, ~, of the stage. Both the photocathode J78 0680 and the image plane of such an electrode configuration are curved J78 0690 concave as seen from the anode aperture. The field-flattening property J78 0700 of the biconcave fiber coupler can be utilized to alleviate the J78 0710 peripheral resolution losses resulting with a flat phosphor-screen or J78 0720 coupling member. For the same reason, the output fiber plate is planoconcave, J78 0740 its exposed flat side permitting contact photography if a permanent J78 0750 record is desired. As it will be shown later, the field-flattening J78 0760 properties of the interstage and output fiber coupler comprise indeed J78 0770 the main advantage of such a design. The second photocathode J78 0780 and both phosphor surfaces are deposited on the fiber plate substrates. J78 0790 The photocathode sensitivities ~, phosphor efficiencies J78 0800 ~

, and anode potentials ~ of the individual stages shall J78 0810 be distinguished by means of subscripts /1, and /2, in the text, J78 0820 where required. Both stages are assumed to have unity magnification. J78 0830 #THEORETICAL DISCUSSION OF FLUX GAIN# _FLUX GAIN OF A SINGLE J78 0840 STAGE_ The luminous gain of a single stage with **f (flux gain) is, J78 0850 to a first approximation, given by the product of the photocathode J78 0860 sensitivity ~ (amp/lumen), the anode potential ~ (volts), J78 0870 and the phosphor conversion efficiency ~

(lumen-watt). In J78 0880 general, ~

is a function of ~ and the current density, J78 0890 but it shall here be assumed as a constant. The luminous J78 0900 efficiency **f of a photocathode depends on the maximum radiant J78 0910 sensitivity **f and on the spectral distribution of the incident light J78 0920 **f by the relation: **f where **f **h normalized radiant photocathode J78 0930 sensitivity. **f **h standard visibility function. The luminous flux J78 0940 gain of a single stage is given by: **f If the input light distribution J78 0950 falls beyond the visible range, **f as expected, since **f. Such J78 0960 cases are not considered here. _EFFICIENCY OF FIBER COUPLERS_ J78 0970 The efficiency of fiber optics plates depends on four factors: _(A)_ J78 0980 numerical aperture (N&A&). _(B)_ end (Fresnel reflection) J78 0990 losses (~). J78 1000 _(C)_ internal losses (I&L&). _(D)_ J78 1010 packing efficiency (F&R&). The numerical aperture of the fibers J78 1020 is given by: **f where **f. The angle **f is measured in J78 1030 the medium of index **f. Settled phosphors, as generally used in image J78 1040 intensifiers, have low optical contact with the substrate surface, J78 1050 hence **f shall be assumed. The numerical aperture should be in general J78 1060 close to unity. This condition can be satisfied, e&g&, with **f J78 1070 and **f or equivalent glass combinations. A sufficiently good J78 1080 approximation for determining the end reflection losses ~ J78 1090 can be J78 1100 obtained from the angle independent Fresnel formula: **f For phosphor J78 1110 to fiber and fiber to air surfaces, and assuming **f, we obtain J78 1120 **f percent. This value may be reduced to 4.6 percent by means of a (very J78 1130 thin) glass layer of index 1.5. Hence, the **f factor for the output J78 1140 fiber coupler is **f. As the index of refraction of photosensitive J78 1150 surfaces of the ~SbCs-type lies around 2, the Fresnel losses J78 1160 at the fiber-photocathode interface are about 0.5 percent and the J78 1170 **f factor for the interstage coupler is 0.95. It might be anticipated J78 1180 that multiple coatings will reduce end reflection losses even further. J78 1190 The internal losses are due to absorption and the small but J78 1200 finite losses suffered in the numerous internal reflections due to J78 1210 deviations from the prescribed, cylindrical fiber cross-section and minute J78 1220 imperfections of the core-jacket interface. These losses depend J78 1230 on fiber diameter and length, absorption coefficient, the mean value of J78 1240 the loss per internal reflection and last but not least, on the angular J78 1250 distribution of the incident light. Explicit expressions (integral J78 1260 averages) are given in the literature. Lacking reliable data for some J78 1270 of the variables, we are relying on experimental data of about 20 percent J78 1280 internal losses for 1/4-inch long, small (5-10~|m) diameter J78 1290 fibers. This relatively high value is probably due to the small fiber J78 1300 diameters increasing the number of internal reflections. Since we are J78 1310 considering here relatively small diameter (1-1.5 inches) fiber plates, J78 1320 their average thickness can be kept below 