J01 0010 1 #1. INTRODUCTION# J01 0010 3 IT HAS recently become practical to use the radio emission J01 0020 3 of the moon and planets as a new source of information J01 0030 1 about these bodies and their atmospheres. The results J01 0030 9 of present observations of the thermal radio emission J01 0040 6 of the moon are consistent with the very low thermal J01 0050 5 conductivity of the surface layer which was derived J01 0060 1 from the variation in the infrared emission during J01 0060 9 eclipses (e&g&, Garstung, 1958). When sufficiently J01 0070 5 accurate and complete measurements are available, it J01 0080 4 will be possible to set limits on the thermal and electrical J01 0090 3 characteristics of the surface and subsurface materials J01 0100 1 of the moon. J01 0100 4 Observations of the radio emission of a planet which J01 0110 2 has an extensive atmosphere will probe the atmosphere J01 0110 10 to a greater extent than those using shorter wave lengths J01 0120 8 and should in some cases give otherwise unobtainable J01 0130 4 information about the characteristics of the solid J01 0140 4 surface. Radio observations of Venus and Jupiter have J01 0150 1 already supplied unexpected experimental data on the J01 0150 8 physical conditions of these planets. The observed J01 0160 6 intensity of the radio emission of Venus is much higher J01 0170 5 than the expected thermal intensity, although the spectrum J01 0180 2 indicated by measurements at wave lengths near 3 ~cm J01 0180 11 and 1o ~cm is like that of a black body at about 6oo` J01 0190 13 ~K. This result suggests a very high temperature at J01 0210 7 the solid surface of the planet, although there is J01 0220 4 the possibility that the observed radiation may be J01 0240 1 a combination of both thermal and non-thermal components J01 0240 10 and that the observed spectrum is that of a black body J01 0250 9 merely by coincidence. For the case of Jupiter, the J01 0260 6 radio emission spectrum is definitely not like the J01 0270 2 spectrum of a black-body radiator, and it seems very J01 0270 12 likely that the radiation reaching the earth is a combination J01 0280 9 of thermal radiation from the atmosphere and non-thermal J01 0290 7 components. J01 0290 8 Of the remaining planets, only Mars and Saturn have J01 0300 7 been observed as radio sources, and not very much information J01 0310 6 is available. Mars has been observed twice at about J01 0320 4 3-~cm wave length, and the intensity of the observed J01 0330 1 radiation is in reasonable agreement with the thermal J01 0330 9 radiation which might be predicted on the basis of J01 0340 8 the known temperature of Mars. The low intensity of J01 0350 5 the radiation from Saturn has limited observations, J01 0360 1 but again the measured radiation seems to be consistent J01 0360 10 with a thermal origin. No attempts to measure the radio J01 0370 8 emission of the remaining planets have been reported, J01 0380 5 and, because of their distances, small diameters, or J01 0390 3 low temperatures, the thermal radiation at radio wave J01 0390 11 lengths reaching the earth from these sources is expected J01 0400 9 to be of very low intensity. In spite of this, the J01 0410 8 very large radio reflectors and improved amplifying J01 0420 3 techniques which are now becoming available should J01 0430 1 make it possible to observe the radio emission of most J01 0430 11 of the planets in a few years. J01 0440 5 The study of the radio emission of the moon and J01 0450 2 planets began with the detection of the thermal radiation J01 0450 11 of the moon at 1.25-~cm wave length by Dicke and Beringer J01 0460 10 (1946). This was followed by a comprehensive series J01 0470 6 of observations of the 1.25-~cm emission of the moon J01 0490 5 over three lunar cycles by Piddington and Minnett (1949). J01 0500 2 They deduced from their measurements that the radio J01 0500 10 emission from the whole disk of the moon varied during J01 0510 10 a lunation in a roughly sinusoidal fashion; that the J01 0520 5 amplitude of the variation was considerably less than J01 0530 3 the amplitude of the variation in the infrared emission J01 0540 1 as measured by Pettit and Nicholson (1930) and Pettit J01 0540 10 (1935); and that the maximum of the radio emission J01 0550 9 came about 3-1/2 days after Full Moon, which is again J01 0570 5 in contrast to the infrared emission, which reaches J01 0580 1 its maximum at Full Moon. Piddington and Minnett explained J01 0590 1 their observations by pointing out that rocklike materials J01 0590 9 which are likely to make up the surface of the moon J01 0600 9 would be partially transparent to radio waves, although J01 0610 5 opaque to infrared radiation. The infrared emission J01 0620 2 could then be assumed to originate at the surface of J01 0620 12 the moon, while the radio emission originates at some J01 0630 8 depth beneath the surface, where the temperature variation J01 0640 5 due to solar radiation is reduced in amplitude and J01 0650 4 shifted in phase. Since the absorption of radio waves J01 0660 1 in rocklike material varies with wave length, it should J01 0660 10 be possible to sample the temperature variation at J01 0670 7 different depths beneath the surface and possibly detect J01 0680 4 changes in the structure or composition of the lunar J01 0690 2 surface material. J01 0690 4 The radio emission of a planet was first detected J01 0700 3 in 1955, when Burke and Franklin (1955) identified J01 0700 11 the origin of interference-like radio noise on their J01 0710 9 records at about 15 meters wave length as emission J01 0720 6 from Jupiter. This sporadic type of planetary radiation J01 0730 3 is discussed by Burke (chap& 13) and Gallet (chap& J01 0740 1 14). Steady radiation which was presumably of thermal J01 0740 9 origin was observed from Venus at 3.15 and 9.4 ~cm, J01 0750 9 and from Mars and Jupiter at 3.15 ~cm in 1956 (Mayer, J01 0760 7 McCullough, and Sloanaker, 1958a, b, c), and from Saturn J01 0770 6 at 3.75 ~cm in 1957 (Drake and Ewen, 1958). In the J01 0780 4 relatively short time since these early observations, J01 0800 1 Venus has been observed at additional wave lengths J01 0800 9 in the range from 0.8 to 10.2 ~cm, and Jupiter has J01 0810 8 been observed over the wave-length range from 3.03 J01 0820 4 to 68 ~cm. J01 0820 7 The observable characteristics of planetary radio J01 0830 3 radiation are the intensity, the polarization, and J01 0830 10 the direction of arrival of the waves. The maximum J01 0840 9 angular diameter of any planetary disk as observed J01 0850 6 from the earth is about 1 minute of arc. This is much J01 0860 4 smaller than the highest resolution of even the very J01 0870 1 large reflectors now under construction, and consequently J01 0870 8 the radio emission of different regions of the disk J01 0880 7 cannot be resolved. It should be possible, however, J01 0890 4 to put useful limits on the diameters of the radio J01 0900 1 sources by observing with large reflectors or with J01 0900 9 interferometers. Measurements of polarization are presently J01 0910 6 limited by apparatus sensitivity and will remain difficult J01 0920 5 because of the low intensity of the planetary radiation J01 0930 3 at the earth. There have been few measurements specifically J01 0940 1 for the determination of the polarization of planetary J01 0940 9 radiation. The measurements made with the ~NRL 50-foot J01 0950 9 reflector, which is altitude-azimuth-mounted, would J01 0960 7 have shown a systematic change with local hour angle J01 0970 5 in the measured intensities of Venus and Jupiter if J01 0980 2 a substantial part of the radiation had been linearly J01 0980 11 polarized. Recent interferometer measurements (Radhakrishnan J01 0990 5 and Roberts, 1960) have shown the 960-~Mc emission J01 1000 8 of Jupiter to be partially polarized and to originate J01 1020 4 in a region of larger diameter than the visible disk. J01 1030 2 Other than this very significant result, most of the J01 1030 11 information now available about the radio emission J01 1040 7 of the planets is restricted to the intensity of the J01 1050 6 radiation. J01 1050 7 The concept of apparent black-body temperature is J01 1060 5 used to describe the radiation received from the moon J01 1070 3 and the planets. The received radiation is compared J01 1070 11 with the radiation from a hypothetical black body which J01 1080 8 subtends the same solid angle as the visible disk of J01 1090 7 the planet. The apparent black-body disk temperature J01 1100 3 is the temperature which must be assumed for the black J01 1110 2 body in order that the intensity of its radiation should J01 1110 12 equal that of the observed radiation. The use of this J01 1120 9 concept does not specify the origin of the radiation, J01 1130 6 and only if the planet really radiates as a black body, J01 1140 5 will the apparent black-body temperature correspond J01 1150 1 to the physical temperature of the emitting material. J01 1150 9 The radio radiation of the sun which is reflected J01 1160 8 from the moon and planets should be negligible compared J01 1170 4 with their thermal emission at centimeter wave lengths, J01 1180 3 except possibly at times of exceptional outbursts of J01 1180 11 solar radio noise. The quiescent level of centimeter J01 1190 8 wave-length solar radiation would increase the average J01 1200 5 disk brightness temperature by less than 1` ~K. At J01 1210 5 meter wave lengths and increase of the order of 10` J01 1220 2 ~K in the average disk temperatures of the nearer planets J01 1220 12 would be expected. Therefore, neglecting the extreme J01 1240 7 outbursts, reflected solar radiation is not expected J01 1250 6 to cause sizable errors in the measurements of planetary J01 1260 3 radiation in the centimeter- and decimeter-wave-length J01 1270 1 range. J01 1270 2 #2. THE MOON# J01 1270 5 _2.1 OBSERVATIONS_ J01 1270 7 Radio observations of the moon have been made over J01 1280 8 the range of wave lengths from 4.3 ~mm to 75 ~cm, and J01 1290 5 the results are summarized in Table 1. Observations J01 1300 1 have also been made at 1.5 ~mm using optical techniques J01 1300 11 (Sinton, 1955, 1956,; see also chap& 11). Not all the J01 1310 10 observers have used the same procedures or made the J01 1320 7 same assumptions about the lunar brightness distribution J01 1330 2 when reducing the data, and this, together with differences J01 1340 2 in the methods of calibrating the antennae and receivers, J01 1350 1 must account for much of the disagreement in the measured J01 1350 11 radio brightness temperatures. J01 1360 2 In the observations at 4.3 ~mm (Coates, 1959a), J01 1370 2 the diameter of the antenna beam, 6'.7, was small enough J01 1380 1 to allow resolution of some of the larger features J01 1380 10 of the lunar surface, and contour diagrams have been J01 1390 6 made of the lunar brightness distribution at three J01 1400 3 lunar phases. These observations indicate that the J01 1400 10 lunar maria heat up more rapidly and also cool off J01 1410 10 more rapidly than do the mountainous regions. Mare J01 1420 5 Imbrium seems to be an exception and remains cooler J01 1430 3 than the regions which surround it. These contour diagrams J01 1440 1 also suggest a rather rapid falloff in the radio brightness J01 1440 11 with latitude. J01 1450 2 Very recently, observations have been made at 8-~mm J01 1460 1 wave length with a reflector 22 meters in diameter J01 1460 10 with a resultant beam width of only about 2' (Amenitskii, J01 1470 8 Noskova, and Salomonovich, 1960). The constant-temperature J01 1480 5 contours are much smoother than those observed at 4.3 J01 1490 4 ~mm by Coates (1959a), and apparently the emission J01 1500 1 at 8 ~mm is not nearly so sensitive to differences J01 1500 11 in surface features. Such high-resolution observations J01 1510 6 as these are needed at several wave lengths in order J01 1520 5 that the radio emission of the moon can be properly J01 1540 1 interpreted. J01 1540 2 The observations of Mayer, McCullough, and Sloanaker J01 1550 3 at 3.15 ~cm and of Sloanaker at 10.3 ~cm have not previously J01 1560 1 been published and will be briefly described. Measurements J01 1570 1 at 3.15 ~cm were obtained on 11 days spread over the J01 1570 12 interval May 3 to June 19, 1956, using the 50-foot J01 1580 9 reflector at the U& S& Naval Research Laboratory in J01 1590 4 Washington. The half-intensity diameter of the antenna J01 1600 4 beam was about 9', and the angle subtended by the moon J01 1610 1 included the entire main beam and part of the first J01 1610 11 side lobes. The antenna patterns and the power gain J01 1620 7 at the peak of the beam were both measured (Mayer, J01 1630 3 McCullough, and Sloanaker, 1958b), so that the absolute J01 1650 2 power sensitivity of the antenna beam over the solid J01 1650 11 angle of the moon was known. The ratio of the measured J01 1660 11 antenna temperature change during a drift scan across J01 1670 7 the moon to the average brightness temperature of the J01 1680 3 moon over the antenna beam (assuming that the brightness J01 1690 1 temperature of the sky is negligible) was found, by J01 1690 10 graphical integration of the antenna directivity diagram, J01 1710 6 to be 0.85. The measured brightness temperature is J01 1720 4 a good approximation to the brightness temperature J01 1730 1 at the center of the lunar disk because of the narrow J01 1730 12 antenna beam and because the temperature distribution J01 1740 7 over the central portion of the moon's disk is nearly J01 1750 7 uniform. The result of the observations is (in ` ~K) J01 1760 5 **f where the phase angle, |qt, is measured in degrees J01 1770 3 from new moon and the probable errors include absolute J01 1780 1 as well as relative errors. This result is plotted J01 1780 10 along with the 8.6-~mm observations of Gibson (1958) J01 1790 5 in figure 1, a. The variation in the 3-~cm emission J01 1810 6 of the moon during a lunation is very much less than J01 1820 3 the variation in the 8.6-~mm emission, as would be J01 1820 13 expected from the explanation of Piddington and Minnett J01 1830 8 (1949). In the discussion which follows, the time average J01 1840 6 of the radio emission will be referred to as the constant J01 1850 6 component, and the superimposed periodic variation J01 1860 2 will be called the variable component. J01 1860 8 The 10.3-~cm observation of Sloanaker was made on J01 1870 7 May 20, 1958, using the 84-foot reflector at the Maryland J01 1880 7 Point Observatory of the U& S& Naval Research Laboratory. J01 1890 5 The age of the moon was about 2 days. The half-intensity J01 1900 5 diameter of the main lobe of the antenna was about J01 1910 2 18'.5, and the brightness temperature was reduced by J01 1910 10 assuming a Gaussian shape for the antenna beam and J01 1920 9 a uniformly bright disk for the moon. J02 0010 1 #ABSTRACT# J02 0010 2 Experiments were made on an electric arc applying a J02 0010 11 porous graphite anode cooled by a transpiring gas (Argon). J02 0020 9 Thus, the energy transferred from the arc to the anode J02 0030 9 was partly fed back into the arc. It was shown that J02 0040 7 by proper anode design the net energy loss of the arc J02 0050 4 to the anode could be reduced to approximately 15% J02 0050 13 of the total arc energy A detailed energy balance of J02 0060 9 the anode was established. The anode ablation could J02 0080 5 be reduced to a negligible amount. The dependence of J02 0090 2 the arc voltage upon the mass flow velocity of the J02 0090 12 transpirating gas was investigated for various arc J02 0100 7 lengths and currents between 100 ~Amp and 200 ~Amp. J02 0110 6 Qualitative observations were made and high-speed motion J02 0120 4 pictures were taken to study flow phenomena in the J02 0130 1 arc at various mass flow velocities. J02 0130 7 #INTRODUCTION# J02 0130 8 The high heat fluxes existing at the electrode surfaces J02 0140 7 of electric arcs necessitate extensive cooling to prevent J02 0150 5 electrode ablation. The cooling requirements are particularly J02 0160 3 severe at the anode. In free burning electric arcs, J02 0170 2 for instance, approximately 90% of the total arc power J02 0170 11 is transferred to the anode giving rise to local heat J02 0180 9 fluxes in excess of **f as measured by the authors- J02 0190 7 the exact value depending on the arc atmosphere. In J02 0200 3 plasma generators as currently commercially available J02 0210 1 for industrial use or as high temperature research J02 0210 9 tools often more than 50% of the total energy input J02 0220 7 is being transferred to the co0ling medium of the anode. J02 0230 5 The higher heat transfer rates at the anode compared J02 0240 2 with those at the cathode can be explained by the physical J02 0250 1 phenomena occurring in free burning arcs. In plasma J02 0250 9 generators the superimposed forced convection may modify J02 0260 6 the picture somewhat. The heat transfer to the anode J02 0270 5 is due to the following effects: 1. Heat of condensation J02 0280 3 (work function) plus kinetic energy of the electrons J02 0280 11 impinging on the anode. This energy transfer depends J02 0290 8 on the current, the temperature in the arc column, J02 0300 6 the anode material, and the conditions in the anode J02 0310 4 sheath. 2. Heat transfer by molecular conduction as J02 0310 12 well as by radiation from the arc column. J02 0320 8 The heat transfer to the anode in free burning arcs J02 0330 7 is enhanced by a hot gas jet flowing from the cathode J02 0350 3 towards the anode with velocities up **f. This phenomenon J02 0360 1 has been experimentally investigated in detail by Maecker J02 0360 9 (Ref& 1). The pressure gradient producing the jet is J02 0370 9 due to the nature of the magnetic field in the arc J02 0380 6 (rapid decrease of current density from cathode to J02 0390 2 the anode). Hence, the flow conditions at the anode J02 0390 11 of free burning arcs resemble those near a stagnation J02 0400 8 point. J02 0400 9 it is apparent from the above and from experimental J02 0410 7 evidence that the cooling requirements for the anode J02 0420 4 of free burning arcs are large compared with those J02 0440 2 for the cathode. The gas flow through a plasma generator J02 0440 12 will modify these conditions; however, the anode is J02 0450 7 still the part receiving the largest heat flux. An J02 0460 6 attempt to improve the life of the anodes or the efficiency J02 0470 4 of the plasma generators must, therefore, aim at a J02 0480 2 reduction of the anode loss. The following possibilities J02 0480 10 exist for achieving this: 1. The use of high voltages J02 0490 9 and low currents by proper design to reduce electron J02 0500 5 heat transfer to the anode for a given power output. J02 0510 3 2. Continuous motion of the arc contact area at the J02 0510 13 anode by flow or magnetic forces. 3. Feed back of the J02 0530 11 energy transferred to the anode by applying gas transpiration J02 0540 8 through the anode. J02 0550 1 The third method was, to our knowledge, successfully J02 0550 9 applied for the first time by C& Sheer and co-workers J02 0560 9 (Ref& 2). The purpose of the present study is to study J02 0570 7 the thermal conditions and to establish an energy balance J02 0580 4 for a transpiration cooled anode as well as the effect J02 0590 1 of blowing on the arc voltage. Gas injection through J02 0590 10 a porous anode (transpiration cooling) not only feeds J02 0600 6 back the energy transferred to the anode by the above J02 0610 7 mentioned processes, but also modifies the conditions J02 0620 1 in the arc itself. A detailed study of this latter J02 0620 11 phenomenon was not attempted in this paper. Argon was J02 0630 9 used as a blowing gas to exclude any effects of dissociation J02 0640 6 or chemical reaction. The anode material was porous J02 0650 4 graphite. Sintered porous metals should be usable in J02 0660 2 principle. However, technical difficulties arise by J02 0660 8 melting at local hot spots. The experimental arrangement J02 0670 6 as described below is based on the geometry of free J02 0680 6 burning arcs. Thus, direct comparisons can be drawn J02 0690 3 with free burning arcs which have been studied in detail J02 0690 13 during the past years and decades by numerous investigators J02 0700 9 (Ref& 3). J02 0710 1 #EXPERIMENTAL APPARATUS# J02 0710 3 Figures 1 to 3 show photographic and schematic views J02 0720 2 of the test stand and of two different models of the J02 0720 13 anode holder. The cathode consisted of a 1/4'' diameter J02 0730 9 thoriated tungsten rod attached to a water cooled copper J02 0740 8 tube. This tube could be adjusted in its axial direction J02 0750 6 by an electric drive to establish the required electrode J02 0760 3 spacing. The anode in figure 2 was mounted by means J02 0770 1 of the anode holder which was attached to a steel plug J02 0770 12 and disk. The transpiring gas ejected from the anode J02 0780 7 formed a jet directed axially towards the cathode below. J02 0790 5 Inflow of air from the surrounding atmosphere was prevented J02 0800 3 by the two disks shown in figure 2. Argon was also J02 0810 1 blown at low velocities (mass flow rate **f) through J02 0810 10 a tube coaxial with the cathode as an additional precaution J02 0830 7 against contamination of the arc by air. The anode J02 0840 6 consisted of a 1/2 inch diameter porous graphite plug, J02 0850 2 1/4 inch long. The graphite was National Carbon ~NC J02 0860 1 60, which has a porosity of 50% and an average pore J02 0860 12 size of 30 This small pore size was required to ensure J02 0870 8 uniformity of the flow leaving the anode. The anode J02 0880 5 plug (Figure 2) was inserted into a carbon anode holder. J02 0890 3 A shielded thermocouple was used to measure the upstream J02 0900 1 temperature of the transpiring gas. It was exposed J02 0900 9 to a high velocity gas jet. A plug and a tube with J02 0910 9 holes in its cylindrical walls divided the chamber J02 0920 3 above the porous plug into two parts. This arrangement J02 0930 1 had the purpose to prevent heated gas to reach the J02 0930 11 thermocouple by natural convection. Two pyrometers J02 0940 5 shown in figure 1 and 2 (Pyrometer Instrument Co& Model J02 0950 4 95) served for simultaneous measurement of the anode J02 0960 3 surface temperature and the temperature distribution J02 0960 9 along the anode holder. Three thermocouples were placed J02 0970 8 at different locations in the aluminum disk surrounding J02 0980 6 the anode holder to determine its temperature. J02 0990 2 Another anode holder used in the experiments is J02 0990 10 shown in figure 3. In this design the anode holder J02 1000 10 is water cooled and the heat losses by conduction from J02 1010 7 the anode were determined by measuring the temperature J02 1020 3 rise of the coolant. To reduce heat transfer from the J02 1030 2 hot has to this anode holder outside the regime of J02 1030 12 the arc, a carbon shield was attached tothe surface J02 1040 6 providing an air gap of 1/16 inch between the plate J02 1050 5 and the surface of the anode holder. In addition, the J02 1060 2 inner surface of the carbon shield was covered with J02 1060 11 aluminum foil to reduce radiation. Temperatures of J02 1070 6 the shield and of the surface of the water-cooled anode J02 1080 6 holder were measured by thermocouples to account for J02 1090 2 heat received by the coolant but not originating from J02 1090 11 the anode plug. J02 1100 2 The argon flow from commercial bottles was regulated J02 1110 1 by a pressure regulator and measured with a gas flow J02 1110 11 rator. The power source was a commercial D& C& rectifier. J02 1120 8 At 100 ~Amp the 360 cycle ripple was less than 0.5 J02 1130 8 ~V (peak to peak) with a resistive load. The current J02 1140 4 was regulated by means of a variable resistor and measured J02 1150 2 with a 50 ~mV shunt and millivoltmeter. The arc voltage J02 1160 1 was measured with a voltmeter whose terminals were J02 1160 9 connected to the anode and cathode holders. Because J02 1170 5 of the falling characteristic of the rectifier, no J02 1180 3 ballast resistor was required for stability of operation. J02 1190 1 A high frequency starter was used to start the arc. J02 1190 11 #EXPERIMENTAL PROCEDURE AND ERROR ANALYSIS# J02 1210 1 _1. TRANSPIRATION COOLED ANODE WITH CARBON ANODE HOLDER_ J02 1210 4 The anode holder shown in figure 2 was designed J02 1230 1 with two goals in mind. The heat losses of the holder J02 1230 12 were to be reduced as far as possible and they should J02 1240 8 be such that an accurate heat balance can be made. J02 1250 5 In order to reduce the number of variable parameters, J02 1260 1 all experiments were made with a constant arc length J02 1260 10 of 0.5'' and a current of 100 ~Amp. The argon flow J02 1270 10 through the porous anode was varied systematically J02 1280 4 between **f. and **f. The lower limit was determined J02 1290 3 by the fact that for smaller flow rates the arc started J02 1300 1 to strike to the anode holder instead of to the porous J02 1300 12 graphite plug and that it became highly unstable. The J02 1310 8 upper limit was determined by the difficulty of measuring J02 1320 5 the characteristic anode surface temperature (see below) J02 1330 3 since only a small region of the anode was struck by J02 1330 14 the arc. This region which had a higher temperature J02 1340 9 than the rest of the anode surface changed size and J02 1350 6 location continuously. J02 1350 8 For each mass flow rate the arc voltage was measured. J02 1360 9 To measure the surface temperature of the anode plug, J02 1370 6 the surface was scanned with a pyrometer. As it turned J02 1380 4 out, a very hot region occurred on the plug. Its temperature J02 1390 1 was denoted by **f. The size of this hot region was J02 1390 12 estimated by eye. The rest of the surface had a temperature J02 1400 11 which decreased towards the outer diameter of the plug. J02 1410 7 The mean temperature of this region was approximated J02 1420 3 by the temperature measured halfways between the edge J02 1430 2 of the hot spot and the rim of the plug. It was denoted J02 1430 15 by **f. The mean temperature of the surface was then J02 1440 9 computed according to the following relation: **f where J02 1450 6 ~x is the fraction of the plug area covered by the J02 1470 4 hot spot. Assuming thermal equilibrium between the J02 1480 1 anode surface and the transpiring argon, the gas enthalpy J02 1480 10 rise through the anode was calculated according to J02 1490 7 the relation **f whereby the specific heat of argon J02 1500 4 was taken as **f. This calculation results in an enthalpy J02 1510 2 rise which is somewhat high because it assumes a mass J02 1510 12 flow equally distributed over the plug cross section J02 1520 7 whereas in reality the mass velocity is expected to J02 1530 5 be smaller in the regions of higher temperatures. J02 1540 1 The upstream gas temperature measured with the thermocouple J02 1550 1 shown in figure 2 was **f. The **f values are listed J02 1550 12 in Table 1 together with the measured surface temperatures J02 1570 6 and arc voltages. Simultaneously with the anode surface J02 1580 5 temperature and voltage measurements pyrometer readings J02 1590 2 were taken along the cylindrical surface of the carbon J02 1590 11 anode holder as indicated on figure 2. Some of these J02 1600 10 temperatures are plotted in figure 4. They showed no J02 1610 7 marked dependence on the flow rate within the accuracy J02 1620 4 of these measurements. Thus, the dotted line shown J02 1630 1 in figure 4 was taken as typical for the temperature J02 1630 11 distribution for all blowing rates. J02 1640 4 The thermocouples in the aluminum disk shown in J02 1650 2 figure 2 indicated an equilibrium temperature of the J02 1650 10 surface of **f. This temperature was taken as environmental J02 1660 8 temperature to which the anode holder was exposed as J02 1670 7 far as radiation is concerned. It is sufficiently small J02 1680 4 compared with the surface temperature of the anode J02 1690 1 holder, to make the energy flux radiated from the environment J02 1690 11 toward the anode holder negligible within the accuracy J02 1700 8 of the present measurements. The reflection of radiation J02 1710 5 originating from the anode holder and reflected back J02 1720 4 to it by the surrounding metal surfaces should also J02 1730 1 be small because of the specular characteristic of J02 1730 9 the metal surfaces and of the specific geometry. The J02 1740 7 total heat loss through the anode holder included also J02 1750 4 the heat conducted through the base of the cylindrical J02 1760 1 piece into the adjacent metal parts. It was calculated J02 1760 10 from the temperature gradient **f at **f inch as **f. J02 1770 9 The total heat flux from the porous plug into the plug J02 1780 7 holder is thereby **f The temperature distribution J02 1790 2 of figure 4 gives **f for all blowing rates, assuming J02 1790 12 **f. The temperature dependent value of ~|e was taken J02 1800 9 from Ref& 7. The radiation loss from the anode surface J02 1810 9 was computed according to **f where **f is the mean J02 1820 7 of the fourth powers of the temperatures **f and **f J02 1830 3 calculated analogously to equation (1). J03 0010 1 A band viscometer is shown in Figure 2. It consists J03 0010 11 of two blocks with flat surfaces held apart by shims. J03 0020 8 There is a small well in the top in which the fluid J03 0030 7 or paste to be tested is placed. A tape of cellulose J03 0040 3 acetate is pulled between the blocks and the tape pulls