1/4 inch and their internal J78 1330 losses may be assumed as 15 percent (per plate). The packing J78 1340 efficiency, F&R&, of fiber plates did not receive much attention J78 1350 in the literature, probably as it is high for the larger fibers generally J78 1360 used, until rather recently. For circular fibers in a closely J78 1370 packed hexagonal array, the packing efficiency is given by: **f where J78 1380 **f, and 0.906 is the ratio of the area of a circle to that of the J78 1390 circumscribed hexagon. For the small diameter fibers now technically J78 1400 feasible and required for about 100 **f resolution, **f. The cladding J78 1410 thickness is about 0.5~|m, hence, **f and **f. Thus, J78 1420 the efficiency ~|t couplers is given by- **f or approximately J78 1430 50 percent each. It must be remembered that the fiber plates replace J78 1440 a glass window and a (mica) membrane, in addition to an optical J78 1450 output lens system. The efficiency **f of an **f lens at the magnification J78 1460 **f is: **f Neglecting absorption, the end losses of the coupling J78 1470 membrane and the output window **f would be 6 percent and 8 percent. J78 1480 Thus, the combined efficiency of the elements replaced by the two J78 1490 fiber plates (with a combined efficiency of 0.25) is 0.043 or . _GAIN OF FIBER J78 1510 COUPLED IMAGE INTENSIFIERS_ Including the brightness gain **f due J78 1520 to the **f area demagnification, the overall gain of a fiber coupled double J78 1530 stage image intensifier is: **f It is obvious that the careful J78 1540 choice of photocathode which maximizes **f for a given input ~ J78 1550 (in the case of the second stage, for the first phosphor screen emission) J78 1560 is very important. The same consideration should govern the choice J78 1570 of the second-stage phosphor screen for matching with the spectral J78 1580 sensitivity of the ultimate sensor (e&g&, photographic emulsion). J78 1590 We have evaluated the "matching integrals" for two types J78 1600 of photocathodes (~S-11 and ~S-20) and three types of light input. J78 1610 The input light distributions considered are ~P-11 and ~P-20 J78 1620 phosphor emission and the so-called "night light" (N&L&) J78 1630 as given by H&W& Babcock and J& J& Johnson. The integrals J78 1640 (in @ units) are listed in table 14-/1, below: #THEORETICAL J78 1650 DISCUSSION OF PARAXIAL DEVICE RESOLUTION# _RESOLUTION LIMITATIONS J78 1660 IN A SINGLE STAGE_ The resolution limitations for a single stage are J78 1670 given by the inherent resolution of the electron optical system as J78 1680 well as the resolution capabilities of the cathodoluminescent viewing J78 1690 screen. The resolution capabilities of an electrostatic system J78 1700 depend on both the choice of magnification and chromatic aberrations. J78 1720 It has been stated previously that a minifying electrostatic system yields J78 1730 a lower resolution than a magnifying system or a system with unity J78 1740 magnification. Furthermore, the chromatic aberrations depend J78 1750 on the chosen high voltage. In general, a high anode voltage reduces J78 1760 chromatic aberrations and thus increases the obtainable resolution. J78 1770 The luminous gain of the discussed tube was calculated from Eq& J78 1780 (6) for the 16 possible combinations of ~S-11 and ~S-20 photocathodes J78 1790 and ~P-11 and ~P-20 phosphor screens, for night light J78 1800 and ~P-20 light input. (The ~P-20 input is of interest because J78 1810 it corresponds roughly to the light emission of conventional X-ray J78 1820 fluorescent screens). The following efficiencies obtained from ~JEDEC J78 1830 and ~RCA specifications were used: **f The following J78 1840 table (14-/2,) lists the (luminous) gain values computed according J78 1850 to Eq& (6) with **f: The possibility of a space charge J78 1860 blowup of the screen crossover of the elementary electron bundles has J78 1870 been pointed out. It is obvious that such an influence can only be J78 1880 expected in the final stage of an image intensifier at rather high output J78 1890 levels. Space charge influences will also decrease at increased J78 1900 voltages. Electrostatic systems of the pseudo-symmetric type have J78 1910 been tested for resolution capabilities by applying electronography. J78 1920 A resolution of 70-80 line-pairs per millimeter appears to be feasible. J78 1930 The inherent resolution of a cathodoluminescent phosphor J78 1940 screen decreases with increasingly aggregate thickness (with increasing J78 1950 anode voltage), decreases with decreasing porosity (thus the advantage J78 1960 of cathodophoretic phosphor deposition) and might be impaired by the J78 1970 normally