J03 0040 13 the fluid or paste with it between the parallel faces J03 0050 10 of the blocks. In normal use weights are hung on the J03 0070 8 end of the tape and allowed to pull the tape and the J03 0080 5 material to be tested between the blocks. After it J03 0090 1 has reached terminal velocity, the time for the tape J03 0090 10 to travel a known distance is recorded. By the use J03 0100 7 of various weights, data for a force-rate of shear J03 0110 3 graph can be obtained. The instrument used for this J03 0120 1 work was a slight modification of that previously described. J03 0120 10 In this test a **f tape was pulled between the blocks J03 0130 11 with a motor and pulley at a rate of **f with a clearance J03 0140 10 of 0.002'' on each side of the tape. This gives a rate J03 0150 7 of shear of **f. This, however, can only be considered J03 0160 1 approximate, as the diameter of the pulley was increased J03 0160 10 by the build-up of tape and the tape was occasionally J03 0170 10 removed from the pulley during the runs. The face of J03 0180 7 one block contained a hole 1/16'' in diameter which J03 0181 4 led to a manometer for the measurement of the normal J03 0190 8 pressure. J03 0190 9 Although there were only four fluids tested, it J03 0200 8 was apparent that there were two distinct types. Two J03 0210 5 of the fluids showed a high-positive normal pressure J03 0220 1 when undergoing shear, and two showed small negative J03 0220 9 pressures which were negligible in comparison with J03 0230 7 the amount of the positive pressures generated by the J03 0240 4 other two. J03 0240 6 Figure 3 shows the data on a silicone fluid, labeled J03 0250 5 12,500 ~cps which gave a high positive normal pressure. J03 0260 2 Although the tape was run for over 1 hr&, a steady J03 0270 1 state was not reached, and it was concluded that the J03 0270 11 reason for this was that the back pressure of the manometer J03 0280 8 was built up from the material fed from between the J03 0290 5 blocks and this was available at a very slow rate. J03 0300 2 A system had to be used which did not depend upon the J03 0300 14 feeding of the fluid into the manometer if measurements J03 0310 8 of the normal pressure were to be made in a reasonable J03 0320 8 time. A back pressure was then introduced, and the J03 0330 3 rise or fall of the material in the manometer indicated J03 0340 1 which was greater, the normal pressure in the block J03 0340 10 or the back pressure. By this method it was determined J03 0350 7 that the normal pressure exerted by a sample of polybutene J03 0360 6 (molecular weight reported to be 770) was over half J03 0370 3 an atmosphere. The actual pressure was not determined J03 0370 11 because the pressure was beyond the upper limit of J03 0380 9 the apparatus on hand. J03 0390 1 The two fluids which gave the small negative pressures J03 0390 10 were polybutenes with molecular weights which were J03 0400 6 stated to be 520 and 300. These are fluids which one J03 0410 6 would expect to be less viscoelastic or more Newtonian J03 0420 2 because of their lower molecular weight. The maximum J03 0420 10 suction was 3.25'' of test fluid measured from the J03 0430 9 top of the block, and steady states were apparently J03 0440 6 reached with these fluids. It is presumed that this J03 0450 3 negative head was associated with some geometric factor J03 0460 1 of the assembly, since different readings were obtained J03 0460 9 with the same fluid and the only apparent difference J03 0470 7 was the assembly and disassembly of the apparatus. J03 0480 4 This negative pressure is not explained by the velocity J03 0490 2 head **f since this is not sufficient to explain the J03 0490 12 readings by several magnitudes. J03 0500 4 These experiments can be considered exploratory J03 0510 2 only. However, they do demonstrate the presence of J03 0510 10 large normal pressures in the presence of flat shear J03 0520 9 fields which were forecast by the theory in the first J03 0530 7 part of the paper. They also give information which J03 0540 2 will aid in the design of a more satisfactory instrument J03 0550 1 for the measurement of the normal pressures. Such an J03 0550 10 instrument would be useful for the characterization J03 0560 6 of many commercial materials as well as theoretical J03 0570 3 studies. The elasticity as a parameter of fluids which J03 0580 1 is not subject to simple measurement at present, and J03 0580 10 it is a parameter which is probably varying in an unknown J03 0590 8 manner with many commercial materials. Such an instrument J03 0600 5 is expected to be especially useful if it could be J03 0610 5 used to measure the elasticity of heavy pastes such J03 0610 14 as printing inks, paints, adhesives, molten plastics, J03 0620 7 and bread dough, for the elasticity is related to those J03 0630 7 various properties termed "length", "shortness", "spinnability", J03 0650 3 etc&, which are usually judged by subjective methods J03 0660 4 at present. J03 0660 6 The actual change **f caused by a shear field is J03 0670 7 calculated by multiplying the pressure differential J03 0680 1 times the volume, just as it is for any gravitational J03 0680 11 or osmotic pressure head. If the volume is the molal J03 0690 9 volume, then **f is obtained on a molal basis which J03 0700 6 is the customary terminology of the chemists. J03 0710 1 Although the **f calculation is obvious by analogy J03 0710 9 with that for gravitational field and osmotic pressure, J03 0720 7 it is interesting to confirm it by a method which can J03 0730 7 be generalized to include related effects. Consider J03 0740 2 a shear field with a height of ~H and a cross-sectional J03 0750 1 area of ~A opposed by a manometer with a height of J03 0750 12 ~h (referred to the same base as ~H) and a cross-sectional J03 0760 12 area of ~a. If **f is the change per unit volume in J03 0770 12 Gibbs function caused by the shear field at constant J03 0780 8 ~P and ~T, and ~|r is the density of the fluid, then J03 0790 8 the total potential energy of the system above the J03 0800 5 reference height is **f. **f is the work necessary J03 0810 1 to fill the manometer column from the reference height J03 0810 10 to ~h. The total volume of the system above the reference J03 0820 10 height is **f, and ~h can be eliminated to obtain an J03 0830 8 equation for the total potential energy of the system J03 0840 5 in terms of ~H. The minimum total potential energy J03 0850 2 is found by taking the derivative with respect to ~H J03 0860 1 and equating to zero. This gives **f, which is the J03 0860 11 pressure. This is interesting for it combines both J03 0870 7 the thermodynamic concept of a minimum Gibbs function J03 0880 3 for equilibrium and minimum mechanical potential energy J03 0890 2 for equilibrium. This method can be extended to include J03 0890 11 the concentration differences caused by shear fields. J03 0900 7 The relation between osmotic pressure and the Gibbs J03 0910 6 function may also be developed in an analogous way. J03 0920 3 In the above development we have applied the thermodynamics J03 0930 1 of equilibrium (referred to by some as thermostatics) J03 0930 9 to the steady state. This can be justified thermodynamically J03 0940 9 in this case, and this will be done in a separate paper J03 0950 10 which is being prepared. This has an interesting analogy J03 0960 6 with the assumption stated by Philippoff that "the J03 0970 3 deformational mechanics of elastic solids can be applied J03 0980 2 to flowing solutions". There is one exception to the J03 0980 11 above statement as has been pointed out, and that is J03 0990 10 that fluids can relax by flowing into fields of lower J03 1000 7 rates of shear, so the statement should be modified J03 1010 3 by stating that the mechanics are similar. If the mechanics J03 1020 1 are similar, we can also infer that the thermodynamics J03 1020 10 will also be similar. J03 1030 3 The concept of the strain energy as a Gibbs function J03 1040 1 difference **f and exerting a force normal to the shearing J03 1040 11 face is compatible with the information obtained from J03 1050 7 optical birefringence studies of fluids undergoing J03 1060 4 shear. Essentially these birefringence studies show J03 1070 2 that at low rates of shear a tension is present at J03 1070 13 45` to the direction of shear, and as the rate of shear J03 1080 11 increases, the direction of the maximum tension moves J03 1090 6 asymptotically toward the direction of shear. According J03 1100 4 to Philippoff, the recoverable shear ~s is given by J03 1110 3 **f where ~|c is the angle of extinction. From this J03 1110 13 and the force of deformation it should be possible J03 1120 9 to calculate the elastic energy of deformation which J03 1130 5 should be equal to the **f calculated from the pressure J03 1140 3 normal to the shearing face. J03 1140 8 There is another means which should show the direction J03 1150 7 and relative value of the stresses in viscoelastic J03 1160 3 fluids that is not mentioned as such in the literature, J03 1170 1 and that is the shape of the suspended drops of low J03 1170 12 viscosity fluids in shear fields. These droplets are J03 1180 7 distorted by the normal forces just as a balloon would J03 1190 6 be pulled or pressed out of shape in one's hands. These J03 1200 3 droplets appear to be ellipsoids, and it is mathematically J03 1210 1 convenient to assume that they are. If they are not J03 1210 11 ellipsoids, the conclusions will be a reasonable approximation. J03 1220 8 The direction of the tension of minimum pressure is, J03 1230 7 of course, given by the direction of the major axis J03 1240 5 of the ellipsoids. Mason and Taylor both show that J03 1250 1 the major axis of the ellipsoids is at 45` at low rates J03 1250 13 of shear and that it approaches the direction of shear J03 1260 8 with increased rates of shear. (Some suspensions break J03 1270 4 up before they are near to the direction of shear, J03 1280 3 and some become asymptotic to it without breakup.) J03 1280 11 This is, of course, a similar type of behavior to that J03 1290 10 indicated by birefringence studies. The relative forces J03 1300 5 can be calculated from the various radii of curvature J03 1310 4 if we assume: (A) The surface tension is uniform on J03 1320 2 the surface of the drop. (B) That because of the low J03 1320 13 viscosity of the fluid, the internal pressure is the J03 1330 9 same in all directions. (C) The kinetic effects are J03 1340 6 negligible. (D) Since the shape of the drop conforms J03 1350 6 to the force field, it does not appreciably affect J03 1360 2 the distribution of forces in the fluid. J03 1360 9 These are reasonable assumptions with low viscosity J03 1370 5 fluids suspended in high viscosity fluids which are J03 1380 4 subjected to low rates of shear. Just as the pressure J03 1390 1 exerted by surface tension in a spherical drop is **f J03 1390 11 and the pressure exerted by surface tension on a cylindrical J03 1400 8 shape is **f, the pressure exerted by any curved surface J03 1410 7 is **f, where ~|g is the interfacial tension and **f J03 1420 4 and **f are the two radii of curvature. This formula J03 1430 2 is given by Rumscheidt and Mason. If ~a is the major J03 1440 1 axis of an ellipsoid and ~b and ~c are the other two J03 1440 13 axes, the radius of curvature in the ~ab plane at the J03 1450 11 end of the axis is **f, and the difference in pressure J03 1460 8 along the ~a and ~b axes is **f. J03 1470 4 There are no data published in the literature on J03 1480 1 the shape of low viscosity drops to confirm the above J03 1480 11 formulas. However, there are photographs of suspended J03 1490 6 drops of cyclohexanol phthalate (viscosity 155 poises) J03 1500 4 suspended in corn syrup of 71 poises in a paper by J03 1510 2 Mason and Bartok. This viscosity of the material in J03 1510 11 the drops is, of course, not negligible. Measurements J03 1520 7 on the photograph in this paper give **f at the maximum J03 1530 7 rate of shear of **f. If it is assumed that the formula J03 1540 4 given by Lodge of **f, cosec 2~|c applies, the pressure J03 1550 2 difference along the major axes can be calculated from J03 1550 11 the angle of inclination of the major axis, and from J03 1560 9 this the interfacial tension can be calculated. Its J03 1570 5 value was **f from the above data. This appears to J03 1580 3 be high, as would be expected from the appreciable J03 1580 12 viscosity of the material in the drops. J03 1590 7 It is appropriate to call attention to certain thermodynamic J03 1600 4 properties of an ideal gas that are analogous to rubber-like J03 1610 4 deformation. The internal energy of an ideal gas depends J03 1620 3 on temperature only and is independent of pressure J03 1620 11 or volume. In other words, if an ideal gas is compressed J03 1630 10 and kept at constant temperature, the work done in J03 1640 6 compressing it is completely converted into heat and J03 1650 4 transferred to the surrounding heat sink. This means J03 1650 12 that work equals ~q which in turn equals **f. J03 1660 9 There is a well-known relationship between probability J03 1670 6 and entropy which states that **f, where ~\q is the J03 1680 6 probability that state (i&e&, volume for an ideal gas) J03 1690 5 could be reached by chance alone. this is known as J03 1700 1 conformational entropy. This conformational entropy J03 1700 6 is, in this case, equal to the usual entropy, for there J03 1710 8 are no other changes or other energies involved. Note J03 1720 4 that though the ideal gas itself contains no additional J03 1730 2 energy, the compressed gas does exert an increased J03 1730 10 pressure. The energy for any isothermal work done by J03 1740 9 the perfect gas must come as thermal energy from its J03 1750 6 surroundings. J04 0010 1 ## J04 0010 2 A proton magnetic resonance study of polycrystalline J04 0010 9 **f as a function of magnetic field and temperature J04 0020 7 is presented. **f is paramagnetic, and electron paramagnetic J04 0030 4 dipole as well as nuclear dipole effects lead to line J04 0040 4 broadening. The lines are asymmetric and over the range J04 0050 2 of field **f gauss and temperature **f the asymmetry J04 0050 11 increases with increasing **f and decreasing T. An J04 0060 7 isotropic resonance shift of **f to lower applied fields J04 0070 7 indicates a weak isotropic hyperfine contact interaction. J04 0080 3 The general theory of resonance shifts is used to derive J04 0090 2 a general expression for the second moment **f of a J04 0090 12 polycrystalline paramagnetic sample and is specialized J04 0100 6 to **f. The theory predicts a linear dependence of J04 0110 5 **f on **f, where |j is the experimentally determined J04 0120 2 Curie-Weiss constant. The experimental second moment J04 0130 1 **f conforms to the relation **f in agreement with J04 0130 10 theory. Hence, the electron paramagnetic effects (slope) J04 0140 5 can be separated from the nuclear effects (intercept). J04 0150 3 The paramagnetic dipole effects provide some information J04 0160 2 on the particle shapes. The nuclear dipole effects J04 0160 10 provide some information on the motions of the hydrogen J04 0170 9 nuclei, but the symmetry of the **f bond in **f remains J04 0180 8 in doubt. J04 0180 10 #INTRODUCTION# J04 0180 11 THE magnetic moment of an unpaired electron associated J04 0200 8 nearby may have a tremendous influence on the magnetic J04 0210 6 resonance properties of nuclei. It is important to J04 0220 4 consider and experimentally verify this influence since J04 0230 1 quantitative nuclear resonance is becoming increasingly J04 0230 7 used in investigations of structure. **f appeared to J04 0240 6 be well suited for the study of these matters, since J04 0250 5 it is a normal paramagnet, with three unpaired electrons J04 0260 2 on the chromium, its crystal structure is very simple, J04 0270 1 and the unknown position of the hydrogen in the strong J04 0270 11 **f bond provides structural interest. J04 0280 3 We first discuss the **f bond in **f. We then outline J04 0300 3 the theory of the interaction of paramagnetic dipoles J04 0310 1 with nuclei and show that the theory is in excellent J04 0310 11 agreement with experiment. Indeed it is possible to J04 0320 6 separate electron paramagnetic from nuclear effects. J04 0330 3 The information provided by the electron paramagnetic J04 0340 1 effects is then discussed, and finally the nuclear J04 0340 9 effects are interpreted in terms of various motional-modified J04 0350 7 models of the **f bond in **f. J04 0360 3 #**F BOND IN **F# J04 0360 7 Theoretical studies of the hydrogen bond generally J04 0370 2 agree that the **f bond will be linear in the absence J04 0370 13 of peculiarities of packing in the solid. Moreover, J04 0380 8 it will be asymmetric until a certain critical **f J04 0390 6 distance is reached, below which it will become symmetric. J04 0400 3 There is ample evidence from many sources that the J04 0410 1 **f bond in **f is symmetric. The **f distance in **f J04 0410 12 is 2.26 ~A. There is evidence, though less convincing J04 0420 7 than for **f, that the **f bond in nickel dimethylglyoxime J04 0430 5 is symmetric. Here the **f distance is 2.44 ~A. A number J04 0440 6 of semiempirical estimates by various workers lead J04 0450 2 to the conclusion that the **f bond becomes symmetric J04 0450 11 when the **f bond length is about 2.4 to 2.5 ~A, but J04 0460 11 aside from the possible example of nickel dimethylglyoxime J04 0480 5 there have been no convincing reports of symmetric J04 0490 3 **f bonds. Douglass has studied the crystal structure J04 0500 1 of **f by x-ray diffraction. He finds the structure J04 0500 11 contains an **f bond with the **f distance of **f. J04 0510 8 There is, then, the possibility that this **f bond J04 0520 4 is symmetric, although Douglass was unable to determine J04 0530 1 its symmetry from his x-ray data. J04 0530 8 Douglass found **f to be trigonal, Laue symmetry J04 0540 4 **f, with **f, **f. X-ray and experimental density J04 0550 2 showed one formula unit in the unit cell, corresponding J04 0550 11 to a paramagnetic ion density of **f. The x-ray data J04 0560 9 did not permit Douglass to determine uniquely the space J04 0570 6 group, but a negative test for piezoelectricity led J04 0580 2 him to assume a center of symmetry. Under this assumption J04 0590 1 the space group must be **f and the following are the J04 0590 12 positions of the atoms in the unit cell. **f. This J04 0600 10 space group requires the hydrogen bond to be symmetric. J04 0610 5 Douglass found powder intensity calculations and measurements J04 0620 3 to agree best for **f. These data lead to a structure J04 0630 1 in which sheets of ~Cr atoms lie between two sheets J04 0630 11 of ~O atoms. The ~O atoms in each sheet are close packed J04 0640 11 and each ~Cr atom is surrounded by a distorted octahedron J04 0650 8 of ~O atoms. The **f layers are stacked normal to the J04 0660 7 [111] axis with the lower oxygens of one layer directly J04 0670 5 above the upper oxygens of the neighboring lower layer, J04 0680 2 in such a manner that the repeat is every three layers. J04 0680 13 The separate layers are joined together by hydrogen J04 0690 8 bonds. A drawing of the structure is to be found in J04 0700 7 reference 6. J04 0700 9 The gross details of the structure appear reasonable. J04 0710 6 The structure appears to be unique among ~ROOH compounds, J04 0720 4 but is the same as that assumed by **f. The bond angles J04 0730 5 and distances are all within the expected limits and J04 0740 2 the volume per oxygen is about normal. However, the J04 0740 11 possible absence of a center of symmetry not only moves J04 0750 9 the hydrogen atom off **f, but also allows the oxygen J04 0760 6 atoms to become nonequivalent, with **f at **f and J04 0770 3 **f at **f (space group **f), where **f represents J04 0770 12 the oxygens on one side of the **f layers and **f those J04 0780 11 on the other side. However, any oxygen nonequivalence J04 0790 4 would shorten either the already extremely short **f J04 0800 3 interlayer distance of 2.55 ~A or the non-hydrogen-bonded J04 0810 1 **f interlayer interactions which are already quite J04 0810 8 short at 2.58 ~A. Hence it is difficult to conceive J04 0820 8 of a packing of the atoms in this material in which J04 0830 5 the oxygen atoms are far from geometrical equivalence. J04 0840 1 The only effect of lack of a center would then be to J04 0840 13 release the hydrogen atoms to occupy general, rather J04 0850 8 than special, positions along the [111] axis. J04 0860 5 If the **f bond is linear then there are three reasonable J04 0870 4 positions for the hydrogen atoms: (1) The hydrogen J04 0880 1 atoms are centered and hence all lie on a sheet midway J04 0880 12 between the oxygen sheets; (2) all hydrogen atoms lie J04 0890 8 on a sheet, but the sheet is closer to one oxygen sheet J04 0900 7 than to the other; (3) hydrogen atoms are asymmetrically J04 0910 3 placed, either randomly or in an ordered way, so that J04 0920 2 some hydrogen atoms are closer to the upper oxygen J04 0920 11 atoms while others are closer to the lower oxygen atoms. J04 0930 8 Position (2) appears to us to be unlikely in view of J04 0940 7 the absence of a piezoelectric effect and on general J04 0950 2 chemical structural grounds. A randomization of "ups" J04 0950 9 and "downs" is more likely than ordered "ups" and "downs" J04 0960 10 in position (3) since the hydrogen atoms are well separated J04 0970 10 and so the position of one could hardly affect the J04 0980 8 position of another, and also since ordered "up" and J04 0990 5 "down" implies a larger unit cell, for which no evidence J04 1000 4 exists. Therefore, the only unknown structural feature J04 1010 1 would appear to be whether the hydrogen atoms are located J04 1010 11 symmetrically (1) or asymmetrically (3). J04 1020 5 #EXPERIMENTAL PROCEDURES# J04 1030 1 _SAMPLES_ J04 1030 1 Douglass prepared his sample of **f by thermal decomposition J04 1030 10 of aqueous chromic acid at 300-325`~C. Dr& Douglass J04 1040 9 was kind enough to lend us about 5 grams of his material. J04 1050 10 This material proved to be unsatisfactory, since we J04 1060 6 could not obtain reproducible results on various portions J04 1070 3 of the sample. Subsequently, we learned from Douglass J04 1080 1 that his sample contained a few percent **f impurity. J04 1080 10 Since **f is ferromagnetic, we felt that any results J04 1090 8 obtained from the magnetically contaminated **f would J04 1100 4 be suspect. J04 1100 6 Plane suggested another preparation of **f which J04 1110 5 we used here. 500 ~ml of 1~M aqueous **f with 1 ~g J04 1120 4 **f added are heated in a bomb at 170`~C for 48 hours. J04 1130 1 A very fine, gray solid (about 15 ~g) is formed, water-washed J04 1140 1 by centrifugation, and dried at 110`~C. J04 1140 7 Differential thermal analysis showed a very small J04 1150 6 endothermic reaction at 340`~C and a large endothermic J04 1160 4 reaction at 470`~C. This latter reaction is in accord J04 1170 3 with the reported decomposition of **f. Thermogravimetric J04 1170 10 analysis showed a weight loss of 1.8% centered at 337`~C J04 1180 10 and another weight loss of 10.8% at 463`~C. The expected J04 1200 9 weight loss for **f going to **f and **f is 10.6%. J04 1210 9 Mass spectrometric analysis of gases evolved upon heating J04 1220 5 to 410`~C indicated nitrogen oxides and water vapor. J04 1230 4 The small reaction occurring at 337`~C is probably J04 1240 1 caused by decomposition of occluded nitrates, and perhaps J04 1240 9 by a small amount of some hydrous material other than J04 1250 8 **f. All subsequent measurements were made on material J04 1260 5 which had been heated to 375`~C for one hour. Emission J04 1270 4 spectra indicated **f calcium and all other impurities J04 1280 1 much lower. Chromium analysis gave 58.8% ~Cr as compared J04 1300 1 with 61.2% theory. However, **f adsorbs water from J04 1300 9 the atmosphere and this may account for the low chromium J04 1310 8 analysis and high total weight loss. J04 1320 2 The x-ray diffraction pattern of the material, taken J04 1320 11 with ~CuK|a radiation, indicated the presence of no J04 1330 8 extra lines and was in good agreement with the pattern J04 1340 8 of Douglass. Magnetic analyses by R& G& Meisenheimer J04 1350 5 of this laboratory indicated no ferromagnetic impurities. J04 1360 2 **f was found to be paramagnetic with three unpaired J04 1370 1 electron per chromium atom and a molecular susceptibility J04 1370 9 of **f, where **f. For exactly three unpaired electrons J04 1380 8 the coefficient would be 3.10. An infrared spectrum, J04 1390 6 obtained by H& A& Benesi and R& G& Snyder of this laboratory, J04 1400 7 showed bands in the positions found by Jones. J04 1410 4 Electron microscopic examination of the **f sample J04 1420 2 showed it to be composed of nearly isotropic particles J04 1420 11 about 0.3|m in diameter. The particles appeared rough J04 1430 7 and undoubtedly the single-crystal domains are smaller J04 1440 4 than this. The x-ray data are consistent with particle J04 1450 3 sizes of 1000 ~A or greater. We found no obvious effects J04 1460 2 due to preferred orientation of the crystallites in J04 1460 10 this sample nor would we expect to on the basis of J04 1470 10 the shape found from electron microscopic examination. J04 1480 3 #NUCLEAR MAGNETIC RESONANCE (~NMR) MEASUREMENTS# J04 1500 1 The magnetic resonance absorption was detected by employing J04 1510 1 a Varian model **f broad line spectrometer and the J04 1510 10 associated 12-inch electromagnet system. One measurement J04 1520 5 at 40 ~Mc/sec was obtained with the Varian model **f J04 1530 6 unit. A bridged-T type of bridge was used in the 10-16 J04 1540 6 ~Mc/sec range. The ~rf power level was maintained small J04 1550 2 enough at all times to prevent obvious line shape distortions J04 1560 1 by saturation effects. A modulation frequency of 40 J04 1560 9 ~cps with an amplitude as small as possible, commensurate J04 1570 7 with reasonably good signal-to-noise quality, was used. J04 1580 4 Background spectra were obtained in all cases. The J04 1590 4 spectrometer was adjusted to minimize the amount of J04 1590 12 dispersion mode mixed in with the absorption signal. J04 1600 8 A single value of the thermal relaxation time **f J04 1610 7 at room temperature was measured by the progressive J04 1620 4 saturation method. The value of **f estimated at 470 J04 1630 2 gauss was **f microseconds. A single measurement of J04 1630 10 the spin-spin relaxation time **f was obtained at 10 J04 1640 8 ~Mc/sec by pulse methods. This measurement was obtained J04 1650 5 by W& Blumberg of the University of California, Berkeley, J04 1660 3 by observing the breadth of the free induction decay J04 1670 2 signal. The value derived was 16 microseconds. J04 1670 9 Field shifts were derived from the mean value of J04 1680 9 the resonance line, defined as the field about which J04 1690 6 the first moment is zero. J04 1690 11 Second moments of the spectra were computed by numerical J04 1700 8 integration. Corrections were applied for modulation J04 1710 5 broadening, apparatus background, and field shift. J04 1720 3 Spectra were obtained over the temperature range J04 1730 1 of 77-294`K. For the low-temperature measurements the J04 1730 10 sample was cooled by a cold nitrogen gas flow method J04 1750 8 similar to that of Andrew and Eades. The temperature J04 1760 4 was maintained to within about **f for the period of J04 1770 3 time required to make the measurement (usually about J04 1770 11 one hour). One sample, which had been exposed to the J04 1780 9 atmosphere after evacuation at 375`~C, showed the presence J04 1790 6 of adsorbed water (about 0.3 ~wt %) as evidenced by J04 1800 6 a weak resonance line which was very narrow at room J04 1810 3 temperature and which disappeared, due to broadening, J04 1810 10 at low temperature. The data reported here are either J04 1820 8 from spectra from which the adsorbed water resonance J04 1830 5 could easily be eliminated or from spectra of samples J04 1840 3 evacuated and sealed off at 375`~C which contain no J04 1850 1 adsorbed water. J04 1850 3 The measured powder density of the **f used here J04 1860 2 was about **f, approximately one-third that of the J04 1860 11 crystal density (**f). Such a density corresponds to J04 1870 7 a paramagnetic ion density of about **f. J04 1880 3 Spectra were obtained from a powdered sample having J04 1900 1 the shape of a right circular cylinder with a height-to-diameter J04 1900 13 ratio of 4:1. The top of the sample was nearly flat J04 1910 11 and the bottom hemispherical. Spectra were also obtained J04 1920 5 from a sample in a spherical container which was made J04 1930 4 by blowing a bubble on the end of a capillary glass J04 1940 1 tube. The bubble was filled to the top and special J04 1940 11 precautions were taken to prevent any sample from remaining J04 1950 8 in the capillary. Spectra were also obtained from a J04 1960 6 third sample of **f which had been diluted to three J04 1970 3 times its original volume with powdered, anhydrous J04 1970 10 alundum (**f). This sample was contained in a cylindrical J04 1980 9 container similar to that described above. J05 0010 1 Polyphosphates gave renewed life to soap products at J05 0010 9 a time when surfactants were a threat though expensive, J05 0020 6 and these same polyphosphates spelled the decline of J05 0030 5 soap usage when the synergism between polyphosphates J05 0040 1 and synthetic detergent