used aluminum mirror. Thus, in general, elementary light J78 1980 optical effects, light scatter, and electron scatter determine the obtainable J78 1990 resolution limit. It should be noted that photoluminescence, J78 2000 due to "Bremsstrahlung" generated within the viewing screen by electron J78 2010 impact, appears to be important only if anode voltages in excess J78 2020 of 30 ~KV are utilized. It has been stated that settled cathodoluminescent J78 2030 phosphor screens may have a limiting resolution of 60 **f J78 2040 at high voltage values of approximately 20 ~KV. For the further discussion, J78 2050 we shall thus assume an electron optical resolution of 80 **f J78 2060 and phosphor screen resolution of 60 **f. J79 0010 The set of all decisions is called the operating policy or, more simply, J79 0020 the policy. An optimal policy is one which in some sense gets the J79 0030 best out of the process as a whole by maximizing the value of the product. J79 0040 There are thus three components to an optimal design problem: J79 0050 _(1)_ The specification of the state of the process stream; _(2)_ J79 0060 The specification of the operating variables and the transformation J79 0070 they effect; _(3)_ The specification of the objective function J79 0080 of which the optimization is desired. For a chemical process J79 0090 the J79 0100 first of these might involve the concentrations of the different chemical J79 0110 species, and the temperature or pressure of the stream. For the J79 0120 second we might have to choose the volume of reactor or amount of cooling J79 0130 to be supplied; the way in which the transformation of state depends J79 0140 on the operating variables for the main types of reactors is discussed J79 0150 in the next chapter. The objective function is some measure of J79 0160 the increase in value of the stream by processing; it is the subject J79 0170 of Chapter 4. The essential characteristic of an optimal policy J79 0180 when the state of the stream is transformed in a sequence of stages J79 0190 with no feedback was first isolated by Bellman. He recognized that J79 0200 whatever transformation may be effected in the first stage of an ~-stage J79 0220 process, the remaining stages must use an optimal **f-stage policy J79 0230 with respect to the state resulting from the first stage, if there J79 0240 is to be any chance of optimizing the complete process. Moreover, by J79 0250 systematically varying the operating conditions in the first stage and J79 0260 always using the optimal **f-stage policy for the remaining stages, J79 0270 we shall eventually find the optimal policy for all ~R stages. Proceeding J79 0280 in this way, from one to two and from two to three stages, we J79 0290 may gradually build up the policy for any number. At each step of the J79 0300 calculation the operating variables of only one stage need be varied. J79 0310 To see how important this economy is, let us suppose that there J79 0320 are ~ operating variables at each stage and that the state J79 0330 is specified by ~ variables; then the search for the maximum J79 0340 at any one stage will require a number of operations of order **f (where J79 0350 ~ is some number not unreasonably large). To proceed from J79 0360 one stage to the next a sufficient number of feed states must be investigated J79 0370 to allow of interpolation; this number will be of the order J79 0380 of **f. If, however, we are seeking the optimal ~-stage policy J79 0390 for a given feed state, only one search for a maximum is required at J79 0400 the final step. Thus a number of operations of the order of **f are J79 0410 required. If all the operating variables were varied simultaneously, J79 0420 **f operations would be required to do the same job, and as ~ J79 0430 increases this increases very much more rapidly than the number of operations J79 0440 required by the dynamic program. But even more important than J79 0450 this is the fact that the direct search by simultaneously varying all J79 0460 operating conditions has produced only one optimal policy, namely, that J79 0470 for the given feed state and ~ stages. In contrast, the dynamic J79 0480 program produces this policy and a whole family of policies for J79 0490 any smaller number of stages. If the problem is enlarged to require J79 0500 a complete coverage of feed states, **f operations are needed by the dynamic J79 0510 program and **f by the direct search. But **f is vastly larger J79 0520 than ~. No optimism is more baseless than that which believes J79 0530 that the high speed of modern digital computers allows for use of the J79 0540 crudest of methods in searching out a