actives was recognized and J05 0040 8 exploited. J05 0050 1 The market today for detergent builders is quite J05 0050 9 diverse. The best known field of application for builders J05 0060 7 is in heavy-duty, spray-dried detergent formulations J05 0070 3 for household use. These widely advertised products, J05 0080 2 which are used primarily for washing clothes, are based J05 0080 11 on high-sudsing, synthetic organic actives (sodium J05 0090 5 alkylbenzenesulfonates) and contain up to 50% by weight J05 0100 8 of sodium tripolyphosphate or a mixture of sodium J05 0110 3 tripolyphosphate J05 0110 4 and tetrasodium pyrophosphate. In the household market, J05 0120 3 there are also low-sudsing detergent formulations based J05 0130 2 on nonionic actives with about the same amount of phosphate J05 0130 12 builder; light-duty synthetic detergents with much J05 0140 7 less builder; and the dwindling built-soap powders J05 0150 5 as well as soap flakes and granules, none of which J05 0160 3 are now nationally advertised. A well-publicized entrant J05 0170 1 which has achieved success only recently is the built J05 0170 10 liquid detergent, with which the major problem today J05 0180 7 is incorporation of builder and active into a small J05 0190 5 volume using a sufficiently high builder/active ratio. J05 0200 2 Hard-surface cleaning in household application is J05 0210 1 represented by two classes of alkaline products: (1) J05 0210 9 the formulations made expressly for machine dishwashers, J05 0220 6 and (2) the general-purpose cleaners used for walls J05 0230 5 and woodwork. The better quality products in both of J05 0240 3 these lines contain phosphate builders. In addition, J05 0240 10 many of the hard-surface cleaners used for walls and J05 0250 9 woodwork had their genesis in trisodium orthophosphate, J05 0260 4 which is still the major ingredient of a number of J05 0270 4 such products. Many scouring powders now also contain J05 0270 12 phosphates. These hard-surface cleaners are discussed J05 0280 7 in Chapter 28. J05 0290 1 #THE CLEANING PROCESS# J05 0290 3 Cleaning or detergent action is entirely a matter of J05 0300 4 surfaces. Wet cleaning involves an aqueous medium, J05 0300 11 a solid substrate, soil to be removed, and the detergent J05 0310 9 or surface-active material. An oversimplified differentiation J05 0320 5 between soft- and hard-surface cleaning lies in the J05 0330 5 magnitude and kind of surface involved. One gram of J05 0340 3 cotton has been found to have a specific surface area J05 0340 13 of **f. In contrast, a metal coupon **f in size would J05 0350 10 have a magnitude from 100,000 to a million less. Even J05 0360 7 here there is room for some variation, for metal surfaces J05 0370 4 vary in smoothness, absorptive capacity, and chemical J05 0380 1 reactivity. Spring used a Brush surface-analyzer in J05 0380 9 a metal-cleaning study and showed considerable differences J05 0390 6 in soil removal, depending upon surface roughness. J05 0400 4 There are considerable differences between the requirements J05 0410 3 for textile and hard-surface cleaning. Exclusive of J05 0420 2 esthetic values, such as high- or low-foam level, perfume J05 0420 13 content, etc&, the requirements for the organic active J05 0430 8 used in washing textiles are high. No matter how they J05 0440 7 are formulated, a large number of organic actives are J05 0450 3 simply not suitable for this application, since they J05 0460 1 do not give adequate soil removal. This is best demonstrated J05 0460 11 by practical washing tests in which cloth articles J05 0470 7 are repeatedly washed with the same detergent formulation. J05 0480 5 A good formulation will keep the clothes clean and J05 0490 3 white after many washings; whereas, with a poor formulation, J05 0500 1 the clothes exhibit a build-up of "tattle-tale grey" J05 0500 11 and dirty spots- sometimes with bad results even after J05 0510 7 the first wash. Since practical washing procedures J05 0520 4 are both lengthy and expensive, a number of laboratory J05 0530 3 tests have been developed for the numerical evaluation J05 0540 1 of detergents. Harris has indicated that two devices, J05 0540 9 the Launder-Ometer and Terg-O-Tometer are most widely J05 0550 8 used for rapid detergent testing, and he has listed J05 0560 6 the commercially available standard soiled fabrics. J05 0570 2 Also given are several laboratory wash procedures in J05 0570 10 general use. The soiled fabrics used for rapid testing J05 0580 9 of detergent formulations are made in such a way that J05 0590 8 only part of the soil is removed by even the best detergent J05 0600 5 formulation in a single wash. In this way, numerical J05 0610 2 values for the relative efficacy of various detergent J05 0610 10 formulations can be obtained by measuring the reflectance J05 0620 8 (whiteness) of the cloth swatches before and after J05 0630 6 washing. Soil redeposition is evaluated by washing J05 0640 3 clean swatches with the dirty ones. As is the case J05 0640 13 with the surface-active agent, the requirements for J05 0650 8 builders to be used in detergent compositions for washing J05 0660 5 textiles are also high. Large numbers of potential J05 0670 3 builders have been investigated, but none have been J05 0680 1 found to be as effective as the polyphosphates over J05 0680 10 the relatively wide range of conditions met in practice. J05 0690 7 The problems of hard-surface cleaning are not nearly J05 0700 5 as complex. In hard-surface cleaning, the inorganic J05 0710 2 salts are more important than the organic active. Indeed, J05 0720 1 when the proper inorganic constituents are employed, J05 0720 8 practically any wetting or surface-active agent will J05 0730 7 do a reasonably good job when present in sufficient J05 0740 3 amount in a hard-surface cleaning formulation. Hydroxides, J05 0750 1 orthophosphates, borates, carbonates, and silicates J05 0750 6 are important inorganic ingredients of hard-surface J05 0760 6 cleaners. In addition, the polyphosphates are also J05 0770 4 used, probably acting more as peptizing agents than J05 0780 2 anything else. The importance of the inorganic constituents J05 0780 10 in hard-surface cleaning has been emphasized in a number J05 0790 10 of papers. J05 0790 12 #PHYSICAL CHEMISTRY OF WASHING# J05 0800 4 Although there is no question but that the process J05 0810 5 of washing fabrics involves a number of phenomena which J05 0820 2 are related together in an extremely complicated way J05 0820 10 and that these phenomena and their interrelations are J05 0830 7 not well understood at the present, this section attempts J05 0840 5 to present briefly an up-to-date picture of the physical J05 0850 4 chemistry of washing either fabrics or hard surfaces. J05 0860 1 The purpose of washing is, obviously, to remove soils J05 0860 10 which are arbitrarily classed in the four major categories J05 0870 7 given below: J05 0880 1 _1._ J05 0880 1 Dirt, which is here defined as particulate material J05 0880 9 which is usually inorganic and is very often extremely J05 0890 7 finely divided so as to exhibit colloidal properties. J05 0900 3 _2._ J05 0900 4 Greasy soils, which are typified by hydrocarbons J05 0910 2 and fats (esters of glycerol with long-chain organic J05 0910 11 acids). J05 0920 1 _3._ J05 0920 2 Stains, which include the wide variety of nonparticulate J05 0930 1 materials which give color even when present in very J05 0930 10 low concentration on the soiled object. J05 0940 5 _4._ J05 0940 6 Miscellaneous soils, which primarily include sticky J05 0950 3 substances and colorless liquids which evaporate to J05 0950 10 leave a residue. J05 0960 3 The dirt on the soiled objects is mechanically held J05 0970 2 by surface irregularities to some extent. However, J05 0970 9 a major factor in binding dirt is the attraction between J05 0980 8 surfaces that goes under the name of van der Waal's J05 0990 7 forces. This is a theoretically complicated dipole J05 1000 2 interaction which causes any extremely small uncharged J05 1000 9 particle to agglomerate with other small uncharged J05 1010 7 particles, or to stick to an uncharged surface. Obviously, J05 1020 6 if colloidal particles bear charges of opposite sign J05 1030 4 or, if one kind is charged and the other kind is not, J05 1040 2 the attraction will be intensified and the tendency J05 1040 10 to agglomerate will be greatly reinforced. Likewise, J05 1050 6 a charged particle will tend to stick to an uncharged J05 1060 6 surface and vice versa, and a charged particle will J05 1070 2 be very strongly attracted to a surface exhibiting J05 1070 10 an opposite charge. In addition, dirt particles can J05 1080 7 be held onto a soiled surface by sticky substances J05 1090 4 or by the surface tension of liquids, including liquid J05 1100 2 greases. J05 1100 3 Greases, stains, and miscellaneous soils are usually J05 1110 3 sorbed onto the soiled surface. In most cases, these J05 1110 12 soils are taken up as liquids through capillary action. J05 1120 9 In an essentially static system, an oil cannot be replaced J05 1130 8 by water on a surface unless the interfacial tensions J05 1140 4 of the water phase are reduced by a surface-active J05 1150 1 agent. J05 1150 2 The washing process whereby soils are removed consists J05 1160 1 basically of applying mechanical action to loosen the J05 1160 9 dirt particles and dried matter in the presence of J05 1170 8 water which helps to float off the debris and acts, J05 1180 5 to some extent, as a dissolving and solvating agent. J05 1190 2 Greasy soils are hardly removed by washing in plain J05 1190 11 water; and natural waters, in addition, often contain J05 1200 7 impurities such as calcium salts which can react with J05 1210 6 soils to make them more difficult to remove. Therefore, J05 1220 2 detergents are used. The detergent active is that substance J05 1230 1 which primarily acts to remove greasy soils. The other J05 1230 10 constituents in a built detergent assist in this and J05 1240 9 in the removal of dirty stains and the hydrophilic J05 1250 4 sticky or dried soils. J05 1250 8 As is well known, detergent actives belong to the J05 1260 6 chemical class consisting of moderately high molecular J05 1270 3 weight and highly polar molecules which exhibit the J05 1280 1 property of forming micelles in solution. Physicochemical J05 1280 8 investigations of anionic surfactants, including the J05 1290 6 soaps, have shown that there is little polymerization J05 1300 4 or agglomeration of the chain anions below a certain J05 1310 3 region of concentration called the critical micelle J05 1310 10 concentration. (1) Below the critical micelle concentration, J05 1320 7 monomers and some dimers are present. (2) In the critical J05 1330 8 micelle region, there is a rapid agglomeration or polymerization J05 1340 6 to give the micelles, which have a degree of polymerization J05 1350 5 averaging around 60-80. (3) For anionics, these micelles J05 1360 3 appear to be roughly spherical assemblages in which J05 1370 1 the hydrocarbon tails come together so that the polar J05 1370 10 groups (the ionized ends) face outward towards the J05 1380 6 aqueous continuous phase. Obviously hydrophobic (oleophilic) J05 1390 2 substances such as greases, oils, or particles having J05 1400 1 a greasy or oily surface are more at home in the center J05 1400 13 of a micelle than in the aqueous phase. Micelles can J05 1410 8 imbibe and hold a considerable amount of oleophilic J05 1420 4 substances so that the micelle volume may be increased J05 1430 2 as much as approximately two-fold. Although the matter J05 1430 11 has not been unequivocally demonstrated, the available J05 1440 7 data show that micelles in themselves do not contribute J05 1450 6 significantly to the detergency process. J05 1460 1 Related to micelle formation is the technologically J05 1460 8 important ability of detergent actives to congregate J05 1470 7 at oil-water interfaces in such a manner that the polar J05 1480 8 (or ionized) end of the molecule is directed towards J05 1490 2 the aqueous phase and the hydrocarbon chain towards J05 1490 10 the oily phase. In the cleaning process, sorbed greasy J05 1500 9 soils become coated in this manner with an oriented J05 1510 7 film of surfactant. Then during washing, the greasy J05 1520 3 soil rolls back at the edges so that emulsified droplets J05 1530 1 can disengage themselves from the sorbed oil mass, J05 1530 9 with the aid of mechanical action, and enter the aqueous J05 1540 7 phase. Obviously, a substance which is permanently J05 1550 4 or temporarily sorbed on the surface in place of the J05 1560 2 soil will tend to accelerate this process and effectively J05 1560 11 push off the greasy soil. J05 1570 4 Substances other than detergent actives also tend J05 1580 2 to be strongly sorbed from aqueous media onto surfaces J05 1580 11 of other contiguous condensed phases. This is particularly J05 1590 7 true of highly charged ions, especially those ions J05 1600 5 which fall into the class of polyelectrolytes. Whereas J05 1610 2 the usual organic surface-active agent is strongly J05 1620 1 sorbed at oil-water interfaces, the highly charged J05 1620 9 ions are most strongly sorbed at interfaces between J05 1630 5 water and insoluble materials exhibiting an ionic structure J05 1640 4 (see Table 26-2 on p& 1678). Thus, for aqueous media, J05 1650 2 we can think of the idealized organic active as an J05 1650 12 oleophilic or hydrophobic surface-active agent, and J05 1660 7 of an idealized builder as a oleophobic or hydrophilic J05 1670 5 surface-active agent. J05 1670 8 From the equilibrium sorption data which are available, J05 1680 6 it seems logical to expect that polyphosphate ions J05 1690 4 would be strongly sorbed on the surface of the dirt J05 1700 3 (especially clay soils) so as to give it a greatly J05 1700 13 increased negative charge. The charged particles then J05 1710 7 repel each other and are also repelled from the charged J05 1720 6 surface, which almost invariably bears a negative charge J05 1730 4 under washing conditions. The negatively charged dirt J05 1740 1 particles then leave the surface and go into the aqueous J05 1740 11 phase. This hypothesis is evolved in analogy to the J05 1750 8 demonstrated action of organic actives in detergency. J05 1760 4 It does not consider the kinetic effects of the phosphate J05 1770 4 builders on sorption-desorption phenomena which will J05 1780 1 be discussed later (see pp& 1746-1748). J05 1780 8 The crude picture of the detergency process thus J05 1790 5 far developed can be represented as: **f The influence J05 1800 3 of mechanical action on the particles of free soil J05 1800 12 may be compared to that of kinetic energy on a molecular J05 1810 11 scale. Freed soil must be dispersed and protected against J05 1820 7 flocculation. Cleaned cloth must be protected against J05 1830 5 the redeposition of dispersed soil. It is evident that J05 1840 3 the requirements imposed by these effects upon any J05 1840 11 one detergent constituent acting alone are severe. J05 1850 7 Upon consideration of the variety of soils and fabrics J05 1860 8 normally encountered in the washing process, it is J05 1870 4 little wonder that the use of a number of detergent J05 1880 1 constituents having "synergistic" properties has gained J05 1880 7 widespread acceptance. In the over-all process, it J05 1890 8 is difficult to assign a "pure" role to each constituent J05 1900 6 of a built-detergent formulation; and, indeed, there J05 1910 4 is no more reason to separate the interrelated roles J05 1920 1 of the active, builder, antiredeposition agent, etc& J05 1920 8 than there is to assign individual actions to each J05 1930 8 of the numerous isomers making up a given commercial J05 1940 5 organic active. J06 0010 1 ## J06 0010 2 The thermal exchange of chlorine between **f and liquid J06 0010 11 **f is readily measurable at temperatures in the range J06 0020 8 of 180` and above. The photochemical exchange occurs J06 0030 4 with a quantum yield of the order of unity in the liquid J06 0040 5 phase at 65` using light absorbed only by the **f. J06 0050 1 In the gas phase, with **f of **f and **f of **f, quantum J06 0050 14 yields of the order of **f have been observed at 85`. J06 0060 9 Despite extensive attempts to obtain highly pure reagents, J06 0070 6 serious difficulty was experienced in obtaining reproducible J06 0080 3 rates of reaction. It appears possible to set a lower J06 0090 3 limit of about **f for the activation energy of the J06 0090 13 abstraction of a chlorine atom from a carbon tetrachloride J06 0100 9 molecule by a chlorine atom to form **f radical. The J06 0110 7 rate of the gas phase exchange reaction appears to J06 0120 3 be proportional to the first power of the absorbed J06 0120 12 light intensity indicating that the radical intermediates J06 0130 7 are removed at the walls or by reaction with an impurity J06 0140 9 rather than by bimolecular radical combination reactions. J06 0150 4 #INTRODUCTION# J06 0150 5 Because of the simplicity of the molecules, isotopic J06 0160 5 exchange reactions between elemental halogens and the J06 0170 4 corresponding carbon tetrahalides would appear to offer J06 0180 1 particularly fruitful possibilities for obtaining unambiguous J06 0180 7 basic kinetic data. It would appear that it should J06 0190 9 be possible to determine unique mechanisms for the J06 0200 5 thermal and photochemical reactions in both the liquid J06 0210 3 and gas phases and to determine values for activation J06 0210 12 energies of some of the intermediate reactions of atoms J06 0220 9 and free radicals, as well as information on the heat J06 0230 8 of dissociation of the carbon-halogen bond. The reaction J06 0240 4 of chlorine with carbon tetrachloride seemed particularly J06 0250 2 suited for such studies. It should be possible to prepare J06 0260 1 very pure chlorine by oxidation of inorganic chlorides J06 0260 9 on a vacuum system followed by multiple distillation J06 0270 6 of the liquid. It should be possible to free carbon J06 0280 5 tetrachloride of any interfering substances by the J06 0290 2 usual purification methods followed by prechlorination J06 0290 8 prior to addition of radioactive chlorine. Furthermore, J06 0300 6 the exchange would not be expected to be sensitive J06 0310 6 to trace amounts of impurities because it would not J06 0320 3 be apt to be a chain reaction since the activation J06 0320 13 energy for abstraction of chlorine by a chlorine atom J06 0330 8 would be expected to be too high; also it would be J06 0340 7 expected that **f would compete very effectively with J06 0350 2 any impurities as a scavenger for **f radicals. Contrary J06 0360 1 to these expectations we have found it impossible to J06 0360 10 obtain the degree of reproducibility one would wish, J06 0370 6 even with extensive efforts to prepare especially pure J06 0380 3 reagents. We are reporting these investigations here J06 0390 2 briefly because of their relevancy to problems of the J06 0390 11 study of apparently simple exchange reactions of chlorine J06 0400 6 and because the results furnish some information on J06 0410 5 the activation energy for abstraction of chlorine atoms J06 0420 3 from carbon tetrachloride. J06 0420 6 #EXPERIMENTAL# J06 0430 1 _REAGENTS._ J06 0430 3 - Matheson highest purity tank chlorine was passed J06 0430 10 through a tube of resublimed **f into an evacuated J06 0440 8 Pyrex system where it was condensed with liquid air. J06 0450 4 It was then distilled at least three times from a trap J06 0460 4 at -78` to a liquid air trap with only a small middle J06 0460 17 fraction being retained in each distillation. The purified J06 0470 8 product was stored at -78` in a tube equipped with J06 0480 10 a break seal. J06 0480 13 Of several methods employed for tagging chlorine J06 0490 6 with radiochlorine, the exchange of inactive chlorine J06 0500 4 with tagged aluminum chloride at room temperature was J06 0510 2 found to be the most satisfactory. To prepare the latter, J06 0520 1 silver chloride was precipitated from a solution containing J06 0520 9 **f obtained from the Oak Ridge National Laboratory. J06 0530 7 The silver chloride was fused under vacuum in the presence J06 0540 7 of aluminum chips with the resultant product of **f J06 0550 4 which was sublimed into a flask on the vacuum line. J06 0560 1 Previously purified chlorine was subsequently admitted J06 0560 7 and the exchange was allowed to take place. The radiochlorine J06 0570 8 was stored at -78` in a tube equipped with a break J06 0580 8 seal. J06 0580 9 Liter quantities of Mallinckrodt, low sulfur, reagent J06 0590 4 grade carbon tetrachloride were saturated with **f J06 0600 3 and **f and illuminated for about 50 hours with a 1000 J06 0600 14 watt tungsten lamp at a distance of a few inches. The J06 0610 11 mixture was then extracted with alkali and with water J06 0620 6 following which the carbon tetrachloride was distilled J06 0630 3 on a Vigreux column, a 25% center cut being retained J06 0640 1 which was then degassed under vacuum in the presence J06 0640 10 of **f. Purified inactive chlorine was then added from J06 0650 7 one of the tubes described above and the mixture frozen J06 0660 6 out and sealed off in a flask equipped with a break J06 0670 3 seal. This chlorine-carbon tetrachloride solution was J06 0670 10 illuminated for a day following which the flask was J06 0680 9 resealed onto a vacuum system and the excess chlorine J06 0690 6 distilled off. The required amount of carbon tetrachloride J06 0700 3 was distilled into a series of reaction cells on a J06 0710 2 manifold on a vacuum line. The desired amounts of inactive J06 0710 12 chlorine and radioactive chlorine were likewise condensed J06 0720 7 in these cells on the vacuum line following which they J06 0730 7 were frozen down and the manifold as a whole was sealed J06 0740 6 off. The contents of the manifold for liquid phase J06 0750 1 experiments were then mixed by shaking, redistributed J06 0750 8 to the reaction tubes, frozen down, and each tube was J06 0760 8 then sealed off. The reactants for the gas phase experiments J06 0770 6 were first frozen out in a side-arm attached to the J06 0780 4 manifold and then allowed to distil slowly into the J06 0780 13 manifold of pre-cooled reaction cells before sealing J06 0790 8 off. This method in general solved the problem of obtaining J06 0800 8 fairly equal concentrations of reactants in each of J06 0810 6 the six cells from a set. J06 0820 1 _REACTION CONDITIONS AND ANALYSIS._ J06 0820 3 - The samples for liquid phase thermal reaction J06 0830 1 studies were prepared in Pyrex capillary tubing 2.5 J06 0830 9 mm& i&d& and about 15 cm& long. In a few experiments J06 0840 9 the tubes were made from standard 6 mm& i&d& Pyrex J06 0850 6 tubing of 1 mm& wall thickness. Both types of tube J06 0860 4 withstood the pressure of approximately 20 atmospheres J06 0870 1 exerted by the carbon tetrachloride at 220`. The photochemical J06 0870 10 reaction cells consisted of 10 mm& i&d& Pyrex tubing, J06 0880 9 5.5 cm& long, diffraction effects being minimized by J06 0890 7 the fact that the light passed through only liquid-glass J06 0900 5 interfaces and not gas-glass interfaces. These cells J06 0910 3 were used rather than square Pyrex tubing because of J06 0920 2 the tendency of the latter to shatter when thawing J06 0920 11 frozen carbon tetrachloride. The round cells were reproducibly J06 0930 7 positioned in the light beam which entered the thermostated J06 0940 7 mineral oil-bath through a window. Two types of light J06 0950 5 source were used, a thousand watt projection lamp and J06 0960 3 an ~AH6 high pressure mercury arc. The light was filtered J06 0970 1 by the soft glass window of the thermostat thus ensuring J06 0970 11 that only light absorbed by the chlorine and not by J06 0980 10 the carbon tetrachloride could enter the reaction cell. J06 0990 6 Relative incident light intensities were measured with J06 1000 4 a thermopile potentiometer system. Changes of intensity J06 1010 1 on the cell were achieved by use of a wire screen and J06 1010 13 by varying the distance of the light source from the J06 1020 9 cell. J06 1020 10 Following reaction the cells were scratched with J06 1030 6 a file and opened under a 20% aqueous sodium iodide J06 1040 3 solution. Carrier **f was added and the aqueous and J06 1050 1 organic phases were separated (cells containing gaseous J06 1050 8 reactants were immersed in liquid air before opening J06 1060 7 under sodium iodide). After titration of the liberated J06 1070 5 **f with **f, aliquots of the aqueous and of the organic J06 1080 1 phase were counted in a solution-type Geiger tube. J06 1080 10 In the liquid phase runs the amount of carbon tetrachloride J06 1090 8 in each reaction tube was determined by weighing the J06 1100 5 tube before opening and weighing the fragments after J06 1110 2 emptying. The fraction of exchange was determined as J06 1110 10 the ratio of the counts/minute observed in the carbon J06 1120 9 tetrachloride to the counts/minute calculated for the J06 1130 5 carbon tetrachloride fractions for equilibrium distribution J06 1140 3 of the activity between the chlorine and carbon tetrachloride, J06 1150 2 empirically determined correction being made for the J06 1160 1 difference in counting efficiency of **f in **f and J06 1160 10 **f. J06 1160 11 #RESULTS# J06 1160 12 _THE THERMAL REACTION._ J06 1170 3 - In studying the liquid phase thermal reaction, J06 1180 2 some 70 tubes from 12 different manifold fillings were J06 1180 11 prepared and analyzed. Experiments were done at 180, J06 1190 8 200, 210, 220`. Following observation of the fact that J06 1200 6 the reaction rates of supposedly identical reaction J06 1210 3 mixtures prepared on the same filling manifold and J06 1220 1 exposed under identical conditions often differed by J06 1220 8 several hundred per cent&, a systematic series of experiments J06 1230 7 was undertaken to see whether the difficulty could J06 1240 4 be ascribed to the method of preparing the chlorine, J06 1250 1 to the effects of oxygen or moisture or to the effect J06 1250 12 of surface to volume ratio in the reaction tubes. In J06 1260 9 addition to the method described in the section above, J06 1270 6 chlorine and radiochlorine were prepared by the electrolysis J06 1280 4 of a **f eutectic on the vacuum line, and by exchange J06 1290 1 of **f with molten **f. Calcium hydride was substituted J06 1290 10 for **f as a drying agent for carbon tetrachloride. J06 1300 8 No correlation between these variables and the irreproducibility J06 1310 6 of the results was found. J06 1320 1 The reaction rates observed at 200` ranged from J06 1320 9 **f of the chlorine exchanged per hour to 0.7 exchanged J06 1330 7 per hour. In most cases the chlorine concentration J06 1340 2 was about **f. Sets of reaction tubes containing 0.2 J06 1340 11 of an atmosphere of added oxygen in one case and added J06 1350 11 moisture in another, both gave reaction rates in the J06 1360 7 range of 0.1 to 0.4 of the chlorine exchanged per hour. J06 1370 4 No detectable reaction was found at room temperature J06 1380 1 for reaction mixtures allowed to stand up to 5 hours. J06 1390 1 _THE LIQUID PHASE PHOTOCHEMICAL REACTION._ J06 1390 6 - The liquid phase photochemical exchange between J06 1400 3 chlorine and carbon tetrachloride was more reproducible J06 1410 1 than the thermal exchange, although still erratic. J06 1410 8 The improvement was most noticeable in the greater J06 1420 7 consistency among reaction cells prepared as a group J06 1430 5 on the same manifold. Rather large differences were J06 1440 1 still found between reaction cells from different manifold J06 1440 9 fillings. Some 80 reaction tubes from 13 manifold fillings J06 1450 9 were illuminated in the temperature range from 40 to J06 1460 7 85` in a further endeavor to determine the cause of J06 1470 4 the irreproducibility and to obtain information on J06 1480 1 the activation energy and the effect of light intensity. J06 1480 10 In all cases there was readily measurable exchange J06 1490 6 after as little as one hour of illumination. By comparing J06 1500 4 reaction cells sealed from the same manifold temperature J06 1510 2 dependency corresponding to activation energies ranging J06 1520 1 from 11 to 18 **f was observed while dependence on J06 1520 11 the first power of the light intensity seemed to be J06 1530 7 indicated in most cases. J06 1530 11 It was possible to make estimates of the quantum J06 1540 9 yield by observing the extent of reduction of a uranyl J06 1550 6 oxalate actinometer solution illuminated for a known J06 1560 4 time in a typical reaction cell and making appropriate J06 1560 13 conversions based on the differences in the absorption J06 1570 8 spectra of uranyl oxalate and of chlorine, and considering J06 1580 7 the spectral distribution of the light source. These J06 1590 5 estimates indicated that the quantum yield for the J06 1600 3 exchange of chlorine with liquid carbon tetrachloride J06 1600 10 at 65` is of the order of magnitude of unity. J06 1610 9 When typical reaction cells to which 0.3 of an atmosphere J06 1620 8 of oxygen had been added were illuminated, chlorine J06 1630 2 and phosgene were produced. Exchange was also observed J06 1640 1 in these cells, which had chlorine present at **f. J06 1650 1 _THE PHOTOCHEMICAL EXCHANGE IN THE GAS PHASE._ J06 1650 6 - Although there was some variation in results which J06 1660 4 must be attributed either to trace impurities or to J06 1670 2 variation in wall effects, the photochemical exchange J06 1670 9 in the gas phase was sufficiently reproducible so that J06 1680 6 it seemed meaningful to compare the reaction rates J06 1690 4 in different series of reaction tubes for the purpose J06 1700 1 of obtaining information on the effect of chlorine J06 1700 9 concentration and of carbon tetrachloride concentration J06 1710 6 on the reaction rate. Data on such comparisons together J06 1720 5 with data on the effect of light intensity are given J06 1730 3 in Table /1., J06 1730 6 In series /1, the relative light intensity was varied J06 1740 4 by varying the distance of the lamp from the reaction J06 1750 2 cell over the range from 14.7 to 29.2 cm&. The last J06 1750 13 column shows the rate of exchange that would have been J06 1760 10 oserved at a relative intensity of 4 (14.7 cm& distance) J06 1770 7 calculated on the assumptions that the incident light J06 1780 4 intensity is inversely proportional to the square of J06 1790 2 the distance of the lamp from the cell and that the J06 1790 13 rate is directly proportional to the incident light J06 1800 6 intensity. Direct proportionality of the rate to the J06 1810 6 incident intensity has also been assumed in obtaining J06 1820 1 the value in the last column for the fourth sample J06 1820 11 of series /2, where the light intensity was reduced J06 1830 7 by use of a screen. J07 0010 1 The Poynting-Robertson effect (Robertson, 1937; Wyatt J07 0010 8 and Whipple, 1950), which is a retardation of the orbital J07 0020 9 motion of particles by the relativistic aberration J07 0030 5 of the repulsive force of the impinging solar radiation, J07 0040 3 causes the dust to spiral into the sun in times much J07 0050 1 shorter than the age of the Earth. The radial velocity J07 0050 11 varies inversely as the particle size- a 1000-~|m-diameter J07 0060 9 particle near the orbit of Mars would reach the sun J07 0070 8 in about 60 million years. Whipple (1955) extends the J07 0080 4 effects to include the solar-corpuscular-radiation J07 0090 1 pressure, which increases both the minimum particle J07 0090 8 size and the drag. Further, the corpuscular radiation, J07 0100 5 i&e&, the solar-wind protons, must sputter away the J07 0110 5 surface atoms of the dust and cause a slow diminution J07 0120 2 in size, with a resultant increase in both the Poynting-Robertson J07 0130 1 effect and the ratio of the repulsive force to the J07 0130 11 gravitational force. J07 0140 2 The Poynting-Robertson effect causes the semi-major J07 0150 1 axis of orbits to diminish more rapidly than the semi-minor J07 0150 12 axis, with a consequent tendency toward circular orbits J07 0160 8 as the particles move toward the sun. Also, planetary J07 0170 6 gravitational attraction increases the dust concentration J07 0180 4 near the plane of the ecliptic as the sun is approached. J07 0190 2 At one astronomical unit from the sun (the Earth's J07 0190 11 distance) the dust orbits are probably nearly circular. J07 0200 8 If such is the case, the particles within a distance J07 0210 6 of about **f ~km of the Earth will have, relative to J07 0220 4 the Earth, a kinetic energy less than their potential J07 0230 1 energy and they will be captured into orbits about J07 0230 10 the Earth. De Jager (1955) has calculated the times J07 0240 7 required for these particles to reach the atmosphere J07 0250 5 under the influence of the Poynting-Robertson effect, J07 0260 2 which in this case causes the orbits to become more J07 0260 12 and more eccentric without changing the semi-major J07 0270 6 axis. This effect can give rise to a blanket of micrometeorites J07 0280 5 around the Earth. J07 0280 8 Since there is a continual loss of micrometeoritic J07 0290 6 material in space because of the radiation effects, J07 0300 3 there must be a continual replenishment: otherwise, J07 0310 1 micrometeorites would have disappeared from interplanetary J07 0310 7 space. There are several possible sources. According J07 0320 6 to Whipple (1955), cometary debris is sufficient to J07 0330 5 replenish the material spiraling into the sun, maintaining J07 0340 3 a fairly steady state. Asteroidal collisions are also J07 0350 1 thought to contribute material. It is also possible J07 0350 9 that some of the dust in the vicinity of the Earth J07 0360 9 originated from meteoritic impacts upon the moon. J07 0370 4 #5.3 DIRECT MEASUREMENTS OF MICROMETEORITE FLUX# J07 0380 1 One cannot make a very satisfactory guess about the J07 0380 10 micrometeorite flux in space. Even in the neighborhood J07 0390 8 of the Earth, where information has been obtained both J07 0400 5 directly and indirectly, the derived flux values vary J07 0410 3 by at least four orders of magnitude. This large discrepancy J07 0420 1 demonstrates the inadequacies of the experimental methods J07 0420 8 and the lack of understanding of the various phenomena J07 0430 8 involved. Beyond a few million kilometers from the J07 0440 6 Earth, but still in the region of the Earth's orbit, J07 0450 3 a prediction of the flux of dust is even more unreliable. J07 0460 1 At greater distances from the sun, the situation is J07 0460 10 still less certain. J07 0470 2 There are several sources of evidence on the micrometeorite J07 0480 1 environment. Direct information has been obtained from J07 0480 8 rockets and satellites equipped with impact sensors. J07 0490 7 In addition, the size distribution obtained from visual J07 0500 5 and radar observations of meteors may be extrapolated J07 0510 3 to the micrometeorite domain. From the brightness of J07 0520 1 the ~F component of the solar corona and the brightness J07 0520 11 of the zodiacal light, an estimate of the particle J07 0530 7 sizes, concentrations, and spatial distribution can J07 0540 3 be derived for regions of space near the ecliptic plane. J07 0550 2 Another important source of evidence only recently J07 0550 9 receiving much attention is the analysis of atmospheric J07 0560 8 dust for a meteoritic component. The cores of deep-sea J07 0570 7 sediments and content of collectors in remote regions J07 0580 4 are valuable in this category. The data provide a measure J07 0590 2 of the total mass of cosmic material incident upon J07 0590 11 the Earth. J07 0600 1 The direct evidence on the micrometeorite environment J07 0600 8 near the Earth is obtained from piezoelectric sensors J07 0610 5 (essentially microphones) and from wire gages; these J07 0620 6 instruments are installed on rockets, satellites, and J07 0630 2 space probes. Statistically, the most significant data J07 0630 9 have been collected from the sensors on 1958 Alpha J07 0640 9 (Explorer /1,), 1958 Delta 2 (Sputnik /3,), and 1959 J07 0650 8 Eta (Vanguard /3,). These vehicles, with large sensitive J07 0660 5 areas, have collected data for long enough times to J07 0670 3 give reliable impact rates for the periods of exposure. J07 0680 1 Many other vehicles with smaller sensitive-area exposure-time J07 0680 10 products contribute some information. J07 0690 4 The impact rate on 1958 Alpha for 153 events was J07 0700 5 **f for particles of mass greater than **f (Dubin, J07 0710 1 1960); this mass threshold was derived from the detector J07 0710 10 calibration and an assumed impact velocity of **f. J07 0720 8 The data show daily and diurnal variations. Ninety J07 0730 3 per cent of the 153 recorded impacts occurred between J07 0740 2 midnight and noon, and from day to day the variation J07 0740 12 of the rate was as much as an order of magnitude. One J07 0750 10 may conclude that most of the detected micrometeoritic J07 0760 5 material is concentrated in orbital streams which intersect J07 0770 3 the Earth's orbit. J07 0770 6 There have been contradictory reports from 1958 J07 0780 4 Delta 2, and the data quoted here are believed to be J07 0790 3 the more reliable. On May 15, a very large increase J07 0790 13 occurred with **f of mass between **f and **f; for J07 0800 10 the next two days, the impact rate was **f; and for J07 0810 8 the next nine days, the impact rate was less than **f J07 0820 5 (Nazarova, 1960). The data for the first day indicate J07 0830 1 a meteor stream with a very high concentration of particles J07 0830 11 and may have led to the high estimates of micrometeorite J07 0840 9 flux. J07 0840 10 Preliminary data from 1959 Eta give an average impact J07 0850 9 rate of **f for masses larger than **f for about 1000 J07 0860 7 events in a 22-day period (LaGow and Alexander, 1960). J07 0870 4 The day-to-day rate varied by less than a factor of J07 0880 2 4.5. The data have not yet been analyzed for diurnal J07 0880 12 variations. Note that the mass threshold is four times J07 0890 9 that of 1958 Alpha and that the flux is one fifth as J07 0900 8 large. If one assumes that the average flux did not J07 0910 4 change between measurements, a mass-distribution curve J07 0910 11 is obtained which relates the flux of particles larger J07 0920 9 than a given radius to the inverse 7/2 power of the J07 0930 8 radius. J07 0930 9 Space probes have yielded little information. Pioneer J07 0940 5 /1, recorded a decrease in flux with distance from J07 0950 4 the Earth on the basis of 11 counts in 9 hours. With J07 0951 1 detectors sensitive to three mass intervals and based J07 0960 8 on a few counts, the second and third Russian space J07 0970 7 probes indicate that the flux of the smallest particles J07 0980 5 detected is less than that of larger ones. Being based J07 0990 3 on so few events, these results are of dubious validity. J07 1000 1 The calibration of piezoelectric sensors in terms J07 1000 8 of the particle parameters is very uncertain. Many J07 1010 6 workers believe that the response is proportional to J07 1020 4 the incident momentum of the particles, a relation J07 1030 1 deduced from laboratory results linearly extrapolated J07 1030 7 to meteoritic velocities. However, one must expect J07 1040 6 that vaporization and ejection of material by hypervelocity J07 1050 5 impacts would cause a deviation from a linear relationship. J07 1060 2 In the United States, most of the sensors are calibrated J07 1070 1 by dropping small spheres on their sensitive surfaces. J07 1070 9 The Russian experimenters claim that only a small fraction J07 1080 9 of the impulse from the sensors is caused by the incident J07 1090 9 momentum with the remainder being momentum of ejected J07 1100 5 material from the sensor. This "ejection" momentum J07 1110 2 is linearly related to the particle energy. They quote J07 1120 1 about the same mass threshold as that of the U&S& apparatus, J07 1120 12 but a momentum threshold about 40 times greater. There J07 1130 9 is a difference in the experimental arrangement, in J07 1140 6 that the U&S& microphones are attached directly to J07 1150 4 the vehicle skin while the Russian instruments are J07 1160 2 isolated from the skin. The threshold mass is derived J07 1160 11 from the momentum threshold with the assumption of J07 1170 7 a mean impact velocity of **f in the U&S& work and J07 1171 6 **f in the U&S&S&R& work. The threshold mass of about J07 1190 4 **f corresponds to a 10-~|m-diameter sphere of density J07 1200 2 **f. However, the conversion from mass to size is unreliable, J07 1210 1 since many photographic meteors give evidence of a J07 1210 9 fluffy, loosely bound meteorite structure with densities J07 1220 5 as low as **f. To what extent such low density applies J07 1230 5 to micrometeorites is unknown. The velocity value used J07 1240 3 is also open to some question; if a substantial fraction J07 1250 1 of the dust is orbiting about the Earth, only about J07 1250 11 one third the above-mentioned average velocity should J07 1260 4 be used in deriving the mass. Zodiacal light and the J07 1270 4 gegenschein give some evidence for such a dust blanket, J07 1280 2 a phenomenon also to be expected if the dust before J07 1280 12 capture is in circular orbits about the sun, as indicated J07 1290 10 by the trend of the smaller visible meteors. The diurnal J07 1300 6 variation in the observed flux may be partly due to J07 1310 6 the dependence of the detector sensitivity on the incident J07 1320 2 velocity. J07 1320 3 The flux of micrometeorites in the neighborhood J07 1330 1 of the Earth can be estimated by extrapolation from J07 1330 10 radar and visual meteor data. A summary of meteorite J07 1340 8 data, prepared by Whipple (1958) on the basis of photographic, J07 1350 7 visual, and radar evidence, is given in Table 5-1. J07 1360 7 From an estimated mass of 25 ~g for a zero-magnitude J07 1370 3 meteorite, the other masses are derived with the assumption J07 1380 1 of a mass decrease by a factor of 2.512 for each unit J07 1380 13 increase in magnitude. The radius is calculated from J07 1390 7 the mass by assuming spheres of density **f except J07 1400 5 for the smallest particles, which must have a higher J07 1410 2 mass density to remain in the solar system in the presence J07 1410 13 of solar-radiation pressure. The flux values are for J07 1420 9 all particles with masses greater than the given mass J07 1430 7 and are based on an estimate of the numbers of visual J07 1440 4 meteors. It is assumed that the flux values increase J07 1450 1 by a factor of 2.512 per magnitude, in accordance with J07 1450 11 the opinion that the total mass flux in each unit range J07 1460 10 in magnitude is constant. The values agree with the J07 1470 6 data from 1958 Alpha and 1959 Eta. The figures in the J07 1480 3 next-to-last column are derived with the assumption J07 1480 12 of 50 per cent shielding by the Earth; hence, these J07 1490 9 figures apply immediately above the Earth's atmosphere. J07 1500 5 The unshielded flux is given in the last column; these J07 1510 6 figures constitute the best estimate for the flux in J07 1520 3 interplanetary space near the Earth. Of course, if J07 1520 11 there is a dust blanket around the Earth, the fluxes J07 1530 10 in interplanetary space should be less than the figures J07 1540 7 given here. J07 1540 9 Note that the mass scale is one to two orders of J07 1550 8 magnitude greater than some previously used; for example, J07 1560 4 Jacchia (1948) derived a scale of 0.15 ~g for a **f, J07 1570 3 zero-magnitude meteorite. The older scales were based J07 1570 11 on theoretical estimates of the conversion efficiency J07 1580 6 of kinetic energy into light. The mass scale used in J07 1590 7 Table 5-1 was derived on the assumption that the motion J07 1600 4 of the glowing trail is related to the momentum transfer J07 1610 2 to the trail by the meteorite, permitting the calculation J07 1610 11 of the mass if the velocity is known (Cook and Whipple, J07 1620 11 1958). J07 1630 1 A concentration distribution has been derived from J07 1630 7 radar observations sensitive to the fifteenth magnitude J07 1640 6 (Manning and Eshleman, 1959). Extrapolation of this J07 1650 4 relationship through the thirtieth magnitude covers J07 1660 1 the range of micrometeorites. The approximate equation J07 1660 8 is **f, where ~n is the number of **f with electron J07 1670 8 line-density greater than or equal to **f, and ~q is J07 1680 8 proportional to the mass of the meteorite. Therefore, J07 1690 2 ~n is inversely proportional to the radius cubed and J07 1700 2 in fair agreement with the inverse 7/2 power derived J07 1700 11 from 1958 Alpha and 1959 Eta data. At the fifteenth J07 1710 8 magnitude, **f, and at the twenty-fifth magnitude, J07 1720 2 **f. These extrapolated fluxes are about an order of J07 1730 2 magnitude less than the values from the satellite data J07 1730 11 and the figures in Whipple's table. The extrapolation J07 1740 7 may be in error for several reasons. The observational J07 1750 5 data determining the concentration distribution have J07 1760 3 a range of error which is magnified in the extension J07 1770 1 into the micrometeorite region. The solar-electromagnetic- J07 1770 9 and corpuscular-radiation pressure and the associated J07 1780 5 Poynting-Robertson effect increase in effectiveness J07 1790 4 as the particle size decreases and modify the distribution J07 1800 3 and limit sizes to larger than a few microns. Also, J07 1810 1 it has been suggested that the source of all or part J07 1810 12 of the dust may not be the same as that for visual J07 1820 9 or radar meteorites (Best, 1960), and the same distribution J07 1830 5 would not be expected. J07 1830 9 #5.4. INDIRECT INDICATIONS OF MICROMETEORITE FLUX# J07 1840 4 A measure of the total mass accretion of meteoritic J07 1850 3 material by the Earth is obtained from analyses of J07 1860 1 deep-sea sediments and dust collected in remote regions J07 1860 10 (Pettersson, 1960). Most meteoritic material, by the J07 1870 6 time it reaches the Earth's surface, has been reduced J07 1880 5 to dust or to spherules of ablated material in its J07 1890 3 passage through the atmosphere. For all meteorites, J07 1890 10 the average nickel content is about 2.5 per cent. This J07 1900 9 is much higher than the nickel content of terrestrial J07 1910 5 dusts and sediments and provides a basis for the determination J07 1920 4 of the meteoritic mass influx. Present data indicate J07 1930 2 an accretion of about **f tons per year over the entire J07 1930 13 globe, or about **f. J08 0010 1 #BIOLOGICAL WARFARE# J08 0010 3 Biological warfare is the intentional use of living J08 0020 2 microorganisms or their toxic products for the purpose J08 0020 10 of destroying or reducing the military effectiveness J08 0030 6 of man. It is the exploitation of the inherent potential J08 0040 5 of infectious disease agents by scientific research J08 0050 2 and development, resulting in the production of ~BW J08 0060 1 weapons systems. Man may also be injured secondarily J08 0060 9 by damage to his food crops or domestic animals. J08 0070 7 Biological warfare is considered to be primarily J08 0080 4 a strategic weapon. The major reason for this is that J08 0090 3 it has no quick-kill effect. The incubation period J08 0090 12 of infectious disease, plus a variable period of illness J08 0100 8 even before a lethal effect, render this weapon unsuitable J08 0110 5 for hand-to-hand encounter. A man can be an effective J08 0130 5 fighting machine throughout the incubation period of J08 0140 2 most infectious diseases. Thus, an enemy would probably J08 0140 10 use this weapon for attack on static population centers J08 0150 7 such as large cities. J08 0160 1 An important operational procedure in ~BW for an J08 0160 9 enemy would be to create an areosol or cloud of agent J08 0170 10 over the target area. This concept has stimulated much J08 0180 5 basic research concerning the behavior of particulate J08 0190 2 biological materials, the pathogenesis of respiratory J08 0190 8 infections, the medical management of such diseases J08 0200 7 and defense against their occurrence. J08 0210 2 The biological and physical properties of infectious J08 0220 1 particles have been studied intensively during the J08 0220 8 past fifteen years. Much new equipment and many unique J08 0230 8 techniques have been developed for the quantitative J08 0240 4 exposure of experimental animals to aerosols of infectious J08 0250 3 agents contained in particles of specified dimensional J08 0260 1 characteristics. Much information has been gathered J08 0260 7 relative to quantitative sampling and assesment techniques. J08 0270 5 Much of the older experimental work on respiratory J08 0280 4 infections was accomplished by very artificial procedures. J08 0290 2 The intranasal instillation of a fluid suspension of J08 0290 10 infectious agent in an anesthetized animal is far different J08 0300 9 from exposure, through natural respiration, to aerosolized J08 0310 6 organisms. J08 0310 7 The importance of particle size in such aerosols J08 0320 8 has been thoroughly demonstrated. The natural anatomical J08 0330 4 and physiological defensive features of the upper respiratory J08 0340 5 tract, such as the turbinates of the nose and the cilia J08 0350 3 of the trachea and larger bronchi, are capable of impinging J08 0360 1 out the larger particles to which we are ordinarily J08 0360 10 exposed in our daily existence. Very small particles, J08 0370 5 however, in a size range of 1 to 4 microns in diameter J08 0380 5 are capable of passing these impinging barriers and J08 0390 2 entering the alveolar bed of the lungs. This area is J08 0390 12 highly susceptible to infection. The entrance and retention J08 0400 7 of infectious particles in the alveoli amounts almost J08 0410 6 to an intratissue inoculation. The relationship between J08 0420 3 particle size and infectious dose is illustrated in J08 0430 2 Table 1. J08 0430 4 In considering ~BW defense, it must be recognized J08 0440 1 that a number of critical meterological parameters J08 0440 8 must be met for an aerosol to exhibit optimum effect. J08 0450 7 For example, bright sunlight is rapidly destructive J08 0460 4 for living microorganisms suspended in air. There are J08 0470 2 optimal humidity requirements for various agents when J08 0470 9 airborne. Neutral or inversion meteorological conditions J08 0480 6 are necessary for a cloud to travel along the surface. J08 0490 7 It will rise during lapse conditions. There are, of J08 0500 4 course, certain times during the 24-hour daily cycle J08 0510 1 when most of these conditions will be met. J08 0510 9 Certain other properties of small particles, in J08 0520 5 addition to those already mentioned in connection with J08 0530 3 penetration of the respiratory tract, are noteworthy J08 0540 1 in defense considerations. The smaller the particle J08 0540 8 the further it will travel downwind before settling J08 0550 5 out. An aerosol of such small particles. moreover, J08 0560 2 diffuses through structures in much the same manner J08 0560 10 as a gas. There may be a number of secondary effects J08 0570 11 resulting from diffusion through buildings such as J08 0580 5 widespread contamination of kitchens, restaurants, J08 0590 2 food stores, hospitals, etc&. Depending on the organism, J08 0600 1 there may be multiplication in some food or beverage J08 0600 10 products, i&e&, in milk for example. The secondary J08 0610 7 consequences from this could be very serious and must J08 0620 6 be taken into consideration in planning for defense. J08 0630 2 Something of the behavior of clouds of small particles J08 0640 1 can be illustrated by the following field trials: J08 0640 9 In the first trial an inert substance was disseminated J08 0650 8 from a boat travelling some ten miles off shore under J08 0660 7 appropriately selected meteorological conditions. Zinc J08 0670 3 cadmium sulfide in particles of 2 microns in size were J08 0680 1 disseminated. This material fluoresces under ultraviolet J08 0680 7 light which facilitates its sampling and assessment. J08 0690 6 Four hundred and fifty pounds was disseminated while J08 0700 4 the ship was traveling a distance of 156 miles. J08 0710 2 Figure 1 describes the results obtained in this J08 0710 10 trial. The particles traveled a maximum detected distance J08 0720 8 of some 450 miles. From these dosage isopleths it can J08 0730 7 be seen that an area of over 34,000 square miles was J08 0740 4 covered. These dosages could have been increased by J08 0750 2 increasing the source strength which was small in this J08 0750 11 case. J08 0760 1 The behavior of a biological aerosol, on a much J08 0760 9 smaller scale, is illustrated by a specific field trial J08 0770 6 conducted with a non-pathogenic organism. An aqueous J08 0780 3 suspension of the spores of B& subtilis, var& niger, J08 0790 2 generally known as Bacillus globigii, was aerosolized J08 0800 1 using commercially available nozzles. A satisfactory J08 0800 7 cloud was produced even though these nozzles were only J08 0810 7 about 5 per cent efficient in producing an initial J08 0820 4 cloud in the size range of 1 to 5 microns. In this J08 0830 1 test, 130 gallons of a suspension, having a count of J08 0830 11 **f organisms per ~ml, or a total of approximately J08 0840 8 **f spores, was aerosolized. The spraying operation J08 0850 3 was conducted from the rear deck of a small Naval vessel, J08 0860 2 cruising two miles off-shore and vertical to an on-sure J08 0860 13 breeze. Spraying continued along a two-mile course. J08 0870 8 This operation was started at 5:00 p&m& and lasted J08 0880 8 for 29 minutes. There was a slight lapse condition, J08 0890 5 a moderate fog, and 100 per cent relative humidity. J08 0900 2 A network of sampling stations had been set up on shore. J08 0900 13 These were located at the homes of Government employees, J08 0910 9 in Government Offices, buildings and reservations within J08 0920 6 the trial area. A rough attempt was made to characterize J08 0930 6 the vertical profile of the cloud by taking samples J08 0940 3 from outside the windows on the first, ninth, and fifteenth J08 0950 1 floors of a Government office building. J08 0950 7 All samplers were operated for a period of two hours J08 0960 8 except one, which was operated for four hours. In this J08 0970 6 instance, there was a dosage of 562 during the first J08 0980 2 two hours and a total dosage of 1980 for the four-hour J08 0980 14 period, a four-fold increase. This suggests that the J08 0990 9 sampling period, particularly at the more distant locations, J08 1000 6 should have been increased. J08 1010 1 As can be seen from Figure 2, an extensive area J08 1010 11 was covered by this aerosol. The maximum distance sampled J08 1020 6 was 23 miles from the source. As can be seen from these J08 1030 7 dosage isopleths, approximately 100 square miles was J08 1040 3 covered within the area sampled. It is quite likely J08 1040 12 that an even greater area was covered, particularly J08 1050 8 downwind. The dosages in the three levels of the vertical J08 1060 8 profile were: **f J08 1060 11 This was not, of course, enough sampling to give J08 1070 8 a satisfactory description of the vertical diffusion J08 1080 5 of the aerosol. J08 1080 8 A number of unique medical problems might be created J08 1090 5 when man is exposed to an infectious agent through J08 1100 3 the respiratory route rather than by the natural portal J08 1105 1 of entry. Some agents have been shown to be much more J08 1110 10 toxic or infectious to experimental animals when exposed J08 1120 6 to aerosols of optimum particle size than by the natural J08 1130 6 portal. Botulinal toxin, for example, is several thousand-fold J08 1140 3 more toxic by this route than when given per os. In J08 1150 2 some instances a different clinical disease picture J08 1150 9 may result from this route of exposure, making diagnosis J08 1160 7 difficult. In tularemia produced by aerosol exposure, J08 1170 4 one would not expect to find the classical ulcer of J08 1180 3 "rabbit fever" on a finger. J08 1180 8 An enemy would obviously choose an agent that is J08 1190 6 believed to be highly infectious. Agents that are known J08 1200 4 to cause frequent infections among laboratory workers J08 1210 1 such as those causing ~Q fever, tularemia, brucellosis, J08 1210 9 glanders, coccidioidomycosis, etc&, belong in this J08 1220 6 category. J08 1220 7 An agent would likely be selected which would possess J08 1230 7 sufficient viability and virulence stability to meet J08 1240 4 realistic minimal logistic requirements. It is, obviously, J08 1250 3 a proper goal of research to improve on this property. J08 1260 1 In this connection it should be capable of being disseminated J08 1260 11 without excessive destruction. Moreover, it should J08 1270 6 not be so fastidious in its growth requirements as J08 1280 5 to make production on a militarily significant scale J08 1290 2 improbable. J08 1290 3 An aggressor would use an agent against which there J08 1300 3 was a minimal naturally acquired or artificially induced J08 1310 1 immunity in a target population. A solid immunity is J08 1310 10 the one effective circumstance whereby attack by a J08 1320 6 specific agent can be neutralized. It must be remembered, J08 1330 5 however, that there are many agents for which there J08 1340 2 is no solid immunity and a partial or low-grade immunity J08 1340 13 may be broken by an appropriate dose of agent. J08 1350 8 There is a broad spectrum of organisms from which J08 1360 5 selection for a specified military purpose might be J08 1370 3 made. An enemy might choose an acutely debilitating J08 1370 11 microorganism, a chronic disease producer or one causing J08 1380 8 a high rate of lethality. J08 1390 1 It is possible that certain mutational forms may J08 1390 9 be produced such as antibiotic resistant strains. Mutants J08 1400 7 may also be developed with changes in biochemical properties J08 1410 6 that are of importance in identification. All of these J08 1420 5 considerations are of critical importance in considering J08 1430 3 defense and medical management. J08 1430 7 Biological agents are, of course, highly host-specific. J08 1440 7 They do not destroy physical structures as is true J08 1450 5 of high explosives. This may be of overriding importance J08 1460 2 in considering military objectives. J08 1460 6 The question of epidemic disease merits some discussion. J08 1470 7 Only a limited effort has been devoted to this problem. J08 1480 6 Some of those who question the value of ~BW have assumed J08 1490 5 that the only potential would be in the establishment J08 1500 1 of epidemics. They then point out that with our present J08 1500 11 lack of knowledge of all the factors concerned in the J08 1510 10 rise and fall of epidemics, it is unlikely that a planned J08 1520 9 episode could be