result. Suppose that **f, and J79 0550 that the average operation requires only **f sec&. Then the dynamic J79 0560 program would require about a minute whereas the direct search would J79 0565 take J79 0570 more than three millennia! The principle of optimality thus J79 0580 brings a vital organization into the search for the optimal policy of J79 0590 a multistage decision process. Bellman (1957) has annunciated in the J79 0600 following terms: "An optimal policy has the property that J79 0610 whatever the initial state and initial decision are, the remaining decisions J79 0620 must constitute an optimal policy with respect to the state resulting J79 0630 from the first decision". This is the principle which J79 0640 we will invoke in every case to set up a functional equation. It appears J79 0650 in a form that is admirably suited to the powers of the digital J79 0660 computer. At the same time, every device that can be employed to reduce J79 0670 the number of variables is of the greatest value, and it is one of J79 0680 the attractive features of dynamic programming that room is left for J79 0690 ingenuity in using the special features of the problem to this end. #2.2 J79 0700 THE DISCRETE DETERMINISTIC PROCESS# Consider the process illustrated J79 0710 in Fig& 2.1, consisting of ~ distinct stages. These J79 0720 will be numbered in the direction opposite to the flow of the process J79 0730 stream, so that stage ~ is the ~th stage from the end. J79 0740 Let the state of the stream leaving stage ~ be denoted by a vector J79 0750 **f and the operating variables of stage ~ by **f. Thus J79 0760 **f denotes the state of the feed to the ~-stage process, and J79 0770 **f the state of the product from the last stage. Each stage transforms J79 0780 the state **f of its feed to the state **f in a way that depends on J79 0790 the operating variables **f. We write this **f. This transformation J79 0800 is uniquely determined by **f and we therefore speak of the process J79 0810 as deterministic. In practical situations there will be restrictions J79 0820 on the admissible operating conditions, and we regard the vectors as belonging J79 0830 to a fixed and bounded set ~. The set of vectors **f J79 0840 constitutes the operating policy or, more briefly, the policy, and a J79 0850 policy is admissible if all the **f belong to ~. When the policy J79 0860 has been chosen the state of the product can be obtained from the J79 0870 state of the feed by repeated application of the transformation (1); J79 0880 thus **f. The objective function, which is to be maximized, is some J79 0890 function, usually piecewise continuous, of the product state. Let this J79 0900 be denoted by **f. An optimal policy is an admissible policy J79 0910 **f which maximizes the objective function ~

. The policy may J79 0920 not be unique but the maximum value of ~

certainly is, and once J79 0930 the policy is specified this maximum can be calculated by (2) and (3) J79 0940 as a function of the feed state **f. Let **f where the maximization J79 0950 is over all admissible policies **f. When it is necessary to be specific J79 0960 we say that the optimal policy is an optimal ~-stage policy J79 0970 with respect to the feed state **f. For any choice of admissible J79 0980 policy **f in the first stage, the state of the stream leaving J79 0990 this stage is given by **f. This is the feed state of the subsequent J79 1000 **f stages which, according to the principle of optimality, must use an J79 1010 optimal **f-stage policy with respect to this state. This will result J79 1020 in a value **f of the objective function, and when **f is chosen correctly J79 1030 this will give **f, the maximum of the objective function. Thus J79 1035 **f J79 1040 where the maximization is over all admissible policies **f, and **f J79 1050 is related to **f by (5). The sequence of equations (6) can be solved J79 1060 for **f when **f is known, and clearly **f, the maximization being J79 1070 over all admissible **f. The set of equations (5), (6), and the J79 1080 starting equation (7) is of a recursive type well suited to programming J79 1090 on the digital computer. In finding the optimal ~-stage policy J79 1100 from that of **f stages, only the function **f is needed. When J79 1110 **f has been found it may be transferred into the storage location of J79 1120 **f and the whole calculation repeated. We also see how the results J79 1130 may be presented, although if ~, the number of state variables, J79 1140 is large any tabulation will become cumbersome. A table or set of tables J79 1150 may be set out as in Table 2.1. To extract the optimal J79 1160 ~-stage policy with respect