initiated. They argue further (and J08 1530 5 somewhat contradictorily) that our knowledge and resources J08 1540 3 in preventive medicine would make it possible to control J08 1550 1 such an outbreak of disease. this is why this approach J08 1550 11 to ~BW defense has not been given major attention. J08 1560 8 Our major problem is what an enemy might accomplish J08 1570 7 in an initial attack on a target. This, of course, J08 1580 3 does not eliminate from consideration for this purpose J08 1590 1 agents that are associated naturally with epidemic J08 1590 8 disease. A hypothetical example will illustrate this J08 1600 5 point. Let us assume that it would be possible for J08 1610 4 an enemy to create an aerosol of the causative agent J08 1620 1 of epidemic typhus (Rickettsia prowazwki) over City J08 1620 8 ~A and that a large number of cases of typhus fever J08 1630 10 resulted therefrom. No epidemic was initiated nor was J08 1640 5 one expected because the population in City ~A was J08 1650 3 not lousy. Lousiness is a prerequisite for epidemic J08 1650 11 typhus. In this case, then, the military objective J08 1660 8 was accomplished with an epidemic agent solely through J08 1670 6 the results secured in the initial attack. This was J08 1680 4 done with full knowledge that there would be no epidemic. J08 1690 1 On the other hand, a similar attack might have been J08 1690 11 made on City ~B whose population was known to be lousy. J08 1700 9 One might expect some spread of the disease in this J08 1710 7 case resulting in increased effectiveness of the attack. J08 1720 4 The major defensive problems are concerned with J08 1730 2 the possibility of overt military delivery of biological J08 1730 10 agents from appropriate disseminating devices. It should J08 1740 6 be no more difficult to deliver such devices than other J08 1750 7 weapons. The same delivery vehicles- whether they be J08 1760 6 airplanes, submarines or guided missiles- should be J08 1770 2 usable. If it is possible for an enemy to put an atomic J08 1770 14 bomb on a city, it should be equally possible to put J08 1780 10 a cloud of biological agent over that city. J08 1790 4 Biological agents are, moreover, suitable for delivery J08 1800 3 through enemy sabotage which imposes many problems J08 1800 10 in defense. A few obvious target areas of great importance J08 1810 9 might be mentioned. The air conditioning and ventilating J08 1820 6 systems of large buildings are subject to attack. America J08 1830 5 is rapidly becoming a nation that uses processed, precooked J08 1840 3 and even predigested foods. This is an enormous industry J08 1850 2 that is subject to sabotage. One must include the preparation J08 1860 1 of soft drinks and the processing of milk and milk J08 1860 11 products. Huge industries are involved also in the J08 1870 7 production of biological products, drugs and cosmetics J08 1880 4 which are liable to this type of attack. J09 0010 1 A variety of techniques have been directed toward J09 0010 9 the isolation and study of blood group antibodies. J09 0020 7 These include low-temperature ethanol (Cohn) fractionation, J09 0030 4 electrophoresis, ultracentrifugation and column chromatography J09 0040 3 on ion exchange celluloses. Modifications of the last J09 0050 3 technique have been applied by several groups of investigators. J09 0060 1 Abelson and Rawson, using a stepwise elution scheme, J09 0060 9 fractionated whole sera containing ~ABO and ~Rh antibodies J09 0070 8 on diethylaminoethyl ~DEAE cellulose and carboxymethyl J09 0080 5 cellulose. Speer and coworkers, in a similar study J09 0090 7 of blood group antibodies of whole sera, used a series J09 0100 5 of gradients for elution from ~DEAE-cellulose. Fahey J09 0110 2 and Morrison used a single, continuous gradient at J09 0110 10 constant ~pH for the fractionation of anti-~A and anti-~B J09 0120 11 agglutinins from preisolated ~|g-globulin samples. J09 0130 6 In the present work whole sera have been fractionated J09 0140 8 by chromatography on ~DEAE-cellulose using single gradients J09 0150 4 similar to those described by Sober and Peterson, and J09 0160 6 certain chemical and serological properties of the J09 0170 3 fractions containing antibodies of the ~ABO and ~Rh J09 0180 1 systems have been described. J09 0180 5 #MATERIALS AND METHODS# J09 0190 1 _SAMPLES._ J09 0190 1 Serum samples were obtained from normal group ~A, J09 0190 9 group ~B and group ~O donors. Three of the anti-~Rh J09 0200 10 sera used were taken from recently sensitized individuals. J09 0210 5 One contained complete antibody and had a titer of J09 0220 6 1:512 in saline. The second contained incomplete antibody J09 0230 2 and showed titers of 1:256 in albumin and 1:2048 by J09 0240 1 the indirect Coombs test. The third, containing the J09 0240 9 mixed type of complete and incomplete antibodies, had J09 0250 5 titers of 1:256 in saline, 1:512 in albumin and 1:1024 J09 0260 5 by the indirect Coombs test. In addition one serum J09 0270 3 was obtained from a donor (R& E&) who had been sensitized J09 0280 1 6 years previously. This serum exhibited titers of J09 0280 9 1:16 in albumin and 1:256 by the indirect Coombs test. J09 0290 8 These antibody titers were determined by reaction with J09 0300 6 homozygous **f red cells. J09 0310 1 _SEROLOGICAL TECHNIQUE._ J09 0310 2 Anti-~A and anti-~B activities were determined in J09 0320 2 fractions from the sera of group ~A, group ~B or group J09 0320 13 ~O donors by the following tube agglutination methods. J09 0330 8 One drop of each sample was added to one drop of a J09 0340 9 2% suspension of group **f or group ~B red cells in J09 0350 6 a small **f test tube. In several instances group ~O J09 0360 3 cells were also used as controls. The red cells were J09 0360 13 used within 2 days after donation and were washed with J09 0370 10 large amounts of saline before use. The mixtures of J09 0380 6 sample plus cell suspension were allowed to stand at J09 0390 4 room temperature for 1 ~hr. the tubes were then centrifuged J09 0400 2 at 1000 ~rpm for 1 ~min and examined macroscopically J09 0400 11 for agglutination. For the albumin method, equal volumes J09 0410 8 of 30% bovine albumin, sample and 2% cells suspended J09 0420 7 in saline were allowed to stand at room temperature J09 0430 5 for 1 ~hr and then were centrifuged at 1000 ~rpm for J09 0440 3 1 ~min. All samples were tested by both the saline J09 0440 13 and albumin methods. The activities of fractions of J09 0450 8 sera containing ~Rh antibodies were tested by the saline, J09 0460 7 albumin and indirect Coombs techniques. Homozygous J09 0470 3 and heterozygous **f cells, **f and homozygous and J09 0480 2 heterozygous **f cells were used to test each sample; J09 0480 11 however, in the interest of clarity and conciseness J09 0490 6 only the results obtained with homozygous **f and homozygous J09 0500 5 **f cells will be presented here. J09 0510 1 The saline and albumin tests were performed as described J09 0510 9 for the ~ABO samples except that the mixture was incubated J09 0520 8 for 1 ~hr at 37`~C before centrifugation. The saline J09 0530 5 tubes were saved and used for the indirect Coombs test J09 0540 5 in the following manner. The cells were washed three J09 0550 2 times with saline, anti-human serum was added, the J09 0550 11 cells were resuspended, and the mixture was centrifuged J09 0560 7 at 1000 ~rpm for 1 ~min and examined for agglutination. J09 0570 5 The anti-human sera used were prepared by injecting J09 0580 3 whole human serum into rabbits. Those antisera shown J09 0590 1 by immunoelectrophoresis to be of the "broad spectrum" J09 0590 9 type were selected for used in the present study. J09 0600 8 The red cells for the ~Rh antibody tests were used J09 0610 6 within 3 days after drawing except for the **f cells, J09 0620 5 which had been glycerolized and stored at -20`~C for J09 0630 2 approximately 1 year. These cells were thawed at 37`~C J09 0630 11 for 30 ~min and were deglycerolized by alternately J09 0640 7 centrifuging and mixing with descending concentrations J09 0650 4 of glycerol solutions (20, 18, 10, 8, 4 and 2%). The J09 0660 4 cells were then washed three times with saline and J09 0660 13 resuspended to 2% in saline. J09 0670 5 _CHROMATOGRAPHY._ J09 0670 6 Blood samples were allowed to clot at room temperature J09 0680 7 for 3 ~hr, centrifuged and the serum was removed. The J09 0690 4 serum was measured volumetrically and subsequently J09 0700 1 dialyzed in the cold for at least 24 ~hr against three J09 0700 12 to four changes, approximately 750 ~ml each, of "starting J09 0710 7 buffer". This buffer, ~pH 8.6, was 0.005 ~M in **f J09 0720 9 and 0.039 ~M in tris(hydroxymethyl)-aminomethane (Tris). J09 0730 2 After dialysis the sample was centrifuged and the supernatant J09 0740 4 placed on a **f ~cm column of ~EEAE-cellulose equilibrated J09 0750 2 with starting buffer. The ~DEAE-cellulose, containing J09 0760 2 0.78 ~mEq of ~N/g, was prepared in our laboratory by J09 0770 2 the method of Peterson and Sober (7) from powdered J09 0770 11 cellulose, 100-230 mesh. The small amount of insoluble J09 0780 7 material which precipitated during dialysis was suspended J09 0790 5 in approximately 5 ~ml of starting buffer, centrifuged, J09 0800 2 resuspended in 2.5 ~ml of isotonic saline and tested J09 0810 1 for antibody activity. J09 0810 4 The chromatography was done at 6`~C using gradient J09 0820 3 elution, essentially according to Sober and Peterson. J09 0830 1 The deep concave gradient employed (fig& 2) was obtained J09 0830 10 with a nine-chambered gradient elution device ("Varigrad", J09 0840 8 reference (8)) and has been described elsewhere. the J09 0850 8 other, a shallow concave gradient (Fig& 1), was produced J09 0860 6 with a so-called "cone-sphere" apparatus, the "cone" J09 0870 4 being a 2-liter Erlenmeyer flask and the "sphere," J09 0880 4 a 2-liter round-bottom flask. Each initially contained J09 0890 1 1700 ~ml of buffer; in the sphere was starting buffer J09 0890 11 and in the cone was final buffer, 0.50 ~M in both **f J09 0900 12 and Tris, ~pH 4.1. J09 0910 1 A flow rate of 72 **f was used and 12 ~ml fractions J09 0910 13 were collected. Approximately 165 fractions were obtained J09 0920 6 from each column. These were read at 280 ~m|m in a J09 0930 9 Beckman model ~DU spectrophotometer and tested for J09 0940 4 antibody activity as described above. J09 0950 1 _PAPER ELECTROPHORESIS._ J09 0950 2 For protein identification, fractions from the column J09 0960 2 were concentrated by pervaporation against a stream J09 0960 9 of air at 5`~C or by negative pressure dialysis in J09 0970 7 an apparatus which permitted simultaneous concentration J09 0980 3 of the protein and dialysis against isotonic saline. J09 0990 2 During the latter procedure the temperature was maintained J09 1000 1 at 2`~C by surrounding the apparatus with ice. Because J09 1000 10 negative pressure dialysis gave better recovery of J09 1010 6 proteins, permitted detection of proteins concentrated J09 1020 4 from very dilute solutions and was a gentler procedure, J09 1030 2 it was used in all but the earliest experiments. J09 1030 11 Paper electrophoresis was carried out on the concentrated J09 1040 8 samples in a Spinco model ~R cell using barbital buffer, J09 1050 7 ~pH 8.6, ionic strength 0.075, at room temperature J09 1060 5 on Whatman ~3MM filter paper. Five milliamperes/cell J09 1070 2 were applied for 18 ~hr, after which the strips were J09 1080 2 stained with bromphenol blue and densitometry was carried J09 1080 10 out using a Spinco Analytrol. J09 1090 4 When paper electrophoresis was to be used for preparation, J09 1100 4 eight strips of a whole serum sample or a chromatographic J09 1110 1 fraction concentrated by negative pressure dialysis J09 1110 7 were run/chamber under the conditions described above. J09 1120 6 At the end of the run, the strips in the third and J09 1130 7 sixth positions in each chamber were dried, stained J09 1140 2 for 1 ~hr, washed and dried, while the other strips J09 1140 12 were maintained in a horizontal position at 1`~C. The J09 1150 9 unstained strips were then marked, using the stained J09 1160 6 ones as a guide, and cut transversely so as to separate J09 1170 5 the various protein bands. The strip sections containing J09 1180 1 a given protein were pooled, eluted with 0.5 ~ml of J09 1180 11 isotonic saline, and the eluates were tested for antibody J09 1190 9 activity. J09 1200 1 _ULTRACENTRIFUGATION._ J09 1200 1 Fractions from the column which were to be subjected J09 1210 1 to analytical ultracentrifugation were concentrated J09 1210 6 by negative pressure dialysis and dialyzed for 16 ~hr J09 1220 7 in the cold against at least 500 volumes of phosphate-buffered J09 1230 5 saline, ~pH 7.2, ionic strength 0.154. They were then J09 1240 4 centrifuged at 59,780 ~rpm for 35 to 80 ~min at 20`~C J09 1250 3 in a Spinco model ~E ultracentrifuge at a protein concentration J09 1260 1 of 1.00 to 1.25%. Sedimentation coefficients were computed J09 1270 1 as **f values and relative amounts of the various components J09 1270 11 were calculated from the Schlieren patterns. J09 1280 5 For preparative ultracentrifugation, fractions from J09 1290 3 the column were concentrated by negative pressure dialysis J09 1300 2 to volumes of 1 ~ml or less, transferred to cellulose J09 1310 1 tubes and diluted to 12 ~ml with isotonic saline. J09 1310 10 Ultracentrifugation J09 1320 1 was then carried out in a Spinco model ~L ultracentrifuge J09 1320 11 at 40,000 ~rpm for 125 to 150 ~min, refrigeration being J09 1330 10 used throughout the run. Successive 1-~ml fractions J09 1340 7 were then drawn off with a hypodermic syringe, starting J09 1350 4 at the top of the tube, and tested for agglutinin activity. J09 1360 2 Other methods will be described below. J09 1370 1 #EXPERIMENTAL AND RESULTS# J09 1370 4 The insoluble material which precipitated during dialysis J09 1380 3 against starting buffer always showed intense agglutinin J09 1390 1 activity, regardless of the blood group of the donor. J09 1390 10 With either of the gradients described, chromatography J09 1400 6 on ~DEAE-cellulose separated agglutinins of the ~ABO J09 1410 6 series into at least three regions (Figs& 1 and 2): J09 1420 5 one of extremely low anionic binding capacity, one J09 1430 2 of low anionic binding capacity and one of high anionic J09 1430 12 binding capacity. These have been labeled Regions 1, J09 1440 8 2, and 4, respectively, in Fig& 1. When the early part J09 1450 8 of the gradient was flattened, either by using the J09 1460 5 gradient shown in Fig& 2 or by allowing the "cone-sphere" J09 1470 1 gradient to become established more slowly, Region J09 1470 8 2 activity could sometimes be separated into two areas J09 1480 8 (donors P& J& and R& S&, Fig& 1 and E& M&, Fig& 2). J09 1490 11 The latter procedure gave rise to a small active protein J09 1500 9 peak (Region 1a) between Regions 1 and 2. In 2 of 15 J09 1510 9 experiments on whole serum a region of agglutinin activity J09 1520 3 with intermediate anionic binding capacity was detected J09 1530 1 (Region 3, Fig& 1). Moreover, after concentration using J09 1530 9 negative pressure dialysis, agglutinin activity could J09 1540 6 sometimes be detected in the region designated 2a (donors J09 1550 7 P& J&, D& A&, and J& F&, Fig& 1). J09 1560 5 Not all these regions exhibited equal agglutinating J09 1570 2 activity, as evidenced by titer and the extent of the J09 1580 1 active areas. In all cases, most of the activity lay J09 1580 11 in the region of high anionic binding capacity. This J09 1590 6 was particularly noticeable in group ~A and group ~B J09 1600 5 sera, in which cases activity in Regions 1 and 2 was J09 1610 4 usually not detectable without prior concentration J09 1610 10 and occasionally could not be detected at all. There J09 1620 8 appeared to be no difference in the distribution of J09 1630 5 anti-~A and anti-~B activity in group ~O serum, though J09 1640 4 in two group ~O donors (J& F& and E& M&) only one type J09 1650 5 of agglutinin was found in the regions of low anionic J09 1660 1 binding capacity (Figs& 1 and 2). J09 1660 7 Several samples of citrated plasma were fractionated J09 1670 5 in our laboratory by Method 6 of Cohn et al&. These J09 1680 4 fractions were tested for ~ABO agglutinin activity, J09 1690 2 using fractions from group ~AB plasma as a control. J09 1700 1 As expected, most of the activity was found in Fraction J09 1700 11 **f, with slight activity seen in Fraction /4,-1. A J09 1710 9 sample of Fraction **f from group ~O plasma was dissolved J09 1720 7 in starting buffer, dialyzed against this buffer and J09 1730 4 subjected to chromatography using the gradient shown J09 1740 1 in Fig& 2. Once again, both anti-~A and anti-~B activities J09 1750 1 were found in the insoluble material precipitated during J09 1750 9 dialysis. Similarly, both types of antibodies were J09 1760 7 found in three regions of the chromatographic eluate, J09 1770 3 having extremely low, low, and high anionic binding J09 1780 2 capacity, respectively (Fig& 3). J09 1780 6 Chromatography of whole sera revealed that the areas J09 1790 7 of ~Rh antibody activity were generally continuous J09 1800 2 and wide. The incomplete antibody activity appeared J09 1810 1 in the early part of the chromatogram; the complete, J09 1810 10 in the latter part. The serum containing the mixed J09 1820 7 type of complete and incomplete antibodies showed activity J09 1830 4 in both regions (Fig& 1). In all cases the activity J09 1840 3 against **f cells was spread over a wider area than J09 1840 13 that with **f cells, regardless of the type of test J09 1850 10 (saline, albumin, indirect Coombs) used for comparison. J09 1860 5 The insoluble material resulting from dialysis against J09 1870 4 starting buffer always showed strong activity. In fact J09 1880 2 agglutination of **f cells in saline could be produced J09 1880 11 by the insoluble material from sera containing "only" J09 1890 7 incomplete antibody activity. This was later known J09 1900 6 to be the result of concentrating the minute amount J09 1910 3 of complete antibody found in these sera; when the J09 1910 12 insoluble fraction was suspended in a volume of saline J09 1920 9 equal to that of the original serum sample, no complete J09 1930 7 antibody activity could be detected. J10 0010 1 Apart from the honeybee, practically all bees and J10 0010 9 bumblebees hibernate in a state of torpor. Occasionally, J10 0020 8 you may come across one or two bumblebees in the cold J10 0030 7 season, when you are turning over sods in your garden, J10 0040 4 but you have to be a really keen observer to see them J10 0050 1 at all. They keep their wings and feet pressed tightly J10 0050 11 against their bodies, and in spite of their often colorful J10 0060 9 attire you may very well mistake them for lumps of J10 0070 6 dirt. I must add at once that these animals are what J10 0080 3 we call "queens", young females that have mated in J10 0080 12 the previous summer or autumn. It is on them alone J10 0090 9 that the future of their race depends, for all their J10 0100 6 relatives (mothers, husbands, brothers, and unmated J10 0110 3 sisters) have perished with the arrival of the cold J10 0110 12 weather. Even some of the queens will die before the J10 0120 10 winter is over, falling prey to enemies or disease. J10 0130 6 The survivors emerge on some nice, sunny day in March J10 0140 4 or April, when the temperature is close to 50` ~F and J10 0150 2 there is not too much wind. Now the thing for us to J10 0150 14 do is to find ourselves a couple of those wonderful J10 0160 7 flowering currants such as the red Ribes sanguineum J10 0170 4 of our Pacific Northwest, or otherwise a good sloe J10 0180 3 tree, or perhaps some nice pussy willow in bloom, preferably J10 0190 1 one with male or staminate catkins. The blooms of Ribes J10 0190 11 and of the willow and sloe are the places where large J10 0200 10 numbers of our early insects will assemble: honeybees, J10 0210 4 bumblebees, and other wild bees, and also various kinds J10 0220 4 of flies. It is a happy, buzzing crowd. J10 0230 1 Each male willow catkin is composed of a large number J10 0230 10 of small flowers. It is not difficult to see that the J10 0240 9 stamens of the catkin are always arranged in pairs, J10 0250 4 and that each individual flower is nothing but one J10 0260 1 such pair standing on a green, black-tipped little J10 0260 10 scale. By scrutinizing the flowers, one can also notice J10 0270 7 that the scale bears one or two tiny warts. Those are J10 0280 5 the nectaries or honey glands (Fig& 26, page 74). The J10 0290 3 staminate willow catkins, then, provide their visitors J10 0290 10 with both nectar and pollen; a marvelous arrangement, J10 0300 8 for it provides exactly what the bee queens need to J10 0310 8 make their beebread, a combination of honey and pollen J10 0320 5 with which the young of all species are fed. The only J10 0330 2 exception to this is certain bees that have become J10 0330 11 parasites. I will deal with these later on. J10 0340 7 Quite often, honeybees form a majority on the willow J10 0350 5 catkins. As we have already seen in the first chapter, J10 0360 2 bumblebees are bigger, hairier, and much more colorful J10 0360 10 than honeybees, exhibiting various combinations of J10 0370 5 black, yellow, white and orange. Let us not try to J10 0380 7 key them out at this stage of the game, and let us J10 0390 3 just call them Bombus; there must be several dozen J10 0390 12 species in the United States alone. If you really insist J10 0410 8 on knowing their names, an excellent book on the North J10 0420 7 American species is Bumblebees and Their Ways by O& J10 0430 5 E& Plath. J10 0430 7 If we manage to keep track of a Bombus queen after J10 0440 6 she has left her feeding place, we may discover the J10 0450 3 snug little hideout which she has fixed up for herself J10 0460 1 when she woke up from her winter sleep. As befits a J10 0460 12 queen, a bumblebee female is rather choosy and may J10 0470 7 spend considerable time searching for a suitable nesting J10 0480 4 place. Most species seem to prefer a ready-made hollow J10 0490 2 such as a deserted mouse nest, a bird house, or the J10 0490 13 hole made by a woodpecker; some show a definite liking J10 0500 9 for making their nest in moss. Once she has made up J10 0510 7 her mind, the queen starts out by constructing, in J10 0520 2 her chosen abode, a small "floor" of dried grass or J10 0520 12 some woolly material. On this, she builds an "egg compartment" J10 0530 10 or "egg cell" which is filled with that famous pollen-and-nectar J10 0550 11 mixture called beebread. She also builds one or two J10 0560 9 waxen cups which she fills with honey. Then, a group J10 0570 6 of eggs is deposited in a cavity in the beebread loaf J10 0580 3 and the egg compartment is closed. The queen afterward J10 0590 1 keeps incubating and guarding her eggs like a mother J10 0590 10 hen, taking a sip from time to time from the rather J10 0600 8 liquid honey in her honey pots. When the larvae hatch, J10 0610 4 they feed on the beebread, although they also receive J10 0620 1 extra honey meals from their mother. She continues J10 0620 9 to add to the pollen supply as needed. J10 0630 5 The larvae, kept warm by the queen, are full grown J10 0640 4 in about ten days. Each now makes a tough, papery cocoon J10 0650 1 and pupates. After another two weeks, the first young J10 0650 10 emerge, four to eight small daughters that begin to J10 0660 8 play the role of worker bees, collecting pollen and J10 0670 4 nectar in the field and caring for the new young generation J10 0680 2 while the queen retires to a life of egg laying. The J10 0680 13 first worker bees do not mate or lay eggs; males and J10 0690 11 mating females do not emerge until later in the season. J10 0700 7 The broods of workers that appear later tend to be J10 0710 5 bigger than the first ones, probably because they are J10 0720 1 better fed. By the middle of the summer, many of the J10 0720 12 larvae apparently receive such a good diet that it J10 0730 8 is "optimal", and it is then that young queens begin J10 0740 5 to appear. Simultaneously, males or drones are produced, J10 0750 2 mostly from the unfertilized eggs of workers, although J10 0750 10 a few may be produced by the queen. The young queens J10 0760 11 and drones leave the nest and mate, and after a short J10 0770 8 period of freedom, the fertilized young queens will J10 0790 3 begin to dig in for the winter. It is an amazing fact J10 0790 15 that in some species this will happen while the summer J10 0800 10 is still in full swing, for instance, in August. The J10 0810 7 temperature then is still very high. At the old nest, J10 0820 6 the queen will in the early fall cease to lay the fertilized J10 0830 3 eggs that will produce females. As a result, the proportion J10 0840 1 of males (which leave the nest) increases, and eventually J10 0840 10 the old colony will die out completely. The nest itself, J10 0850 9 the structure that in some cases housed about 2,000 J10 0860 7 individuals when the season was at its peak, is now J10 0870 4 rapidly destroyed by the scavenging larvae of certain J10 0880 1 beetles and moths. J10 0880 4 Not always, though, does the development of a bumblebee J10 0890 3 colony take place in the smooth fashion we have just J10 0890 13 described. Some members of the bee family have become J10 0900 9 idlers, social parasites that live at the expense of J10 0910 7 their hardworking relatives. Bumblebees can thus suffer J10 0920 4 severely from the onslaughts of Psithyrus, the "cuckoo-bumblebee" J10 0930 3 as it is called in some European countries. Female J10 0940 2 individuals of Psithyrus look deceptively like the J10 0940 9 workers and queens of the bumblebees they victimize. J10 0950 8 The one sure way to tell victim and villain apart is J10 0960 6 to examine the hind legs which in the case of the idler, J10 0970 5 Psithyrus, lack the pollen baskets- naturally! The J10 0990 2 female parasite spends much time in her efforts to J10 0990 11 find a nest of her host. When she succeeds, she usually J10 1000 9 manages to slip in unobtrusively, to deposit an egg J10 1010 5 on a completed loaf of beebread before the bumblebees J10 1020 2 seal the egg compartment. The hosts never seem to recognize J10 1030 1 that something is amiss, so that the compartment afterward J10 1030 10 is sealed normally. Thus, the larvae of the intruder J10 1040 8 can develop at the expense of the rightful inhabitants J10 1050 5 and the store of beebread. Later on, they and the mother J10 1060 4 Psithyrus are fed by the Bombus workers. Worse still, J10 1070 3 in a number of cases it has been claimed that the Psithyrus J10 1080 1 female kills off the Bombus queen. J10 1080 7 But let us return, after this gruesome interlude, J10 1090 5 to our willow catkins in the spring; there are other J10 1100 4 wild bees that command our attention. J10 1100 10 It is almost certain that some of these, usually J10 1110 9 a trifle smaller than the honeybees, are andrenas or J10 1120 5 mining bees. There are about 200 different kinds of J10 1130 3 Andrena in Europe alone. One of my favorites is A& J10 1140 1 armata, a species very common in England, where it J10 1140 10 is sometimes referred to as the lawn bee. The females J10 1150 9 like to burrow in the short turf of well-kept lawns, J10 1160 6 where their little mounds of earth often appear by J10 1170 2 the hundreds. Almost equal in size to a honeybee. A& J10 1170 12 armata is much more beautiful in color, at least in J10 1180 10 the female of the species: a rich, velvety, rusty red. J10 1190 6 The males are much duller. J10 1200 1 After having mated, an Andrena female digs a hole J10 1200 10 straight down into the ground, forming a burrow about J10 1210 8 the size of a lead pencil. The bottom part of a burrow J10 1220 7 has a number of side tunnels or "cells", each of which J10 1230 4 is provided with an egg plus a store of beebread. The J10 1240 1 development of the Andrena larvae is very rapid, so J10 1240 10 that by the end of spring they have already pupated J10 1250 8 and become adults. But they are still enclosed in their J10 1260 6 larval cells and remain there throughout the summer, J10 1270 3 fall, and winter. Their appearance, next spring, coincides J10 1280 1 in an almost uncanny way with the flowering of their J10 1280 11 host plants. In the Sacramento valley in California, J10 1290 7 for instance, it has been observed that there was not J10 1300 5 one day's difference between the emergence of the andrenas J10 1310 4 and the opening of the willow catkins. This must be J10 1320 1 due to a completely identical response to the weather, J10 1320 10 in the plant and the animal. J10 1330 3 After the male and female andrenas have mated, the J10 1340 2 cycle is repeated. Although Andrena is gregarious, J10 1340 9 so that we may find hundreds and hundreds of burrows J10 1350 8 together, we must still call it a solitary bee. Its J10 1360 6 life history is much simpler than that of the truly J10 1370 2 colonial bumblebees and can serve as an example of J10 1370 11 the life cycle of many other species. After all, social J10 1380 9 life in the group of the bees is by no means general, J10 1390 8 although it certainly is a striking feature. On the J10 1400 4 basis of its life history, we like to think that Andrena J10 1410 1 is more primitive than the bumblebees. The way in which J10 1410 11 it transports its pollen is not so perfect, either. J10 1420 8 It lacks pollen