to the feed state **f, we enter section J79 1170 ~ of this table at the state **f and find immediately J79 1180 from the last column the maximum value of the objective function. In J79 1190 the third column is given the optimal policy for stage ~, and J79 1200 in the fourth, the resulting state of the stream when this policy is used. J79 1210 Since by the principle of optimality the remaining stages use an J79 1220 optimal **f-stage policy with respect to **f, we may enter section **f J79 1230 of the table at this state **f and read off the optimal policy for stage J79 1240 **f and the resulting state **f. Proceeding in this way up the table J79 1250 we extract the complete optimal policy and, if it is desired, we J79 1260 can check on **f by evaluating **f at the last stage. It may be J79 1270 that the objective function depends not only on **f but also on **f, J79 1280 as when the cost of the operating policy is considered. A moment's J79 1290 reflection shows that the above algorithm and presentation work equally J79 1300 well in this case. A form of objective function that we shall often J79 1310 have occasion to consider is **f. Here ~({p}) represents J79 1315 the J79 1320 value of the stream in state ~{p} and ~({q}) the cost J79 1330 of operating the stage with conditions ~{q}. Hence ~

J79 1340 is the increase in value of the stream minus the cost of operation, that J79 1350 is, the net profit. If **f denotes the net profit from stage ~ J79 1360 and **f then the principle of optimality gives **f This sequence J79 1370 of equations may be started with the remark that with no process **f there J79 1380 is no profit, i&e&, **f. #2.3 THE DISCRETE STOCHASTIC PROCESS# J79 1390 The process in which the outcome of any one stage is known only J79 1400 statistically is also of interest, although for chemical reactor design J79 1410 it is not as important as the deterministic process. In this case J79 1420 the stage ~ operating with conditions **f transforms the state J79 1430 of the stream from **f to **f, but only the probability distribution of J79 1440 **f is known. This is specified by a distribution function **f such J79 1450 that the probability that **f lies in some region ~ of the stage J79 1460 space is **f. We cannot now speak of maximizing the value J79 1470 of the objective function, since this function is now known only in a J79 1480 probabilistic sense. We can, however, maximize its expected value. For J79 1490 a single stage we may define **f where the maximization is by choice J79 1500 of **f. We thus have an optimal policy which maximizes the expected J79 1510 value of the objective function for a given **f. If we consider a process J79 1520 in which the outcome of one stage is known before passage to the J79 1530 next, then the principle of optimality shows that the policy in subsequent J79 1540 stages should be optimal with respect to the outcome of the first. J79 1550 Then **f, the maximization being over all admissible **f and the integration J79 1560 over the whole of stage space. The type of presentation J79 1570 of results used in the deterministic process may be used here, except J79 1580 that now the fourth column is redundant. The third column gives J79 1590 the optimal policy, but we must wait to see the outcome of stage ~ J79 1600 and enter the preceding section of the table at this state. The J79 1610 discussion of the optimal policy when the outcome of one stage is not J79 1620 known before passing to the next is a very much more difficult matter. J79 1630 #2.4 THE CONTINUOUS DETERMINISTIC PROCESS# In many cases it is not J79 1640 possible to divide the process into a finite number of discrete stages, J79 1650 since the state of the stream is transformed in a continuous manner J79 1660 through the process. We replace ~, the number of the stage J79 1670 from the end of the process, by ~, a continuous variable which J79 1680 measures the "distance" of the point considered from the end of the J79 1690 process. The word is used here in a rather general sense; J79 1700 it may in fact be the time that will elapse before the end of the J79 1710 process. If ~ is the total "length" of the process, its J79 1720 feed state may be denoted by a vector ~{p}() and the product J79 1730 state by ~{p}(O). ~{p}() denotes the state at J79 1740 any point ~ and ~{q}() the vector of operating variables J79 1750 there. J80 0010 A gyro-stabilized platform system, using restrained gyros, is J80 0020 well suited for automatic leveling because of the characteristics of the J80 0030 gyro-platform-servo combination. The restrained gyro-stabilized platform J80 0040 with reasonable response characteristics operates