baskets and possesses only a large J10 1430 6 number of long, branched hairs on its legs, on which J10 1440 3 the pollen grains will collect. Still Andrena will J10 1450 1 do a reasonably good job, so that an animal with a J10 1450 12 full pollen load looks like a gay little piece of yellow J10 1460 8 down floating in the wind. J10 1470 1 Closely related to the andrenas are the nomias or J10 1470 10 alkali bees. Nomia melanderi can be found in tremendous J10 1480 7 numbers in certain parts of the United States west J10 1490 5 of the Great Plains, for example, in Utah and central J10 1500 3 Washington. In the United States Department of Agriculture's J10 1510 1 Yearbook of Agriculture, 1952, which is devoted entirely J10 1520 1 to insects, George E& Bohart mentions a site in Utah J10 1520 11 which was estimated to contain 200,000 nesting females. J10 1530 8 Often the burrows are only an inch or two apart, and J10 1540 9 the bee cities cover several acres. The life history J10 1550 4 of the alkali bee is similar to that of Andrena, but J10 1560 2 the first activity of the adults does not take place J10 1560 12 until summer, and the individuals hibernate in the J10 1570 7 prepupal stage. In most places, there are two generations J10 1580 5 a year, a second brood of adults appearing late in J10 1590 3 the summer. J10 1590 5 I must plead guilty to a special sympathy for nomias. J10 1600 3 This may just be pride in my adopted State of Washington, J10 1610 1 but certainly I love to visit their mound cities near J10 1610 11 Yakima and Prosser in July or August, when the bees J10 1620 9 are in their most active period. The name "alkali bee" J10 1630 6 indicates that one has to look for them in rather inhospitable J10 1640 5 places. Sometimes, although by no means always, these J10 1650 3 are indeed alkaline. The thing is that these bees love J10 1670 1 a fine-grained soil that is moist; yet the water in J10 1670 12 the ground should not be stagnant either. They dislike J10 1680 7 dense vegetation. Where does one find such conditions? J10 1690 5 The best chance, of course, is offered by gently sloping J10 1700 3 terrain where the water remains close to the surface J10 1700 12 and where the air is dry, so that a high evaporation J10 1710 11 leaves salty deposits which permit only sparse plant J10 1720 6 growth. J11 0010 1 Many other (probably nearly all) snakes at maturity J11 0010 9 are already more than half their final length. Laurence J11 0020 7 M& Klauber put length at maturity at two thirds the J11 0030 5 ultimate length for some rattlesnakes, and Charles J11 0040 1 C& Carpenter's data on Michigan garter and ribbon snakes J11 0050 1 (Thamnophis) show that the smallest gravid females J11 0050 8 are more than half as long as the biggest adults. Felix J11 0060 9 Kopstein states that "when the snake reaches its maturity J11 0070 6 it has already reached about its maximal length", but J11 0080 3 goes on to cite the reticulate python as an exception, J11 0090 1 with maximum length approximately three times that J11 0090 8 at maturity. It is hard to understand how he concluded J11 0100 9 that most snakes do not grow appreciably after attaining J11 0110 4 maturity; he was working with species of Java, so perhaps J11 0120 5 some tropical snakes are unusual in this respect. Certain J11 0130 2 individual giants recorded later did fail to show a J11 0130 11 reasonable difference after maturity, but it is impossible J11 0140 8 to know whether this is due to captive conditions. J11 0150 6 Additional records of slow growth have been omitted. J11 0160 3 It is possible to make a few generalizations about J11 0170 1 the six giants themselves. There seems to be a rough J11 0170 11 correlation between the initial and ultimate lengths, J11 0180 7 starting with the smallest (boa constrictor) and ending J11 0190 5 with the largest (anaconda). Data on the former are J11 0200 3 scanty, but there can be little doubt that the latter J11 0200 13 is sometimes born at a length greater than that of J11 0210 9 any of the others, thereby lending support to the belief J11 0220 6 that the anaconda does, indeed, attain the greatest J11 0230 3 length. For four of the six (the anaconda and the amethystine J11 0240 1 python cannot be included for lack of data) there is J11 0240 11 also a correlation between size at maturity and maximum J11 0250 7 length, the boa constrictor being the smallest and J11 0260 5 the Indian python the next in size at the former stage. J11 0270 3 Let us speculate a little on the maximum size of J11 0280 2 the anaconda. If, in a certain part of the range, it J11 0280 13 starts life 1 foot longer than do any of the other J11 0290 9 (relatively large) giants, and reaches maturity at, J11 0300 3 let us guess, 18 inches longer than the others, a quadrupling J11 0310 2 of the maturity length would result in a maximum of J11 0310 12 (nearly) 40 feet. J11 0320 3 When it comes to rate of early growth, the Indian J11 0330 1 python leads with a figure of about 3 feet 6 inches J11 0330 12 per year for the first two years, more or less. The J11 0340 8 African rock python, a close second, is followed in J11 0350 4 turn by the reticulate python. There are few data on J11 0360 2 the boa constrictor, those for the anaconda are unconvincing, J11 0360 11 and there is nothing at all on the amethystine python. J11 0370 10 It seems likely that the Indian python comes out ahead J11 0380 7 because records of its growth have been made more carefully J11 0390 5 and frequently; it responds exceptionally well to captivity J11 0400 4 and does not reach proportions that make it hard to J11 0410 1 keep. J11 0410 2 I cannot make sense out of the figures for post J11 0410 12 maturity growth; at best the annual increase appears J11 0420 8 to be a matter of inches rather than feet. Until better J11 0430 6 records have been kept over longer periods of time J11 0440 4 and much more is known about the maximum dimensions, J11 0450 1 it will be wise to refrain from drawing conclusions. J11 0450 10 It is often stated that the largest snakes require J11 0460 6 five years to attain maturity, but this apparently J11 0470 3 is an overestimation. The best way to determine the J11 0480 1 correct figure (in captives) is by direct observation J11 0480 9 of pairs isolated from birth, a method that produced J11 0490 7 surprising results: maturing of a male Indian python J11 0500 5 in less than two years, his mate in less than three; J11 0510 1 data on the boa constrictor about match this. J11 0510 9 Another approach is to estimate from the rate of J11 0520 8 growth and the smallest size at maturity. Results from J11 0530 4 this approach amply confirm the direct observations: J11 0540 1 about three years are required, there being a possible J11 0540 10 slight difference between males and females in the J11 0550 8 time required. Only the amethystine python and the J11 0560 5 anaconda must be excluded for lack or paucity of data. J11 0570 3 The following information on snakes varying greatly J11 0580 1 in size (but all with less than a 10-foot maximum) J11 0580 12 shows, when considered with the foregoing, that there J11 0590 6 is probably no correlation between the length of a J11 0600 5 snake and the time required for it to mature. Oliver, J11 0610 1 in his summary of the habits of the snakes of the United J11 0610 13 States, could supply data on the maturing period for J11 0620 9 only three species in addition to the rattlers, which J11 0630 5 I shall consider separately. These three were much J11 0640 3 alike: lined snake (Tropidoclonion), one year and nine J11 0650 2 months; red-bellied snake (Storeria), two years; cottonmouth J11 0660 1 (Ancistrodon), two years. Klauber investigated the J11 0660 7 rattlesnakes carefully himself and also summarized J11 0670 6 what others have found. He concluded that in the southern J11 0680 6 species, which are rapidly growing types, females mate J11 0690 3 at the age of two and a half and bear the first young J11 0700 1 when they are three. Other herpetologists have ascertained J11 0700 9 that in the northern United States the prairie rattlesnake J11 0710 8 may not give first birth until it is four or even five J11 0720 9 years old, and that the young may be born every other J11 0730 5 year, rather than annually. Carpenter's study showed J11 0740 2 that female common garter and ribbon snakes of Michigan J11 0740 11 mature at about the age of two. J11 0750 7 #MAXIMUM LENGTH# J11 0750 9 Oversized monsters are never brought home either alive J11 0760 6 or preserved, and field measurements are obviously J11 0770 3 open to doubt because of the universal tendency to J11 0770 12 exaggerate dimensions. Measurements of skins are of J11 0780 7 little value; every snake hide is noticeably longer J11 0790 6 than its carcass and intentional stretching presents J11 0800 2 no difficulty to the unscrupulous explorer. J11 0800 8 In spite of all the pitfalls, there is a certain J11 0810 10 amount of agreement on some of the giants. The anaconda J11 0820 7 proves to be the fly in the ointment, but the reason J11 0830 4 for this is not clear; the relatively wild conditions J11 0840 1 still found in tropical South America might be responsible. J11 0850 1 There are three levels on which to treat the subject. J11 0850 11 The first is the strictly scientific, which demands J11 0860 6 concrete proof and therefore may err on the conservative J11 0870 5 side by waiting for evidence in the flesh. This approach J11 0880 2 rejects virtually all field measurements. The next J11 0880 9 level attempts to weigh varied evidence and come to J11 0890 9 a balanced, sensible conclusion; field measurements J11 0900 3 by experienced explorers are not rejected, and even J11 0910 3 reports of a less scientific nature are duly evaluated. J11 0920 1 The third level leans on a belief that a lot of smoke J11 0920 13 means some fire. The argument against this last approach J11 0930 7 is comparable to that which rejects stories about hoop J11 0940 5 snakes, about snakes that break themselves into many J11 0950 3 pieces and join up again, or even of ghosts that chase J11 0950 14 people out of graveyards; the mere piling up of testimony J11 0960 10 does not prove, to the scientific mind, the existence J11 0970 7 of hoop snakes, joint snakes, or ghosts. J11 0980 3 Oliver has recently used the second-level approach J11 0990 1 with the largest snakes, and has come to these conclusions: J11 0990 11 the anaconda reaches a length of at least 37 feet, J11 1000 9 the reticulate python 33, the African rock python 25, J11 1010 6 the amethystine python at least 22, the Indian python J11 1020 2 20, and the boa constrictor 18-1/2. J11 1020 9 Bernard Heuvelmans also treats of the largest snakes, J11 1030 7 but on the third level, and is chiefly concerned with J11 1040 5 the anaconda. He reasons that as anacondas 30 feet J11 1050 3 long are often found, some might be 38, and occasional J11 1050 13 "monstrous freaks" over 50. He rejects dimensions of J11 1060 8 70 feet and more. His thirteenth chapter includes many J11 1070 6 exciting accounts of huge serpents with prodigious J11 1080 3 strength, but these seem to be given to complete his J11 1090 1 picture, not to be believed. J11 1090 6 Detailed information on record lengths of the giants J11 1100 5 is given in the section that follows. J11 1100 12 #GROWTH OF THE SIX GIANTS# J11 1110 5 Discussions of the giants one by one will include, J11 1120 1 as far as possible, data on these aspects of growth: J11 1120 11 size at which life is started and at which sexual maturity J11 1130 9 is reached; time required to reach maturity; rate of J11 1140 6 growth both before and after this crucial stage; and J11 1150 3 maximum length, with confirmation or amplification J11 1160 1 of Oliver's figures. Definite information on the growth J11 1160 9 of senile individuals is lacking. J11 1170 4 _ANACONDA:_ J11 1170 5 At birth, this species varies considerably in size. J11 1180 4 A brood of twenty-eight born at Brookfield Zoo, near J11 1190 3 Chicago, ranged in length from 22 to 33-1/2 inches J11 1190 13 and averaged 29 inches. Lawrence E& Griffin gives measurements J11 1200 8 of nineteen young anacondas, presumably members of J11 1210 6 a brood, from "South America"; the extreme measurements J11 1220 4 of these fall between the lower limit of the Brookfield J11 1230 4 brood and its average. Raymond L& Ditmars had two broods J11 1250 3 that averaged 27 inches. R& R& Mole and F& W& Urich J11 1260 2 give approximately 20 inches as the average length J11 1260 10 of a brood of thirty from the region of the Orinoco J11 1270 9 estuaries. William Beebe reports 26 inches and 2.4 J11 1280 6 ounces (this snake must have been emaciated) for the J11 1290 3 length and the weight of a young anaconda from British J11 1290 13 Guiana. In contrast, Ditmars recorded the average length J11 1300 8 of seventy-two young of a 19-foot female as 38 inches, J11 1310 10 and four young were born in London at a length of 35 J11 1320 6 or 36 inches and a weight of from 14 to 16 ounces. J11 1330 1 Beebe had a 3-foot anaconda that weighed only 9.8 ounces. J11 1330 12 A difference between subspecies might explain the great J11 1340 7 range in size. J11 1350 1 I have little information on the anaconda's rate J11 1350 9 of growth. Hans Schweizer had one that increased from J11 1370 7 19-1/2 inches to 5 feet 3 inches in five years, and J11 1380 5 J& J& Quelch records a growth of from less than 4 feet J11 1390 4 to nearly 10 in about six years. It is very unlikely J11 1390 15 that either of these anacondas was growing at a normal J11 1400 10 rate. J11 1400 11 In 1948, Afranio do Amaral, the noted Brazilian J11 1410 7 herpetologist, wrote a technical paper on the giant J11 1420 6 snakes. He concluded that the anaconda's maximum length J11 1430 3 is 12 or 13 (perhaps 14) meters, which would approximate J11 1440 1 from 39 to 42 feet (14 meters is slightly less that J11 1440 12 46 feet). Thus, his estimate lies between Oliver's J11 1450 6 suggestion of at least 37 feet and the 50-foot "monstrous J11 1460 6 freaks" intimated by Heuvelmans. J11 1470 1 The most convincing recent measurement of an anaconda J11 1470 9 was made in eastern Colombia by Roberto Lamon, a petroleum J11 1480 8 geologist of the Richmond Oil Company, and reported J11 1490 5 in 1944 by Emmett R& Dunn. However, as a field measurement, J11 1500 5 it is open to question. Oliver's 37-1/2 feet is partly J11 1510 4 based on this report and can be accepted as probable. J11 1520 1 However, many herpetologists remain skeptical and would J11 1520 8 prefer a tentative maximum of about 30 feet. J11 1530 8 It is possible that especially large anacondas will J11 1540 4 prove to belong to subspecies limited to a small area. J11 1550 4 In snakes difference in size is a common characteristic J11 1560 1 of subspecies. J11 1560 3 _BOA CONSTRICTOR:_ J11 1560 5 A Colombian female's brood of sixteen boa constrictors J11 1570 5 born in the Staten Island Zoo averaged 20 inches. This J11 1580 4 birth length seems to be typical. When some thirteen J11 1590 1 records of newly and recently born individuals are J11 1590 9 collated, little or no correlation between length and J11 1600 7 distribution can be detected. The range is from 14 J11 1610 5 to 25 inches; the former figure is based on a somewhat J11 1620 1 unusual birth of four by a Central American female J11 1620 10 (see chapter on Laying, Brooding, Hatching, and Birth), J11 1630 7 the latter on a "normal" newly born individual. However, J11 1640 5 as so many of the records are not certainly based on J11 1650 5 newborn snakes, these data must be taken tentatively; J11 1660 1 final conclusions will have to await the measurements J11 1660 9 of broods from definite localities. J11 1670 4 Alphonse R& Hoge's measurements of several very J11 1680 4 young specimens from Brazil suggest that at birth the J11 1690 1 female is slightly larger than the male. J11 1690 8 I have surprisingly little information on the size J11 1700 5 and age at maturity. Carl Kauffeld has written to me J11 1710 4 of sexual activity in February 1943 of young born in J11 1710 14 March 1940. One female, collected on an island off J11 1720 9 the coast of Nicaragua, was gravid and measured 4 feet J11 1730 7 8 inches from snout to vent (her tail should be between J11 1740 6 6 and 7 inches long). The female from Central America J11 1750 2 which gave birth to four was only 3 feet 11 inches J11 1750 13 long. J11 1760 1 What data there are on growth indicate considerable J11 1760 9 variation in rate; unfortunately, no one has kept complete J11 1770 9 records of one individual, whereas many have been made J11 1780 6 for a very short period of time. The results are too J11 1790 5 varied to allow generalization. J12 0010 1 The bronchus and pulmonary artery in this lung type J12 0010 10 maintain a close relationship throughout. The pulmonary J12 0020 5 vein, however, without the limiting supportive tissue J12 0030 3 septa as in type /1,, follows a more direct path to J12 0040 2 the hilum and does not maintain this close relationship J12 0040 11 (figs& 8, 22). Another marked difference is noted here. J12 0050 8 The pulmonary artery, in addition to supplying the J12 0060 6 distal portion of the respiratory bronchiole, the alveolar J12 0070 3 duct, and the alveoli, continues on and directly supplies J12 0080 1 the thin pleura (fig& 8). The bronchial artery, except J12 0080 10 for a small number of short branches in the hilum, J12 0090 9 contributes none of the pleural blood supply. It does, J12 0100 6 as in type /1,, supply the hilar lymph nodes, the pulmonary J12 0110 4 artery, the pulmonary vein, the bronchi, and the bronchioles- J12 0120 1 terminating in a common capillary bed with the pulmonary J12 0130 1 artery at the level of the respiratory bronchiole. J12 0130 9 No bronchial artery-pulmonary artery anastomoses were J12 0140 4 noted in this group. J12 0140 8 Lung type /3, (fig& 3) is to some degree a composite J12 0150 11 of types /1, and /2,. It is characterized by the presence J12 0160 9 of incompletely developed secondary lobules; well defined, J12 0170 5 but haphazardly arranged, interlobular septa and a J12 0180 4 thick, remarkably vascular pleura (fig& 9). The most J12 0190 2 distal airways are similar to those found in type /1,, J12 0190 12 being composed of numerous, apparently true terminal J12 0200 7 bronchioles and occasional, poorly developed respiratory J12 0210 4 bronchioles (figs& 14, 15). In this instance, because J12 0220 3 of incomplete septation, the secondary lobule does J12 0230 1 not constitute in itself what appears to be a small J12 0230 11 individual lung as in type /1,. Air-drifts from one J12 0240 9 area to another are, therefore, conceivable. Distally J12 0250 3 the bronchus is situated between a pulmonary artery J12 0260 1 on one side and a pulmonary vein on the other, as in J12 0260 13 type /1, (fig& 24). This relationship, however, is J12 0270 7 not maintained centrally. Here the pulmonary vein, J12 0280 5 as in type /2,, is noted to draw away from the bronchus, J12 0290 3 and to follow a more direct, independent course to J12 0290 12 the hilum (figs& 23, 24). The bronchial artery in its J12 0300 10 course and distribution differs somewhat from that J12 0310 5 found in other mammals. As seen in types /1, and /2,, J12 0320 5 it supplies the hilar lymph nodes, vasa vasorum to J12 0330 2 the pulmonary artery and vein, the bronchi and the J12 0330 11 terminal bronchioles. As in type /1,, it provides arterial J12 0340 8 blood to the interlobular septa, and an extremely rich J12 0350 6 anastomotic pleural supply is seen (figs& 9, 10). This J12 0360 4 pleural supply is derived both from hilar and interlobular J12 0370 1 bronchial artery branches. Such a dual derivation was J12 0370 9 strikingly demonstrated during the injection process J12 0380 6 where initial filling would be noted to occur in several J12 0390 8 isolated pleural vessels at once. Some of these were J12 0400 4 obviously filling from interlobular branches of the J12 0410 1 bronchial arteries while others were filling from direct J12 0410 9 hilar branches following along the pleural surface. J12 0420 6 With completion of filling, net-like anastomoses were J12 0430 3 noted to be present between these separately derived J12 0440 2 branches. An unusual increase in the number of bronchial J12 0440 11 arteries present within the substance of the lung was J12 0450 9 noted. This was accounted for primarily by the presence J12 0460 6 of a bronchial artery closely following the pulmonary J12 0470 3 artery. The diameter of this bronchial artery was much J12 0480 2 too large for it to be a mere vasa vasorum (figs& 16, J12 0480 14 23, 24). In distal regions its diameter would be one-fourth J12 0490 10 to one-fifth that of the pulmonary artery. This vessel J12 0500 7 could be followed to the parenchyma where it directly J12 0510 4 provided bronchial arterial blood to the alveolar capillary J12 0520 2 bed (figs& 17, 18). Also three other direct pathways J12 0530 1 of alveolar bronchial arterial supply were noted: via J12 0530 9 the pleura; through the interlobular septa; and along J12 0540 7 the terminal bronchiole (figs& 14, 17, 18, 19). One J12 0550 6 bronchial arteriolar-pulmonary arteriolar anastomosis J12 0560 2 was noted at the terminal bronchiolar level (fig& 26). J12 0570 1 #DISCUSSION# J12 0570 2 It is evident that many marked and striking differences J12 0580 1 exist between lungs when an inter-species comparison J12 0580 9 is made. The significance of these differences has J12 0590 6 not been studied nor has the existence of corresponding J12 0600 3 physiologic differences been determined. However, the J12 0610 2 dynamics of airflow, from morphologic considerations J12 0610 8 alone, may conceivably be different in the monkey than J12 0620 9 in the horse. The volume and, perhaps, even the characteristics J12 0630 6 of bronchial arterial blood flow might be different J12 0640 5 in the dog than in the horse. Also, interlobular air J12 0650 2 drifts may be all but nonexistent in the cow; probably J12 0650 12 occur in the horse much as in the human being; and, J12 0660 11 in contrast are present to a relatively immense degree J12 0670 6 on a segmental basis in the dog where lobules are absent J12 0680 4 (Van Allen and Lindskog, '31). A reason for such wide J12 0690 4 variation in the pulmonary morphology is entirely lacking J12 0700 1 at present. J12 0700 3 Within certain wide limits anatomy dictates function J12 0710 1 and, if one is permitted to speculate, potential pathology J12 0710 10 should be included in this statement as well. For example, J12 0720 10 the marked susceptibility of the monkey to respiratory J12 0730 6 infection might be related to its delicate, long alveolar J12 0740 4 ducts and short, large bronchioles situated within J12 0750 2 a parenchyma entirely lacking in protective supportive J12 0750 9 tissue barriers such as those found in types /1, and J12 0760 10 /3,. One might also wonder if monkeys are capable of J12 0770 7 developing bronchiolitis as we know it in man or the J12 0780 6 horse. In addition, it would be difficult to imagine J12 0790 1 chronic generalized emphysema occurring in a cow, considering J12 0790 9 its marked lobular development but, conversely, not J12 0800 6 difficult to imagine this occurring in the horse or J12 0810 6 the dog. J12 0810 8 Anatomically, the horse lung appears to be remarkably J12 0820 5 like that of man, insofar as this can be ascertained J12 0830 1 from comparison of our findings in the horse with those J12 0830 11 of others (Birnbaum, '54) in the human being. The only J12 0840 10 area in which one might find major disagreement in J12 0850 7 this matter is in regard to the alveolar distribution J12 0860 2 of the bronchial arteries. As early as 1858, Le Fort J12 0870 2 claimed an alveolar distribution of the bronchial arteries J12 0870 10 in human beings. In 1951, this was reaffirmed by Cudkowicz. J12 0880 9 The opposition to this point of view has its staunchest J12 0890 9 support in the work of Miller ('50). Apparently, however, J12 0900 4 Miller has relied heavily on the anatomy in dogs and J12 0910 5 cats, and he has been criticized for using pathologic J12 0920 1 human material in his normal study (Loosli, '38). Although J12 0920 10 Miller noted in 1907 that a difference in the pleural J12 0930 10 blood supply existed between animals, nowhere in his J12 0940 6 published works is it found that he did a comparative J12 0950 4 study of the intrapulmonary features of various mammalian J12 0960 1 lungs other than in the dog and cat (Miller, '13; '25). J12 0970 1 The meaning of this variation in distribution of J12 0970 9 the bronchial artery as found in the horse is not clear. J12 0980 10 However, this artery is known to be a nutrient vessel J12 0990 6 with a distribution primarily to the proximal airways J12 1000 2 and supportive tissues of the lung. The alveoli and J12 1000 11 respiratory bronchioles are primarily diffusing tissues. J12 1010 6 Theoretically, they are capable of extracting their J12 1020 6 required oxygen either from the surrounding air (Ghoreyeb J12 1030 3 and Karsner, '13) or from pulmonary arterial blood J12 1040 2 (Comroe, '58). Therefore, an explanation of this alveolar J12 1050 1 bronchial artery supply might be the nutritive requirement J12 1050 9 of an increased amount of supportive tissue, not primarily J12 1060 7 diffusing in nature, in the region of the alveolus. J12 1070 7 If this be true, the possibility exists that an occlusive J12 1090 4 lesion of the bronchial arteries might cause widespread J12 1100 1 degeneration of supportive tissue similar to that seen J12 1100 9 in generalized emphysema. One would not expect such J12 1110 7 an event to occur in animals possessing lungs of types J12 1120 5 /1, or /2,. J12 1120 8 The presence of normally occurring bronchial artery-pulmonary J12 1130 5 artery anastomoses was first noted in 1721 by Ruysch, J12 1140 6 and thereafter by many others. Nakamura ('58), Verloop J12 1150 3 ('48), Marchand, Gilroy and Watson ('50), von Hayek J12 1160 2 ('53), and Tobin ('52) have all claimed their normal J12 1160 11 but relatively nonfunctional existence in the human J12 1170 7 being. Miller ('50) is the principal antagonist of J12 1180 6 this viewpoint. In criticism of the latter's views, J12 1190 2 his conclusions were based upon dog lung injection J12 1190 10 studies in which all of the vascular channels were J12 1200 9 first filled with a solution under pressure and then J12 1210 5 were injected with various sized colored particles J12 1220 2 designed to stop at the arteriolar level. As early J12 1220 11 as 1913 Ghoreyeb and Karsner demonstrated with perfusion J12 1230 7 studies in dogs that bronchial artery flow would remain J12 1240 7 constant at a certain low level when pressure was maintained J12 1250 5 in the pulmonary artery and vein, but that increases J12 1260 2 in bronchial artery flow would occur in response to J12 1260 11 a relative drop in pulmonary artery pressure. Berry, J12 1270 7 Brailsford and Daly in 1931 and Nakamura in 1958 reaffirmed J12 1280 8 this. Our own studies in which bronchial artery-pulmonary J12 1290 4 artery anastomoses were demonstrated, were accomplished J12 1300 3 by injecting the bronchial artery first with no pressure J12 1310 1 on the pulmonary artery or vein, and then by injecting J12 1310 11 the pulmonary artery and vein afterwards. It is distinctly J12 1320 8 possible, therefore, that simultaneous pressures in J12 1330 5 all three vessels would have rendered the shunts inoperable J12 1331 4 and hence, uninjectable. This viewpoint is further J12 1340 1 supported by Verloop's ('48) demonstration of thickened J12 1340 8 bronchial artery and arteriolar muscular coats which J12 1350 7 are capable of acting as valves. In other words, the J12 1360 7 anastomoses between the bronchial artery and pulmonary J12 1370 3 artery should be considered as functional or demand J12 1380 1 shunts. J12 1380 2 In addition, little work has been done on a comparative J12 1390 1 basis in regard to the normal existence of bronchial J12 1390 10 artery-pulmonary artery anastomoses. Verloop ('48; J12 1400 5 '49) found these shunts in the human being but was J12 1410 7 unable to find them in rats. Ellis, Grindlay and Edwards J12 1420 3 ('52) also were unable to find them in rats. Nakamura J12 1430 1 ('58) was unable to demonstrate their existence, either J12 1430 9 by anatomic or physiologic methods, in dogs. The possibility J12 1440 8 that the absence or presence of these shunts is species-dependent J12 1460 9 is therefore inferred. Certainly, the mere fact of J12 1470 6 failing to demonstrate them in one or another species J12 1480 4 does not conclusively deny their existence in that J12 1490 1 species. It is, however, highly suggestive and agrees J12 1490 9 well with our own findings in which we also failed J12 1500 7 to demonstrate normally occurring bronchial artery-pulmonary J12 1510 4 artery shunts in certain species, especially the dog. J12 1520 3 In conclusion, these findings suggest the need for J12 1530 1 a comparative physiology, pathology, and histology J12 1530 7 of mammalian lungs. In addition, a detailed interspecies J12 1540 6 survey of the incidence of generalized pulmonary emphysema J12 1550 3 in mammals would be interesting and pertinent. Also, J12 1560 2 for the present, great caution should be exercised J12 1560 10 in the choice of an experimental animal for pulmonary J12 1570 8 studies if they are to be applied to man. This is especially J12 1580 8 so if the dog, cat or monkey are to be used, in view J12 1590 6 of their marked anatomical differences from man. Finally, J12 1600 2 it is suggested that in many respects the horse lung J12 1600 12 may be anatomically more comparable to that of the J12 1610 8 human than any other presently known species. J12 1620 3 #SUMMARY# J12 1620 4 The main subgross anatomical features of the lungs J12 1630 4 of various mammals are presented. A tabulation of these J12 1650 1 features permits the lungs to be grouped into three J12 1650 10 distinctive subgross types. Type /1, is represented J12 1660 6 by the cow, sheep, and pig; type /2,, by the dog, cat, J12 1670 7 and monkey; type /3,, by the horse. Lobularity is extremely J12 1680 4 well developed in type /1,; absent in type /2,; imperfectly J12 1690 3 developed in type /3,. The pleura and interlobular J12 1700 1 septa are thick in types /1, and /3,. The pleura is J12 1700 12 extremely thin in type /2, and septa are absent. Arterial J12 1710 10 supply to the pleura in types /1, and /3, is provided J12 1720 8 by the bronchial artery, and in type /2,, by the pulmonary J12 1730 7 artery. In types /1,, /2, and /3, the bronchial artery J12 1740 4 terminates in a capillary bed shared in common with J12 1750 2 the pulmonary artery at the level of the distal bronchiole. J12 1750 12 In type /3, the bronchial artery also provides blood J12 1760 9 directly to the alveolar capillary bed. True terminal J12 1770 6 bronchioles comprise the most frequent form taken by J12 1780 4 the distal airways in types /1, and /3,, although small J12 1790 2 numbers of poorly developed respiratory bronchioles J12 1790 8 are present. Well developed respiratory bronchioles, J12 1800 5 on the other hand, appear to be the only form taken J12 1810 7 by the distal airways in type /2,. In type /1, the J12 1820 4 pulmonary vein closely follows the course of the bronchus J12 1830 1 and the pulmonary artery from the periphery to the J12 1830 10 hilum. This maybe due to the heavy interlobular connective J12 1840 7 tissue barriers present. In type /3, this general relationship J12 1850 6 is maintained peripherally but not centrally where J12 1860 4 the pulmonary vein follows a more independent path J12 1870 1 to the hilum as is the case throughout the lung in J12 1870 12 type /2,. J13 0010 1 Some of the features of the top portions of Figure J13 0010 11 1 and Figure 2 were mentioned in discussing Table 1. J13 0020 8 First, the Onset Profile spreads across approximately J13 0030 4 12 years for boys and 10 years for girls. In contrast, J13 0040 3 20 of the 21 lines in the Completion Profile (excluding J13 0050 1 center 5 for boys and 4 for girls) are bunched and J13 0050 12 extend over a much shorter period, approximately 30 J13 0060 6 months for boys and 40 months for girls. The Maturity J13 0070 4 Chart for each sex demonstrates clearly that Onset J13 0080 2 is a phenomenon of infancy and early childhood whereas J13 0080 11 Completion is a phenomenon of the later portion of J13 0090 9 adolescence. Second, for both sexes, the 21 transverse J13 0100 6 lines in the Onset Profile vary more in individual J13 0110 3 spread than those in the Completion Profile. Although J13 0120 1 the standard deviation values on which spread of the J13 0120 10 lines are based are relatively larger for those centers J13 0130 7 which begin to ossify early (Table 1), there are considerable J13 0140 6 differences in this value between centers having the J13 0160 4 closely timed Onsets. Third, the process of calcification J13 0170 1 is seen to begin later and to continue much longer J13 0170 11 for these boys than for the girls, a fact which confirms J13 0180 10 data for other groups of children. J13 0190 2 The Onset Profile and Completion Profile are constructed J13 0200 1 to serve as norms for children. It is convenient to J13 0200 11 classify a child's onset ages and completion ages as J13 0210 9 "advanced", "moderate" (modal), or "delayed" according J13 0220 5 to whether the child's age equivalent "dots" appeared J13 0230 5 to the left of, upon, or to the right of the appropriate J13 0240 7 short transverse line. When a dot appears close to J13 0250 4 the end of the transverse line, the "moderate" rating J13 0260 2 may be further classified according to the position J13 0260 10 of the dot with respect to the vertical marking denoting J13 0270 8 the mean age. Such classifications may be called "somewhat J13 0280 5 advanced" or "somewhat delayed", as the case may be, J13 0290 6 reserving "moderate" for dots upon or close to the J13 0300 3 mean. J13 0300 4 In the lower portion of each Chart, the Skeletal J13 0310 1 Age (Hand) of boy 34 and girl 2 may be similarly classified. J13 0320 1 There the middle one of the three curves denotes "mean J13 0320 11 Skeletal Age" for the Maturity Series boys and girls. J13 0330 8 The upper curve denotes the mean plus one standard J13 0340 6 deviation, and the lower curve represents the mean J13 0350 3 minus one standard deviation. Thus, a child's Skeletal J13 0360 1 Age "dots" may be classified as "advanced" when they J13 0360 10 appear above the middle curve, "moderate" when they J13 0370 7 appear immediately above or below the middle curve, J13 0380 6 and "delayed" when they appear below the lower curve. J13 0390 4 To summarize the purpose of the Skeletal Maturity J13 0400 1 Chart: each contains two kinds of skeletal maturity J13 0400 9 norms which show two quite different methods of depicting J13 0410 8 developmental level of growth centers. First, the upper J13 0420 7 portion requires series of films for every child, consisting J13 0430 5 of those from Hand, Elbow, Shoulder, Knee, and Foot. J13 0440 3 The lower portion necessitates only films of Hand. J13 0450 1 Second, the upper portion permits comparison of maturity J13 0450 9 levels of an equal number of growth centers from the J13 0460 8 long, short, and round bones of the five regions. The J13 0470 6 lower portion permits comparison of maturity levels J13 0480 2 of short and round bones predominantly, since only J13 0480 10 two long bones are included in Hand and Wrist as a J13 0490 9 region. Third, the upper portion deals with only two J13 0500 5 indicators of developmental level, Onset and Completion. J13 0510 2 The lower portion utilizes the full complement of intermediate J13 0520 1 maturity indicators of each Hand center as well as J13 0520 10 their Onset and Completion. Fourth, the two indicators J13 0530 7 are for the most part widely separated chronologically, J13 0540 4 with the extensive age gap occurring during childhood J13 0550 3 for all but one growth center. The lower portion provides J13 0560 1 a rating at any stage between infancy and adulthood. J13 0560 10 Onsets, Completions, and Skeletal Ages (Hand) of J13 0570 7 boy 34 and girl 2 may be directly compared and classified, J13 0580 7 using only those Skeletal Ages which appear immediately J13 0590 4 below the Onset Profile and the Completion Profile. J13 0600 2 It may be assumed that differences in ratings due to J13 0600 12 selection of growth centers from specific regions of J13 0610 8 the body will be small, according to existing tables J13 0620 5 of onset age and completion age for centers throughout J13 0630 3 the body. Accordingly, maturity level ratings by means J13 0640 2 of the upper portion and lower portion of the Chart, J13 0640 12 respectively, should be somewhat similar since Skeletal J13 0650 7 Age assessments are dependent upon Onsets during infancy J13 0660 5 and upon Completions during adolescence. It is clear J13 0670 4 that there are some differences in the ratings, but J13 0680 1 there is substantial agreement. Since a Skeletal Age J13 0680 9 rating can be made at any age during growth, from Elbow, J13 0690 10 Shoulder, Knee, or Foot as well as Hand, it seems to J13 0700 8 be the method of choice when one wishes to study most J13 0710 4 aspects of skeletal developmental progress during childhood. J13 0720 1 As stated earlier in the paper, Onsets and Completions- J13 0730 1 particularly the former- provide a different tool or J13 0730 9 indicator of expectancy in osseous development, each J13 0740 5 within a limited age period. Such an indicator, or J13 0750 4 indicators, are needed as means of recognizing specific J13 0760 1 periods of delay in skeletal developmental progress. J13 0760 8 It was stated earlier that one purpose of this study J13 0770 10 was to extend the analysis of variability of Onset J13 0780 5 and Completion in each of the 21 growth centers somewhat J13 0790 3 beyond that provided by the data in Tables 1 and 2. J13 0800 2 As one approach to doing this, Figures 3 and 4 have J13 0800 13 been constructed from the mean ages and the individual J13 0810 8 onset and completion ages for boy 34 and girl 2. The J13 0820 7 differences between onset age and completion age with J13 0830 2 respect to the corresponding mean age have been brought J13 0830 11 into juxtaposition by means of a series of arrows. J13 0840 8 The data for boy 34 appear in Figure 3, and for girl J13 0850 7 2 in Figure 4. The numbering system used in Tables J13 0860 3 1 and 2 and Figures 1 and 2 was continued for the 21 J13 0860 16 growth centers. J13 0870 2 The "dot" on one end of each arrow indicates extent J13 0880 2 of difference in months between the child's onset age J13 0880 11 and the corresponding mean age for the growth center. J13 0890 8 The "tip" of the arrow represents extent of difference J13 0900 6 between the child's completion age and the corresponding J13 0910 5 mean age for the growth center. Thus, the alignment J13 0920 2 of the "dots" and "tips", respectively, indicate individual J13 0930 1 variability of the 21 growth centers of each child J13 0930 10 with respect to the mean values for these boys and J13 0940 9 girls. The direction in which the arrow points shows J13 0950 5 how the maturity level of the growth center was changed J13 0960 2 at Completion from the level at Onset. When the "dot" J13 0970 1 and "tip" coincide, the classification used in this J13 0970 9 paper is "same schedule". The length of the arrow indicates J13 0980 8 amount of slowing or acceleration at Completion over J13 0990 5 that at Onset, and the difference in months can be J13 1000 5 read roughly by referring the arrow to the age scale J13 1010 1 along the base of each figure, or more precisely by J13 1010 11 referring to the original data in the appropriate tables. J13 1020 7 The difference between the sequence of Onset of J13 1030 6 ossification for the sexes governs the numbering sequence J13 1040 2 in Figures 3 and 4. This difference is readily clarified J13 1050 1 by referring to Table 1. For example, arrow 17 in Figure J13 1050 12 3 portrays the proximal radial epiphysis for boy 34, J13 1060 8 whereas the same epiphysis for girl 2 is portrayed J13 1070 6 by arrow 18 in Figure 4. For the boy, this epiphysis J13 1080 3 was markedly delayed at Onset but near the mean at J13 1080 13 Completion. Thus, the Span of its ossification was J13 1090 8 shortened and the center's ability to "catch up" in J13 1100 6 ossification is demonstrated. In contrast, for the J13 1110 4 girl the epiphysis was slightly advanced at Onset and J13 1120 2 delayed at Completion. Obviously, the slowing for her J13 1120 10 may have occurred at any point between Onset and Completion. J13 1130 9 The Skeletal Age curve in the lower portion of Figure J13 1140 9 2 shows that slowing may have occurred for her during J13 1150 5 the prepubescent period. Length of the shaft of these J13 1160 3 arrows may be evaluated according to the standard deviation J13 1170 1 values for each center in Table 1. J13 1170 8 We have attempted to simplify the extensive task J13 1180 4 of analyzing onset ages and completion ages of each J13 1190 2 child- more than 1700 values for the entire group- J13 1190 11 by constructing figures for each of the 21 centers J13 1200 8 so that the data for all 34 boys and 34 of the girls J13 1210 7 will appear together for each growth center. Figures J13 1220 2 5 and 6 are examples of our method of analyzing the J13 1220 13 results for each growth center. Forty other figures J13 1230 7 similar to 5 and 6 and the original data used in the J13 1240 6 construction of all figures and tables in this monograph J13 1250 2 have been included in the Appendix. J13 1250 8 The principles used in making each arrow for Figures J13 1260 8 3 and 4 were applied to the construction of Figures J13 1270 4 5 and 6 as well as all figures in the Appendix. One J13 1280 2 growth center in a short bone- distal phalanx of the J13 1280 12 second finger- was chosen as an example for discussion J13 1290 8 here, primarily because epiphyseal-diaphyseal fusion, J13 1300 4 the maturity indicator for Completion in long and short J13 1310 5 bones, occurs in this center for girls near the menarche J13 1320 2 and for boys near their comparable pubescent stage. J13 1320 10 Its Completion thus becomes one of the convenient maturity J13 1330 8 indicators to include in studies of growth, dietary J13 1340 6 patterns, and health during adolescence. J13 1350 1 The following summary, based on Figures 5 and 6, J13 1350 10 is an example of one way of interpreting the 42 figures J13 1360 10 constructed from onset ages and completion ages of J13 1370 6 individual children with respect to the appropriate J13 1380 2 mean age for each growth center. At the top of Figure J13 1380 13 5, for example, the Onset range and Completion range J13 1390 9 lines for the chosen growth center have been drawn J13 1400 6 for girls according to their mean and standard deviation J13 1410 3 values in Table 1. The 34 arrows, denoting onset age J13 1420 2 plus completion age deviations, have been arrayed in J13 1420 10 an Onset sequence which begins with girl 18 who had J13 1430 9 the earliest Onset of the 34 girls. The growth center J13 1440 6 depicted here, in the distal phalanx of the second J13 1450 2 finger, is listed as the fifth of those in the seven J13 1450 13 short bones. The mean onset age was 25.3 months (Table J13 1460 9 1), and the average Span of the osseous stage was 133 J13 1470 8 months. The correlation (Table 2) between onset age J13 1490 4 and completion age was +.50, and that between onset J13 1500 1 age and Span was -.10. With due consideration for the J13 1500 12 limits of precision in assessing, expected rate of J13 1510 6 change in ossification of girls age 2 years, and the J13 1520 5 known variations in rate of ossification of these children J13 1530 2 as described in our preceding paper in the Supplement, J13 1530 11 each arrow with a "shaft length" of four months or J13 1540 10 less was selected as indicating "same schedule" at J13 1550 5 Onset and Completion, for this particular epiphysis. J13 1560 2 Accordingly, girls 31, 29, 33, 21, 26, 13, 3, 4, 14, J13 1570 2 32, 24, 25, 34, 23, 6, 15, 22, and 16 may be said to J13 1570 16 have the "same schedule" at Onset and Completion. J13 1580 6 It seems clear, from the counter-balanced shape J13 1590 5 of the series of arrows in Figure 5 that there was J13 1600 3 about an equal number of early and late Onsets and J13 1600 13 Completions for the 34 girls. Accordingly, if J13 1610 7 epiphyseal-diaphyseal J13 1610 9 fusion occurs in this phalanx near menarche, early J13 1620 8 and late menarches might have been forecast rather J13 1630 5 precisely at the time of Onset of ossification for J13 1640 2 the 18 girls with "same schedule". As an example of J13 1640 12 the interpretation of an arrow in the figure which J13 1650 8 exceeds four months in shaft length in conjunction J13 1660 4 with its position in the figure: girl 2 had a delayed J13 1670 3 Onset and further delayed Completion. It is of interest J13 1680 1 that her menarche was somewhat later than the average J13 1680 10 for the girls in this group. J13 1690 4 A similar analysis of Figure 6 for the 34 boys would J13 1700 2 necessitate quite a different conclusion about the J13 1700 9 predictive value of onset age in forecasting their J13 1710 7 attainment of the pubescent stage. Boys 32, 23, 31, J13 1720 5 17, 30, 19, and 24 had "same schedule" at Onset and J13 1730 2 Completion; thus early forecasting of the pubescent J13 1730 9 stage would appear possible for only seven boys. Boy J13 1740 9 34, like girl 2, did not have "same schedule"; his J13 1750 5 arrow crosses the line denoting the mean. The "dot" J13 1760 4 on his arrow indicates early Onset and the "tip" indicates J13 1770 2 relatively later Completion. J13 1770 5 After the 42 figures had been drawn like Figures J13 1780 6 5 and 6, classifications of the onset ages and completion J13 1790 4 ages were summarized from them. J14 0010 1 Interestingly enough, the effect of the digitalis glycosides J14 0010 9 is inhibited by a high concentration of potassium in J14 0020 8 the incubation medium and is enhanced by the absence J14 0030 6 of potassium (Wolff, 1960). J14 0040 1 _B. ORGANIFICATION OF IODINE_ J14 0040 3 The precise mechanism for organification of iodine J14 0050 1 in the thyroid is not as yet completely understood. J14 0050 10 However, the formation of organically bound iodine, J14 0060 5 mainly mono-iodotyrosine, can be accomplished in cell-free J14 0070 5 systems. In the absence of additions to the homogenate, J14 0080 2 the product formed is an iodinated particulate protein J14 0080 10 (Fawcett and Kirkwood, 1953; Taurog, Potter and Chaikoff, J14 0090 8 1955; Taurog, Potter, Tong, and Chaikoff, 1956; Serif J14 0100 8 and Kirkwood, 1958; De Groot and Carvalho, 1960). This J14 0110 8 iodoprotein does not appear to be the same as what J14 0120 7 is normally present in the thyroid, and there is no J14 0130 3 evidence so far that thyroglobulin can be iodinated J14 0130 11 in vitro by cell-free systems. In addition, the iodoamino J14 0140 9 acid formed in largest quantity in the intact thyroid J14 0150 6 is di-iodotyrosine. If tyrosine and a system generating J14 0160 5 hydrogen peroxide are added to a cell-free homogenate J14 0170 1 of the thyroid, large quantities of free mono-iodotyrosine J14 0170 10 can be formed (Alexander, 1959). It is not clear whether J14 0180 10 this system bears any resemblance to the in vivo iodinating J14 0190 9 mechanism, and a system generating peroxide has not J14 0200 5 been identified in thyroid tissue. On chemical grounds J14 0210 2 it seems most likely that iodide is first converted J14 0210 11 to **f and then to **f as the active iodinating species. J14 0220 11 In the thyroid gland it appears that proteins (chiefly J14 0230 7 thyroglobulin) are iodinated and that free tyrosine J14 0240 5 and thyronine are not iodinated. Iodination of tyrosine, J14 0250 2 however, is not enough for the synthesis of hormone. J14 0250 11 The mono- and di-iodotyrosine must be coupled to form J14 0260 9 tri-iodothyronine and thyroxine. The mechanism of this J14 0270 6 coupling has been studied in some detail with non-enzymatic J14 0280 4 systems in vitro and can be simulated by certain di-iodotyrosine J14 0290 3 analogues (Pitt-Rivers and James, 1958). There is so J14 0300 3 far no evidence to indicate conclusively that this J14 0300 11 coupling is under enzymatic control. J14 0310 4 The chemical nature of the iodocompounds is discussed J14 0320 3 below (pp& 76 et seq&). J14 0330 1 _C. THYROGLOBULIN SYNTHESIS_ J14 0330 1 Little is known of the synthetic mechanisms for J14 0330 9 formation of thyroglobulin. Its synthesis has not been J14 0340 7 demonstrated in cell-free systems, nor has its synthesis J14 0350 5 by systems with intact thyroid cells in vitro been J14 0360 3 unequivocally proven. There is some reason to think J14 0360 11 that thyroglobulin synthesis may proceed independently J14 0370 5 of iodination, for in certain transplantable tumours J14 0380 4 of the rat thyroid containing essentially no iodinated J14 0390 3 thyroglobulin, a protein that appears to be thyroglobulin J14 0400 1 has been observed in ultracentrifuge experiments (Wolff, J14 0400 8 Robbins and Rall, 1959). Similar findings have been J14 0410 8 noted in a patient with congenital absence of the organification J14 0420 6 enzymes, whose thyroid tissue could only concentrate J14 0430 4 iodide. In addition, depending on availability of dietary J14 0440 3 iodine, thyroglobulin may contain varying quantities J14 0440 9 of iodine. J14 0450 2 _D. SECRETION_ J14 0450 4 Since the circulating thyroid hormones are the amino J14 0460 3 acids thyroxine and tri-iodothyronine (cf& Section J14 0460 10 C), it is clear that some mechanism must exist in the J14 0470 11 thyroid gland for their release from proteins before J14 0480 5 secretion. The presence of several proteases and peptidases J14 0490 3 has been demonstrated in the thyroid. One of the proteases J14 0500 3 has ~pH optimum of about 3.7 and another of about 5.7 J14 0510 1 (McQuillan, Stanley and Trikojus, 1954; Alpers, Robbins J14 0510 8 and Rall, 1955). The finding that the concentration J14 0520 7 of one of these proteases is increased in thyroid glands J14 0530 6 from ~TSH-treated animals suggests that this protease J14 0540 4 may be active in vivo. There is no conclusive evidence J14 0550 2 yet that either of the proteases has been prepared J14 0550 11 in highly purified form nor is their specificity known. J14 0560 8 A study of their activity on thyroglobulin has shown J14 0570 5 that thyroxine is not preferentially released and that J14 0580 3 the degradation proceeds stepwise with the formation J14 0590 1 of macromolecular intermediates (Alpers, Petermann J14 0590 6 and Rall, 1956). Besides proteolytic enzymes the thyroid J14 0600 6 possesses de-iodinating enzymes. A microsomal de-iodinase J14 0610 5 with a ~pH optimum of around 8, and requiring reduced J14 0620 2 triphosphopyridine nucleotide for activity, has been J14 0630 1 identified in the thyroid (Stanbury, 1957). This de-iodinating J14 0630 10 enzyme is effective against mono- and di-iodotyrosine, J14 0640 9 but does not de-iodinate thyroxine or tri-iodothyronine. J14 0650 5 It is assumed that the iodine released from the iodotyrosines J14 0660 4 remains in the iodide pool of the thyroid, where it J14 0670 3 is oxidised and re-incorporated into thyroglobulin. J14 0670 10 The thyroxine and tri-iodothyronine released by proteolysis J14 0680 7 and so escaping de-iodination presumably diffuse into J14 0690 6 the blood stream. It has been shown that thyroglobulin J14 0700 4 binds thyroxine, but the binding does not appear to J14 0710 2 be particularly strong. It has been suggested that J14 0710 10 the plasma thyroxine-binding proteins, which have an J14 0720 7 extremely high affinity for thyroxine, compete with J14 0730 4 thyroglobulin for thyroxine (Ingbar and Freinkel, 1957). J14 0740 2 _E. ANTITHYROID DRUGS_ J14 0740 5 Antithyroid drugs are of two general types. One J14 0750 4 type has a small univalent anion of the J14 0750 12 thiocyanate-perchlorate-fluoroboride J14 0760 1 type. This ion inhibits thyroid hormone synthesis by J14 0770 2 interfering with iodide concentration in the thyroid. J14 0770 9 It does not appear to affect the iodinating mechanism J14 0780 8 as such. The other group of antithyroid agents or drugs J14 0790 7 is typified by thiouracil. These drugs have no effect J14 0800 5 on the iodide concentrating mechanism, but they inhibit J14 0810 2 organification. The mechanism of action of these drugs J14 0810 10 has not been completely worked out, but certain of J14 0820 8 them appear to act by reducing the oxidised form of J14 0830 5 iodine before it can iodinate thyroglobulin (Astwood, J14 0840 2 1954). On the other hand, there are a few antithyroid J14 0840 12 drugs of this same general type, such as resorcinol, J14 0850 9 possessing no reducing activity and possibly acting J14 0860 5 through formation of a complex with molecular iodine. J14 0870 2 Any of the antithyroid drugs, of either type, if given J14 0880 1 in large enough doses for a long period of time will J14 0880 12 cause goitre, owing to inhibition of thyroid hormone J14 0890 6 synthesis, with production of hypothyroidism. The anterior J14 0900 3 lobe of the pituitary then responds by an increased J14 0910 1 output of ~TSH, causing the thyroid to enlarge. The J14 0910 10 effect of drugs that act on the iodide-concentrating J14 0920 9 mechanism can be counteracted by addition of relatively J14 0930 5 large amounts of iodine to the diet. The antithyroid J14 0940 3 drugs of the thiouracil type, however, are not antagonised J14 0950 1 by such means. Besides those of the thiouracil and J14 0950 10 resorcinol types, certain antithyroid drugs have been J14 0960 7 found in naturally occurring foods. The most conclusively J14 0970 5 identified is L-5-vinyl-2-thio-oxazolidone, which was J14 0980 3 isolated from rutabaga (Greer, 1950). It is presumed J14 0990 1 to occur in other members of the Brassica family. There J14 0990 11 is some evidence that naturally occurring goitrogens J14 1000 6 may play a role in the development of goitre, particularly J14 1010 4 in Tasmania and Australia (Clements and Wishart, 1956). J14 1020 4 There it seems that the goitrogen ingested by dairy J14 1030 1 animals is itself inactive but is converted in the J14 1030 10 animal to an active goitrogen, which is then secreted J14 1040 6 in the milk. J14 1050 1 _F. DIETARY INFLUENCES_ J14 1050 1 Besides the presence of goitrogens in the diet, J14 1050 9 the level of iodine itself in the diet plays a major J14 1060 9 role in governing the activity of the thyroid gland. J14 1070 5 In the experimental animal and in man gross deficiency J14 1080 2 in dietary iodine causes thyroid hyperplasia, hypertrophy J14 1080 9 and increased thyroid activity (Money, Rall and Rawson, J14 1100 8 1952; Stanbury, Brownell, Riggs, Perinetti, Itoiz, J14 1110 5 and Del Castillo, 1954). In man the normal level of J14 1120 7 iodine in the diet and the level necessary to prevent J14 1130 3 development of goitre is about 100 ~|mg per day. With J14 1140 1 lower levels, thyroid hypertrophy and increased thyroid J14 1140 8 blood-flow enable the thyroid to accumulate a larger J14 1150 8 proportion of the daily intake of iodine. Further, J14 1160 4 the gland is able to re-use a larger fraction of the J14 1170 3 thyroid hormone de-iodinated peripherally. In the presence J14 1170 11 of a low iodine intake, thyroglobulin labelled in vivo J14 1180 9 with **f is found to contain more mono-iodotyrosine J14 1190 6 than normal, the amounts of di-iodotyrosine and iodothyronines J14 1200 3 being correspondingly reduced. This appearsto result J14 1210 2 from both a reduced amount of the iodine substrate J14 1210 11 and a more rapid secretion of newly iodinated thyroglobulin. J14 1220 7 If the deficiency persists long enough, it is reasonable J14 1230 7 to suppose that the **f label will reflect the **f J14 1240 5 distribution in the thyroglobulin. Similar results J14 1250 1 might be expected from the influence of drugs or pathological J14 1250 11 conditions that limit iodide trapping, or organification, J14 1260 7 or accelerate thyroglobulin proteolysis. J14 1270 2 #B. THE THYROID-STIMULATING HORMONE# J14 1270 7 The name thyroid-stimulating hormone (~TSH) has been J14 1280 8 given to a substance found in the anterior pituitary J14 1290 6 gland of all species of animal so far tested for its J14 1300 4 presence. The hormone has also been called thyrotrophin J14 1310 1 or thyrotrophic hormone. At the present time we do J14 1310 10 not know by what biochemical mechanism ~TSH acts on J14 1320 6 the thyroid, but for bio-assay of the hormone there J14 1330 5 are a number of properties by which its activity may J14 1340 2 be estimated, including release of iodine from the J14 1340 10 thyroid, increase in thyroid weight, increase in mean J14 1350 7 height of the follicular cells and increase in the J14 1360 5 thyroidal uptake of **f. Here we shall restrict discussion J14 1370 2 to those methods that appear sufficiently sensitive J14 1370 9 and precise for determining the concentration of ~TSH J14 1380 7 in blood. Brown (1959) has reviewed generally the various J14 1390 7 methods of assaying ~TSH, and the reader is referred J14 1400 6 to her paper for further information on the subject. J14 1410 3 #1. CHEMICAL CONSTITUTION AND PHYSICAL PROPERTIES OF J14 1410 10 PITUITARY ~TSH# J14 1420 2 As long ago as 1851 it was pointed out by Niepce (1851) J14 1430 1 that there is a connection between the pituitary and J14 1430 10 the thyroid.. This connection was clarified by Smith J14 1440 7 and Smith (1922), who showed that saline extracts of J14 1450 5 fresh bovine pituitary glands could re-activate the J14 1460 2 atrophied thyroids of hypophysectomised tadpoles. The J14 1460 8 first attempts to isolate ~TSH came a decade later, J14 1470 8 when Janssen and Loeser (1931) used trichloroacetic J14 1480 4 acid to separate the soluble ~TSH from insoluble impurities. J14 1490 4 After their work other investigators applied salt-fractionation J14 1500 3 techniques to the problem, as well as fractionation J14 1510 1 with organic solvents, such as acetone. Albert (1949) J14 1510 9 has concluded that the most active preparations of J14 1520 7 ~TSH made during this period, from 1931 to 1945, were J14 1530 6 probably about 100 to 300 times as potent as the starting J14 1540 4 material. Much of this work has been reviewed by White J14 1550 2 (1944) and by Albert (1949). Developments up to about J14 1550 11 1957 have been discussed by Sonenberg (1958). J14 1560 6 In the last few years, the application of chromatographic J14 1570 5 and other modern techniques to the problem of isolating J14 1580 4 ~TSH has led to further purification (Bates and Condliffe, J14 1590 3 1960; Pierce, Carsten and