with an approximate J80 0050 equation of motion, neglecting transient effects, as follows: J80 0060 **f where ~ is a torque applied about the output axis of the J80 0070 controlling gyro. The platform angle ~|f is the angle about J80 0080 which the gyro is controlling. This is normally termed the gyro input J80 0090 axis, 90` away from the gyro output or ~|j axis. The gyro angular J80 0100 momentum is defined by ~. Thus if the gyro and platform-controller J80 0110 combination maintains the platform with zero angular J80 0120 deviation about the ~|f axis, the system can be rotated with an J80 0130 angular velocity **f if a torque is supplied to the gyro output axis ~|j. J80 0140 It is assumed that the gyros are designed with electrical torquers J80 0150 so that a torque can be applied about their output axes. J80 0160 In the system shown in Fig& 7-1, the accelerometer output is amplified J80 0170 and the resulting voltage is applied to the gyro output-axis torquer. J80 0180 This torque causes the entire system to rotate about the ~|f J80 0190 axis, since the response to **f. If the polarities are correct, the J80 0200 platform rotates in such a direction as to reduce the accelerometer output J80 0210 to zero. As the accelerometer output is decreasing, the torque applied J80 0220 to the gyro output axis decreases and, therefore, the rate decreases. J80 0230 Finally, when the accelerometer output is zero, the entire system J80 0240 remains stationary, and the platform is, by definition, leveled. J80 0250 A mathematical block diagram for the leveling system is shown in J80 0260 Fig& 7-2. The platform is initially off level by the angle ~|f. J80 0270 The angle generated by the platform servo ~|f multiplied by ~ J80 0280 is the effective acceleration acting on the accelerometer. **f J80 0290 is the scale factor of the accelerometer (**f). The voltage **f is amplified J80 0300 by **f and applied to the gyro torquer with scale factor **f. J80 0310 Finally, the gyro-stabilized platform characteristic is represented J80 0320 by **f The system as indicated in Fig& 7-2 is fundamental and simple J80 0330 because the transient effects of both the platform servo and the J80 0340 accelerometer have been neglected. With these factors included, an upper J80 0350 limit is placed on the allowable loop gain by stability considerations. J80 0360 In this type of system, a high loop gain is desirable because it J80 0370 provides a fast response time. When the frequency response characteristics J80 0380 of practical components are considered, their effect on J80 0390 stability does not present the most serious limit on the system loop J80 0400 gain. The time required for the system to reach a level position is approximately J80 0410 inversely proportional to the servo loop gain. In addition, J80 0420 the cutoff frequency for input accelerations is approximately proportional J80 0430 to the servo loop gain; i&e&, high loop gain causes the J80 0440 system to respond to horizontal components of accelerations. This problem J80 0450 usually determines the lower limit of loop gain rather than response J80 0460 time. It must be noticed in Fig& 7-1 that the accelerometer J80 0470 responds to any input acceleration. The equation relating input J80 0480 acceleration to output platform angle is **f In practice, the preflight J80 0490 leveling process takes place with the system mounted in the airframe. J80 0500 When the system is arranged for automatic leveling, the platform J80 0510 angles respond to any horizontal components of acceleration acting on J80 0520 the accelerometers. There are many such components of acceleration present J80 0530 due to the effect of wind gusts, engine noise, turbulence around J80 0540 the vehicle, etc&. One of the greatest problems associated with automatic J80 0550 leveling is establishing a true level in the presence of high-level J80 0560 acceleration noise. One solution to the problem is to operate J80 0570 with a low loop gain and to include low-pass filters. This technique J80 0580 causes the system to respond only to low frequency acceleration components J80 0590 such as the platform tilt. Since a lower loop gain and low-pass filtering J80 0600 increases the response time, a practical compromise must be reached. J80 0610 One of the most desirable solutions is achieved by the J80 0620 use of a non-linear amplifier for **f. The amplifier is designed so J80 0630 that its gain is large for accelerometer signals above a certain threshold J80 0640 level. Below this level, the amplifier gain **f is proportional J80 0650 and is of small value, in order to provide adequate noise filtering. The J80 0660 effect is that the platform returns from an off-level position at J80 0670 a rapid rate until it is nearly level, at which point the platform is J80 0680 controlled by a proportional servo with low enough frequency response J80 0690 so that the noise has little effect on the leveling process. When J80 0700 the system is on automatic leveling, the gyro drift is canceled by J80 0710 the output of the leveling system (amplifier **f). The platform actually J80 0720 tilts off level so that the accelerometer output, when amplified J80 0730 by **f, will supply the correct current to the gyro torquer to cancel J80 0740 the gyro drift. The amount of platform dip required depends upon the J80 0750 scale factors of the system. #7-3. PRACTICAL LEVELING J80 0755 CONSIDERATIONS.# J80 0760 The automatic leveling system described in this section is readily J80 0770 adaptable to a gyro-stabilized platform consisting of three integrating J80 0780 gyros. The system requires some switching of flight equipment circuits. J80 0790 However, the leveling operation can be maintained and controlled J80 0800 remotely with no mechanical or optical contact with the platform. J80 0810 This leveling system will hold the platform on-level, automatically, J80 0820 as long as the system is actuated. A useful by-product of this J80 0830 system is that the information necessary to set the gyro drift biases J80 0840 is available from the currents necessary to hold the system in level. J80 0850 The leveling process can be accomplished manually, and the results J80 0860 are as satisfactory as those obtained with automatic equipment. The J80 0870 process consists in turning the platform manually until the outputs J80 0880 of both accelerometers are zero. The turning is accomplished by applying J80 0890 voltage to the gyro torquers described above. In brief, the human J80 0900 replaces amplifier **f in Figs& 7-1 and 7-2. Manual leveling J80 0910 requires an appropriate display of the accelerometer outputs. If J80 0920 high accuracy is required in preflight leveling, it is usually necessary J80 0930 to integrate or doubly integrate the accelerometer outputs (this also J80 0940 minimizes the noise problem). With integration, the effect of a small J80 0950 acceleration (or small platform tilt angle) can be seen after a time. J80 0960 However, skill is required on the part of an operator to level a J80 0970 platform to any degree of accuracy. Also, it requires more time as J80 0980 compared to the automatic approach. Manual leveling is inconvenient J80 0990 if the platform must be maintained accurately level for any prolonged J80 1000 period of time. The operator must continually supply the correct J80 1010 amount of turning current to the gyro torquers so that the effect of J80 1020 gyro drift is canceled. This process is especially difficult since gyro J80 1030 drifting is typically random. #7-4. PLATFORM HEADING.# Platform J80 1040 heading consists of orienting the sensitive axis of the accelerometers J80 1050 parallel to the desired coordinate system of the navigator. In simpler J80 1060 terms, it amounts to pointing the platform in the proper direction. J80 1070 For purely inertial navigators, two techniques are available J80 1080 to accomplish the platform heading: _1._ Use of external or J80 1090 surveying equipment to establish proper heading. _2._ Use of the J80 1100 characteristics of the platform components for an indication of true J80 1110 heading The choice of the heading technique is dependent upon the accuracy J80 1120 requirements, field conditions, and the time available to accomplish J80 1130 the heading. #7-5. EXTERNAL DETERMINATION OF HEADING- SURVEYING J80 1140 TECHNIQUE.# With the gyro-stabilized platform leveled, it can be J80 1150 headed in the proper direction by using surveying techniques. The platform J80 1160 accelerometers must be slightly modified for this procedure. Before J80 1170 the accelerometers are mounted on the platform, the direction of J80 1180 their sensitive axis must be accurately determined. A mirror is mounted J80 1190 on each accelerometer so that the plane of the mirror is perpendicular J80 1200 to the sensitive axis of the unit. _TRANSIT._ A precision transit J80 1210 is set up so that it is aligned with respect to true north. This J80 1220 can be done to a high degree of accuracy by existing surveying techniques. J80 1230 With the transit set up, a mirror on one of the accelerometers J80 1240 is sighted and the platform is turned until it is aligned. The J80 1250 sighting procedure includes the use of a fixture for the transit to J80 1260 project a beam of light, which is darkened by crossed hairs, on the accelerometer J80 1270 mirror. When the platform is aligned, the reflected image J80 1280 of the crossed hairs can be seen exactly superimposed upon the original J80 1290 crossed hairs. The images can easily be aligned with a high degree J80 1300 of accuracy. The platform is turned as required by supplying currents J80 1310 to the appropriate gyro torquers. Although this technique is J80 1320 simple and satisfactory, one practical difficulty does exist: the direction J80 1330 of true north must be known for each launch point. However, J80 1340 this difficulty is not too serious if it is realized that a surveying J80 1350 team can establish a true north base line with a few days' work. J80 1360 In many installations, the inertial platform is raised off the ground J80 1370 a considerable height when it is mounted in the vehicle before flight. J80 1380 With this situation, it is difficult to sight in on the platform with J80 1390 surveying equipment. J80 1400 If the platform is not too high off the ground, J80 1410 a transit can be mounted on a stand to raise it up to the platform. J80 1420 Obviously, the heading accuracy is lessened by such techniques since J80 1430 errors are introduced because of motion of the stand. _AUTOCOLLIMATOR._ J80 1440 The transit can be replaced by an autocollimator. This instrument J80 1450 provides an electrical signal proportional to the angular deviations J80 1460 of the platform and can be used to automatically hold the platform J80 1470 on true heading. The electrical signal from the autocollimator is amplified J80 1480 and supplied to the ~-gyro torquer. If the polarity is J80 1490 correct, the platform will turn until the heading error angle is zero. J80 1500 Information is also available from this autocollimator system to set J80 1510 the drift bias for the ~-axis gyro. If the ~ gyro J80 1520 is drifting, a current generated by the autocollimator is delivered to J80 1530 the gyro torquer to cancel the drift. If the drift error is systematic, J80 1540 it can be canceled with a bias circuit which can be arranged and adjusted J80 1550 to supply the required compensating current. _ELECTRICAL PICKOFFS._ J80 1560 It is possible to locate an angular electrical pickoff, which J80 1570 will indicate the angular deviation between the true heading direction J80 1580 and the platform. Essentially, the stator or reference portion of J80 1590 the pickoff is established with respect to the true heading direction, J80 1600 and the platform is turned either manually or automatically until the J80 1610 angular electrical pickoff signal is reduced to zero. #7-6. GYROCOMPASS J80 1620 HEADING.# Gyrocompass alignment is an automatic heading system J80 1630 which depends upon the characteristic of one gyro to establish true J80 1640 heading. For the case of a purely inertial autonavigator consisting of J80 1650 three restrained gyros, a coordinate system is used where the sensitive J80 1660 axis of the ~ accelerometer is parallel to the east-west direction J80 1670 at the base point, and the ~ accelerometer sensitive J80 1680 axis is parallel to the north-south direction at the base point. The J80 1690 accelerometers are mounted rigidly on the platform. Thus, if one accelerometer J80 1700 is properly aligned, the other is also. The input axis of the J80 1710 appropriate gyros are parallel to the sensitive direction of the accelerometers. J80 1720 Figure 7-3 shows a platform system with the gyro J80 1730 vectors arranged as described above. The platform is leveled and properly J80 1740 headed, so that the ~-gyro input axis is parallel to the J80 1750 east-west direction and the ~-gyro input axis is parallel to J80 1760 the north-south direction. The input axis of the ~ gyro, J80 1770 when pointing in the east-west direction, is always perpendicular to J80 1780 the spin axis of earth. If the platform is not properly headed, the J80 1790 ~-gyro input axis will see a component of the earth's rotation. J80 1800 The sensing of this rotation by the ~ gyro can be utilized J80 1810 to direct the platform into proper heading. In Fig& 7-4, J80 1820 the input axis of the three-axis platform is shown at some point on the J80 1830 earth. The point is at a latitude ~|l, and the platform is at J80 1840 an error in heading east. The earth is spinning at an angular velocity J80 1850 ~\q equal to one revolution per 24 hr&. When the platform is J80 1860 level, ~|e is a rotation about the ~ axis of the platform J80 1870 **f. Since the earth is rotating and the unleveled gyro-stabilized platform J80 1880 is fixed with respect to a reference in space, an observer on J80 1890 the earth will see the platform rotating (with respect to the earth).