Wynston, 1960). The most J14 1600 1 active preparations obtained by these two groups of J14 1600 9 investigators appear to be similar in potency, composition J14 1610 8 and physical properties. J14 1620 1 Two problems present themselves in considering any J14 1620 8 hormone in blood. First, is the circulating form of J14 1630 8 the hormone the same as that found in the gland where J14 1640 6 it is synthesised and stored? Second, what is its concentration J14 1650 4 in normal circumstances and in what circumstances will J14 1660 2 this concentration depart from the normal level and J14 1660 10 in which direction? It is therefore necessary to consider J14 1670 7 the properties of pituitary ~TSH if the fragmentary J14 1680 5 chemical information about blood ~TSH is to be discussed J14 1690 6 rationally. The importance of knowing in what chemical J14 1700 3 forms the hormone may exist is accentuated by the recent J14 1710 1 observation that there exists an abnormally long-acting J14 1710 9 ~TSH in blood drawn from many thyrotoxic patients (Adams, J14 1720 8 1958). Whether this abnormal ~TSH differs chemically J14 1730 5 from pituitary ~TSH, or is, alternatively, normal ~TSH J14 1740 5 with its period of effectiveness modified by some other J14 1750 4 blood constituent, cannot be decided without chemical J14 1760 1 study of the activity in the blood of these patients J14 1760 11 and a comparison of the substance responsible for the J14 1770 7 blood activity with pituitary ~TSH. J14 1780 2 In evaluating data on the concentration of ~TSH J14 1790 1 in blood, one must examine critically the bio-assay J14 1790 10 methods used to obtain them. The introduction of the J14 1800 8 United States Pharmacopoeia reference standard in 1952 J14 1810 5 and the redefinition and equating of the ~USP and international J14 1820 4 units of thyroid-stimulating activity have made it J14 1830 3 possible to compare results published by different J14 1830 10 investigators since that time. We should like to re-emphasise J14 1840 10 the importance of stating results solely in terms of J14 1850 7 international units of ~TSH activity and of avoiding J14 1860 4 the re-introduction of biological units. For the most J14 1870 3 part, this discussion will be confined to results obtained J14 1870 12 since the introduction of the reference standard. J14 1890 1 _A. STANDARD PREPARATIONS AND UNITS OF THYROID-STIMULATING J14 1890 6 ACTIVITY_ J14 1890 7 The international unit (u&), adopted to make possible J14 1900 6 the comparison of results from different laboratories J14 1910 2 (Mussett and Perry, 1955), has been defined as the J14 1920 1 amount of activity present in 13.5 ~mg of the International J14 1920 11 Standard Preparation. The international unit is equipotent J14 1930 7 with the ~USP unit adopted in 1952, which was defined J14 1940 8 as the amount of activity present in 20 ~mg of the J14 1950 7 ~USP reference substance. J15 0010 1 #INTRODUCTION# J15 0010 2 Muscle weakness is now recognized as an uncommon though J15 0020 1 serious complication of steroid therapy, with most J15 0020 8 of the synthetic adrenal corticosteroids in clinical J15 0030 5 use. Although biopsies have shown structural changes J15 0040 4 in some of the reported cases of steroid-induced weakness, J15 0050 2 this case provides the only example known to us in J15 0050 12 which necropsy afforded the opportunity for extensive J15 0060 7 study of multiple muscle groups. The case described J15 0070 5 in this paper is that of an older man who developed J15 0080 3 disabling muscular weakness while receiving a variety J15 0080 10 of steroids for a refractory anemia. J15 0090 6 #REPORT OF CASE# J15 0090 9 This patient was a 65-year-old white male accountant J15 0100 9 who entered the New York Hospital for his fourth and J15 0110 5 terminal admission on June 26, 1959, because of disabling J15 0120 3 weakness and general debility. J15 0120 7 In 1953 the patient developed an unexplained anemia J15 0130 5 for which 15 blood transfusions were given over a period J15 0140 5 of 4 years. Splenomegaly was first noted in 1956, and J15 0150 2 a sternal marrow biopsy at that time showed "scattered J15 0150 11 foci of fibrosis" suggestive of myelofibrosis. No additional J15 0160 8 transfusions were necessary after the institution of J15 0170 7 prednisone in July, 1957, in an initial dose of 40 J15 0180 7 mg& daily with gradual tapering to 10 mg& daily. This J15 0190 3 medication was continued until February, 1958. J15 0200 1 In February, 1958, the patient suffered a myocardial J15 0200 8 infarction complicated by pulmonary edema. Additional J15 0210 5 findings at this time included cardiomegaly, peripheral J15 0220 3 arteriosclerosis obliterans, and cholelithiasis. The J15 0230 2 hemoglobin was 11.6 gm&. Therapy included digitalization J15 0230 9 and anticoagulation. Later, chlorothiazide and salt J15 0240 6 restriction became necessary to control the edema of J15 0250 7 chronic congestive failure. J15 0260 1 Because of increasing anemia, triamcinolone, 8 mg& J15 0260 8 daily, was started on Feb& 23, 1958, and was continued J15 0270 8 until july, 1958. In september, 1958, the patient developed J15 0280 5 generalized weakness and fatigue which was concurrent J15 0290 3 with exacerbation of his anemia; the hemoglobin was J15 0300 1 10.6 gm&. In an attempt to reverse the downhill trend J15 0300 11 by stimulating the bone marrow and controlling any J15 0310 7 hemolytic component, triamcinolone, 16 mg& daily, was J15 0320 5 begun on Sept& 26, 1958, and continued until Feb& 18, J15 0330 3 1959. At first the patient felt stronger, and the hemoglobin J15 0340 1 rose to 13.8 gm&, but on Oct& 20, 1958, he complained J15 0340 12 of "caving in" in his knees. By Nov& 8, 1958, weakness, J15 0350 10 specifically involving the pelvic and thigh musculature, J15 0360 7 was pronounced, and a common complaint was "difficulty J15 0370 4 in stepping up on to curbs". Prednisone, 30 mg& daily, J15 0380 4 was substituted for triamcinolone from Nov& 22 until J15 0390 3 Dec& 1, 1958, without any improvement in the weakness. J15 0390 12 Serum potassium at this time was 3.8 mEq& per liter, J15 0400 10 and the hemoglobin was 13.9 gm& By Dec& 1, 1958, the J15 0410 9 weakness in the pelvic and quadriceps muscle groups J15 0420 4 was appreciably worse, and it became difficult for J15 0430 2 the patient to rise unaided from a sitting or reclining J15 0430 12 position. Triamcinolone, 16 mg& daily, was resumed J15 0440 7 and maintained until Feb& 18, 1959. Chlorothiazide J15 0450 4 was omitted for a 2-week period, but there was no change J15 0460 4 in the muscle weakness. J15 0460 8 At this time a detailed neuromuscular examination J15 0470 3 revealed diffuse muscle atrophy that was moderate in J15 0480 3 the hands and feet, but marked in the shoulders, hips, J15 0480 13 and pelvic girdle, with hypoactive deep-tendon reflexes. J15 0490 8 No fasciculations or sensory defects were found. Electromyography J15 0500 7 revealed no evidence of lower motor neuron disease. J15 0510 6 Thyroid function tests yielded normal results. The J15 0520 3 protein-bound iodine was 6.6|mg& %, and the radioactive J15 0530 1 iodine uptake over the thyroid gland was 46% in 24 J15 0530 11 hours, with a conversion ratio of 12%. A Schilling J15 0540 9 test demonstrated normal absorption of vitamin **f. J15 0550 5 In February, 1959, during the second admission to The J15 0560 4 New York Hospital, a biopsy specimen of the left gastrocnemius J15 0570 2 showed striking increase in the sarcolemmal sheath J15 0570 9 nuclei and shrunken muscle fibers in several sections. J15 0580 8 Serial serum potassium levels remained normal; the J15 0590 5 serum glutamic oxaloacetic transaminase was 10 units J15 0600 4 per ml& per min&. The clinical impression at this time J15 0610 2 was either muscular dystrophy or polymyositis. J15 0610 8 On Feb& 12, 1959, purified corticotropin (~ACTH J15 0620 6 Gel), 20 units daily intramuscularly, was started but J15 0630 5 had to be discontinued 3 weeks later because of excessive J15 0640 4 fluid retention. From March 3 to May 1, 1949, the patient J15 0650 3 was maintained on dexamethasone, 3 to 6 mg& daily. J15 0650 12 In May 1959, prednisone, 30 mg& daily, replaced the J15 0660 9 dexamethasone. Muscle weakness did not improve, and J15 0670 6 the patient needed first a cane, then crutches. In J15 0680 3 spite of normal thyroid function tests, a trial of J15 0680 12 propylthiouracil, 400 mg& daily for one week, was given J15 0690 9 but served only to intensify muscle weakness. Repeated J15 0700 6 attempts to withdraw steroids entirely were unsuccessful J15 0710 4 because increased muscle weakness resulted, as well J15 0720 3 as fever, malaise, anorexia, anxiety, and an exacerbation J15 0720 11 of the anemia. These reactions were interpreted as J15 0730 8 being manifestations of hypoadrenocorticism. J15 0740 3 Severe back pain in June, 1959, prompted a third J15 0750 3 hospital admission. Extensive osteoporosis with partial J15 0760 1 collapse of ~D8 was found. A high-protein diet, calcium J15 0760 11 lactate supplements, and norethandrolone failed to J15 0770 5 change the skeletal complaint or the severe muscle J15 0780 5 weakness. J15 0780 6 The terminal hospital admission on June 27, 1959, J15 0790 5 was necessitated by continued weakness and debility J15 0800 1 complicated by urinary retention and painful thrombosed J15 0800 8 hemorrhoids. X-ray films of the vertebral column showed J15 0810 9 progression of the demineralization. On July 4, 1959, J15 0820 5 the patient developed marked abdominal pain and distension, J15 0830 4 went into shock, and died. J15 0830 9 #FINDINGS AT NECROPSY# J15 0840 1 The body was that of a well-developed, somewhat debilitated J15 0840 11 white man weighing 108 lb& There were bilateral pterygia J15 0850 9 and arcus senilis, and the mouth was edentulous. J15 0860 6 The heart weighed 510 gm&, and at the outflow tracts J15 0870 6 the left and right ventricles measured 19 and 3 mm&, J15 0880 4 respectively. The coronary arteries were sclerotic J15 0880 10 and diffusely narrowed throughout their courses, and J15 0890 7 the right coronary artery was virtually occluded by J15 0900 5 a yellow atheromatous plaque 1.5 cm& distal to its J15 0910 3 origin. The myocardium of the posterior base of the J15 0910 12 left ventricle was replaced by gray scar tissue over J15 0920 9 a 7.5 cm& area. The valves were normal except for thin J15 0930 7 yellow plaques on the inferior surface of the mitral J15 0940 4 leaflets. Microscopically, sections from the posterior J15 0950 1 base of the left ventricle of the heart showed several J15 0950 11 large areas of replacement of muscle by fibrous tissue. J15 0960 8 In addition, other sections contained focal areas of J15 0970 5 recent myocardial necrosis that were infiltrated with J15 0980 2 neutrophils. Many of the myocardial fibers were hypertrophied J15 0990 1 and had large, irregular, basophilic nuclei. The intima J15 0990 9 of the larger coronary arteries was thickened by fibrous J15 1000 8 tissue containing fusiform clefts and mononuclear cells. J15 1010 6 The intimal surface of the aorta was covered with J15 1020 6 confluent, yellow-brown, hard, friable plaques along J15 1030 2 its entire course, and there was a marked narrowing J15 1030 11 of the orifices of the large major visceral arteries. J15 1040 7 In particular, the orifices of the right renal and J15 1050 6 celiac arteries were virtually occluded, and both calcified J15 1060 3 common iliac arteries were completely occluded. J15 1070 1 The lungs weighed together 950 gm&. On the surfaces J15 1070 10 of both lungs there were emphysematous blebs measuring J15 1080 6 up to 3 cm& in diameter. The parenchyma was slightly J15 1090 5 hyperemic in the apex of the left lung, and there were J15 1100 4 several firm, gray, fibrocalcific nodules measuring J15 1100 10 as large as 3 mm&. Microscopically, there was emphysema, J15 1110 9 fibrosis, and vascular congestion. Macrophages laden J15 1120 5 with brown pigment were seen in some of the alveoli, J15 1130 6 and the intima of some of the small arteries was thickened J15 1140 2 by fibrous tissue. J15 1140 5 The firm red spleen weighed 410 gm&, and its surface J15 1150 5 was mottled by discrete, small patches of white material. J15 1160 2 The endothelial cells lining the sinusoids were prominent, J15 1170 1 and many contained large quantities of hemosiderin. J15 1170 8 Some of the sinusoids contained large numbers of nucleated J15 1180 6 red cells, and cells of the granulocytic series were J15 1190 4 found in small numbers. There were slight fibrosis J15 1200 2 and marked arteriolosclerosis. J15 1200 5 The liver weighed 2,090 gm&, was brown in color, J15 1210 6 and the cut surface was mottled by irregular pale areas. J15 1220 3 Microscopically, there was hyperemia of the central J15 1220 10 veins, and there was some atrophy of adjacent parenchyma. J15 1230 9 Some liver cord cells contained vacuolated cytoplasm, J15 1240 5 while others had small amounts of brown hemosiderin J15 1250 4 pigment. J15 1250 5 The gallbladder contained about 40 cc& of green-brown J15 1260 6 bile and 3 smooth, dark-green calculi measuring up J15 1270 2 to 1 cm& in diameter. J15 1270 7 The mucosa of the stomach was atrophic and irregularly J15 1280 4 blackened over a 14 cm& area. The small and large intestines J15 1290 3 were filled with gas, and the jejunum was dilated to J15 1300 1 about 2 times its normal circumference. The small intestine J15 1300 10 and colon contained approximately 300 cc& of foul-smelling, J15 1310 8 sanguineous material, and the mucosa throughout was J15 1320 6 hyperemic and mottled green-brown. A careful search J15 1330 4 failed to show occlusion of any of the mesenteric vessels. J15 1340 2 Microscopically, the mucosa of the stomach showed extensive J15 1350 1 cytolysis and contained large numbers of Gram-negative J15 1350 9 bacterial rods. The submucosa was focally infiltrated J15 1360 6 with neutrophils. The mucosa of the jejunum and ileum J15 1370 6 showed similar changes, and in some areas the submucosa J15 1380 2 was edematous and contained considerable numbers of J15 1380 9 neutrophils. Some of the small vessels were filled J15 1390 8 with fibrin thrombi, and there was extensive interstitial J15 1400 5 hemorrhage. A section of the colon revealed intense J15 1410 3 hyperemia and extensive focal ulcerations of the mucosa, J15 1420 1 associated with much fibrin and many neutrophils. Cultures J15 1420 9 taken from the jejunum yielded Monilia albicans, Pseudomonas J15 1430 8 pyocanea, Aerobacter aerogenes, and Streptococcus anhemolyticus. J15 1440 5 The kidneys were pale and weighed right, 110 gm&, J15 1450 8 and left, 230 gm&. The surfaces were coarsely and finely J15 1460 6 granular and punctuated by clear, fluid-filled cysts J15 1470 2 measuring up to 3 cm& in diameter. On the surface of J15 1480 2 the right kidney there were also 2 yellow, firm, friable J15 1480 12 raised areas measuring up to 2 cm& in diameter. Microscopically, J15 1490 9 both kidneys showed many small cortical scars in which J15 1500 8 there was glomerular and interstitial fibrosis, tubular J15 1510 3 atrophy, and an infiltration of lymphocytes and plasma J15 1520 3 cells. Occasional tubules contained hyaline casts admixed J15 1530 1 with neutrophils. Throughout, there were marked J15 1530 7 arteriolosclerosis J15 1540 1 and hyalinization of afferent glomerular arterioles. J15 1540 7 These changes were more marked in the atrophic right J15 1550 8 kidney than in the left. In addition, there were 2 J15 1560 4 small papillary adenomas in the right kidney. J15 1570 1 The bone of the vertebral bodies, ribs, and sternum J15 1570 10 was soft and was easily compressed. The marrow of the J15 1580 8 vertebral bodies was pale and showed areas of fatty J15 1590 5 replacement. Microscopically, there were many areas J15 1600 2 of hypercellularity alternating with areas of hypocellularity. J15 1610 1 The cells of the erythroid, myeloid, and megakaryocytic J15 1610 9 series were normal except for their numbers. There J15 1620 6 was no evidence of fibrosis. The muscles of the extremities, J15 1630 5 chest wall, neck, and abdominal wall were soft, pale, J15 1640 3 and atrophic. J15 1640 5 Microscopic studies of the gastrocnemius, pectoralis J15 1650 2 major, transversus abdominis, biceps brachii, and diaphragm J15 1660 1 showed atrophy as well as varying degrees of injury J15 1660 10 ranging from swelling and vacuolization to focal necrosis J15 1670 7 of the muscle fibers. These changes were most marked J15 1680 6 in the gastrocnemius and biceps and less evident in J15 1690 3 the pectoralis, diaphragm, and transversus. J15 1690 8 In the gastrocnemius and biceps there were many J15 1700 7 swollen and homogeneous necrotic fibers such as that J15 1710 5 shown in Figure 2. Such swollen fibers were deeply J15 1720 2 eosinophilic, contained a few pyknotic nuclei, and J15 1720 9 showed loss of cross-striations, obliteration of myofibrils, J15 1730 7 and prominent vacuolization. The necrosis often involved J15 1740 5 only a portion of the length of a given fiber, and J15 1750 5 usually the immediately adjacent fibers were normal. J15 1760 1 As shown in Figure 3, the protoplasm of other fibers J15 1760 11 was pale, granular, or flocculated and invaded by phagocytes. J15 1770 7 Inflammatory cells were strikingly absent. In association J15 1780 6 with these changes in the fibers, there were striking J15 1790 4 alterations in the muscle nuclei. These were increased J15 1800 2 both in number and in size, contained prominent nucleoli, J15 1810 1 and were distributed throughout the fiber (Figs& 2-5). J15 1810 10 In contrast to the nuclear changes described above, J15 1820 7 another change in muscle nuclei was seen, usually occurring J15 1830 5 in fibers that were somewhat smaller than normal but J15 1840 3 that showed distinct cross-striations and myofibrillae. J15 1850 1 The nuclei of these fibers, as is shown in Figures J15 1850 11 3 and 4, showed remarkable proliferation and were closely J15 1860 5 approximated, forming a chainlike structure at either J15 1870 4 the center or the periphery of the fiber. Individual J15 1880 1 nuclei were usually oval to round, though occasionally J15 1880 9 elongated, and frequently small and somewhat pyknotic. J15 1890 7 At times, clumps of 10 to 15 closely-packed nuclei J15 1900 7 were also observed. Occasionally there were small basophilic J15 1910 4 fibers that were devoid of myofibrillae and contained J15 1920 1 many vesicular nuclei with prominent nucleoli (Fig& J15 1920 8 5). These were thought to represent regenerating fibers. J15 1930 7 Trichrome stains failed to show fibrosis in the involved J15 1940 7 muscles. In all of the sections examined, the arterioles J15 1950 4 and small arteries were essentially normal. J16 0010 1 _PURIFICATION OF THE CONJUGATES_ J16 0010 5 In attempting to improve specificity of staining, J16 0020 3 the fluorescein-labeled antisera used in both direct J16 0030 1 and indirect methods were treated in one of several J16 0030 10 ways: (1) They were passed through Dowex-2-chloride J16 0040 7 twice and treated with acetone insoluble powders (Coons, J16 0050 4 1958) prepared from mouse liver or from healthy sweet J16 0060 2 clover stems or crown gall tissue produced by Agrobacterium J16 0070 1 tumefaciens (E& F& Smith + Townsend) Conn, on sweet J16 0070 10 clover stems. (2) The conjugates as well as the intermediate J16 0090 9 sera were absorbed for 30 minutes with 20-50 ~mg of J16 0100 9 proteins extracted from healthy sweet clover stems. J16 0110 3 The proteins were extracted with 3 volumes of **f in J16 0120 1 **f to give a nearly neutral extract and precipitated J16 0120 10 by 80% saturation with **f. The precipitate was washed J16 0130 7 twice with an 80% saturated solution of **f, dissolved J16 0140 5 in a small quantity of 0.1 ~M neutral phosphate buffer, J16 0150 3 dialyzed against cold distilled water till free from J16 0160 2 ammonium ions, and lyophilized using liquid nitrogen. J16 0160 9 (3) In other experiments the indirect conjugate was J16 0170 6 treated with 3 volumes of ethyl acetate as recommended J16 0180 5 by Dineen and Ade (1957). (4) The conjugates were passed J16 0190 3 through a diethylaminoethyl (~DEAE-) cellulose column J16 0200 2 equilibrated with neutral phosphate buffer (~PBS) containing J16 0210 1 **f potassium phosphate and **f. J16 0220 1 _PREPARATION OF FROZEN SECTIONS_ J16 0220 1 The technique of cutting sections was essentially J16 0220 8 the same as that described by Coons et al& (1951). J16 0230 7 Root and stem tumors from sweet clover plants infected J16 0250 5 with ~WTV were quick-frozen in liquid nitrogen, embedded J16 0260 3 in ice, and cut at 3-6 ~|m in a cryostat maintained J16 0270 1 at -16` to -20`. The sections were mounted on cold J16 0270 13 slides smeared with Haupts' adhesive (Johansen, 1940) J16 0280 7 in earlier experiments, and in later experiments with J16 0290 6 a different mixture of the same components reported J16 0300 2 by Schramm and Ro^ttger (1959). The latter adhesive J16 0310 1 was found to be much more satisfactory. The sections J16 0310 10 were then thawed by placing a finger under the slide J16 0320 9 and dried under a fan for 30 minutes; until used they J16 0330 6 were stored for as long as 2 weeks. J16 0340 1 _STAINING TECHNIQUE_ J16 0340 2 _INDIRECT METHOD._ J16 0340 4 The sections were fixed in acetone for 15 minutes J16 0360 5 and dried at 37` for 30 minutes. Some of them were J16 0370 2 then covered with a drop of **f in a moist chamber J16 0370 13 at 24` for 30-40 minutes. As controls other sections J16 0380 8 were similarly covered with ~NS. Sections were then J16 0390 5 washed with ~PBS for 15-30 minutes. After blotting J16 0400 3 out most of the saline around the sections, a drop J16 0410 1 of **f was layered over each of the sections, allowed J16 0410 11 to react for 30 minutes, and then washed with ~PBS J16 0420 7 for 15-30 minutes. After blotting out most of the liquid J16 0430 6 around the sections, the latter were mounted in buffered J16 0440 3 glycerine (7 parts glycerine to 3 parts of ~PBS). J16 0450 1 _DIRECT METHOD._ J16 0450 3 After drying the sections under the fan, fixing J16 0460 1 in acetone, and drying at 37` as in the indirect method, J16 0460 12 the sections were treated with conjugated **f or **f J16 0470 8 (undiluted unless mentioned otherwise) for 5-30 minutes. J16 0480 6 As controls, other sections were similarly treated J16 0490 2 with **f or conjugated antiserum to the New York strain J16 0490 12 of potato yellow-dwarf virus (Wolcyrz and Black, 1956). J16 0500 9 The sections were then washed with ~PBS for 15-30 minutes J16 0510 10 and mounted in buffered glycerine. J16 0520 2 _FLUORESCENCE MICROSCOPY_ J16 0520 4 Stained or unstained sections were examined under J16 0530 4 dark field illumination in a Zeiss fluorescence microscope J16 0540 2 equipped with a mercury vapor lamp (Osram ~HBO 200). J16 0550 2 The light beam from the lamp was filtered through a J16 0550 12 half-standard thickness Corning 1840 filter. In the J16 0560 7 eyepiece a Wratten 2 ~B filter was used to filter off J16 0570 7 residual ultra-violet light. A red filter, Zeiss barrier J16 0580 3 filter with the code (Schott) designation ~BG 23, was J16 0590 3 also used in the ocular lens assembly as it improved J16 0590 13 the contrast between specific and nonspecific fluorescence. J16 0600 6 #RESULTS# J16 0610 1 _SPECIFICITY OF STAINING_ J16 0610 3 _INDIRECT METHOD._ J16 0610 5 In the first few experiments **f was passed through J16 0620 5 Dowex-2-chloride twice and absorbed twice with 50-100 J16 0630 5 ~mg sweet clover tissue powder. The intermediate sera J16 0640 2 were also similarly absorbed with tissue powder. Sections J16 0640 10 of sweet clover stem and root tumors were treated with J16 0650 9 1:10 solution of **f for 30 minutes, washed in buffered J16 0660 7 saline for 15 minutes, stained with **f for 30 minutes, J16 0670 5 and washed for 15 minutes in ~PBS. Such sections showed J16 0680 2 bright yellow-green specific fluorescence in the cells J16 0690 1 of the pseudophloem tissue (Lee and Black, 1955). This J16 0690 10 specific fluorescence was readily distinguished from J16 0700 5 the light green nonspecific fluorescence in consecutive J16 0710 3 sections stained with 1:10 dilution of ~NS and **f J16 0720 3 or with **f alone. Unstained sections mounted in buffered J16 0730 1 glycerine or sections treated only with ~NS or **f J16 0730 10 did not show such green fluorescence. Sections of crown J16 0740 7 gall tissue similarly stained with either **f and **f J16 0750 6 or ~NS and **f also showed only the light green nonspecific J16 0760 3 fluorescence. However, the nonspecific staining by J16 0770 2 the **f in tumor sections was considered bright enough J16 0770 11 to be confused with the staining of small amounts of J16 0780 8 ~WTV antigen. J16 0790 1 Two absorptions of **f with ethyl acetate or two J16 0790 10 absorptions of **f (which had been passed through J16 0800 5 Dowex-2-chloride), J16 0800 8 ~NS and **f with crown gall tissue powder, or mouse J16 0810 7 liver powder did not further improve the specificity J16 0820 3 of staining. Treatment of all the sera with sweet clover J16 0830 2 proteins greatly reduced nonspecific fluorescence, J16 0830 7 especially when the treated conjugate was diluted to J16 0840 7 1:2 with 0.85% saline. In all the above procedures, J16 0850 5 when the intermediate sera were diluted to 1:10 or J16 0860 3 1:100 with 0.85% saline, the specific and nonspecific J16 0860 11 fluorescence were not appreciably reduced, whereas, J16 0870 6 a dilution of the intermediate sera to 1:500 or diluting J16 0880 6 the **f to 1:5 greatly reduced specific fluorescence. J16 0890 3 Rinsing the sections with ~PBS before layering the J16 0910 2 intermediate sera did not improve the staining reaction. J16 0910 10 In addition to other treatments, treating the sections J16 0920 7 with normal sheep serum for half an hour before layering J16 0930 7 **f did not reduce nonspecific staining. J16 0940 1 The only treatment by which nonspecific staining J16 0940 8 could be satisfactorily removed was by passing the J16 0950 6 conjugate through a ~DEAE-cellulose column. When 1 J16 0960 4 ~ml of conjugate was passed through a column (**f), J16 0980 2 the first and second milliliter fractions collected J16 0980 9 were the most specific and gave no nonspecific staining J16 0990 7 in some experiments, and very little in others. In J16 1000 6 the latter cases an additional treatment of the J16 1010 2 ~DEAE-cellulose-treated J16 1010 5 **f with 50 ~mg of sweet clover stem tissue powder J16 1020 3 further improved the specificity. After these treatments J16 1030 1 the conjugate did not stain healthy or crown gall sweet J16 1030 11 clover tissues or stained them a very faint green which J16 1040 9 was easily distinguishable from the bright yellow-green J16 1050 6 specific staining. With this purified conjugate the J16 1060 3 best staining procedure consisted of treating the sections J16 1070 1 with 1:10 dilution of **f for 30 minutes, washing with J16 1070 11 ~PBS for 15 minutes, staining with **f for 30 minutes, J16 1080 10 and washing with ~PBS for 15 minutes. The specificity J16 1090 7 of staining in ~WTV tumors with **f and **f but not J16 1100 7 with ~NS and **f or with antiserum to potato yellow-dwarf J16 1110 4 virus and **f, and the absence of such staining in J16 1120 2 crown gall tumor tissue from sweet-clover, indicate J16 1120 10 that an antigen of ~WTV was being stained. J16 1130 6 _DIRECT METHOD._ J16 1130 8 **f was first conjugated with 50 ~mg of ~FITC per J16 1140 7 gram of globulin. This conjugate was passed twice through J16 1150 5 Dowex-2-chloride and treated with various tissue powders J16 1160 3 in the same manner as described for the indirect method. J16 1170 1 In all cases a disturbing amount of nonspecific staining J16 1170 10 was still present although it was still distinguishable J16 1180 7 from specific fluorescence. J16 1190 1 In later experiments, **f and **f were prepared J16 1190 9 by conjugating 8 ~mg of ~FITC per gram of globulin. J16 1200 9 These conjugates **f had much less nonspecific staining J16 1210 7 than the previous conjugate (with 50 ~mg ~FITC per J16 1220 5 gram of globulin) while the specific staining was similar J16 1230 3 in both cases. Nonspecific staining could be satisfactorily J16 1240 1 eliminated by passing these conjugates through a ~DEAE-cellulose J16 1250 1 column as described for **f. The best staining procedure J16 1250 10 with this purified **f consisted of staining with the J16 1260 9 conjugate for 30 minutes and washing in ~PBS for 15 J16 1270 8 minutes. The specificity of staining with **f was established J16 1280 6 as follows: **f specifically stained tumor sections J16 1290 3 but not sections of healthy sweet clover stems or of J16 1300 2 crown gall tumor tissue from sweet clover. Sections J16 1300 10 of tumors incited by ~WTV were not similarly stained J16 1310 7 with conjugated normal serum or conjugated antiserum J16 1320 4 to potato yellow-dwarf virus. J16 1320 9 After passing **f through ~DEAE-cellulose, the titer J16 1340 8 of antibodies to ~WTV in the specific fraction was J16 1350 7 1:4 of the titer before such passage (precipitin ring J16 1360 4 tests by R& F& Whitcomb); but mere dilution of the J16 1370 3 conjugate to 1:4 did not satisfactorily remove nonspecific J16 1380 1 staining. This indicates that increase in specificity J16 1380 8 of **f after passing it through ~DEAE-cellulose was J16 1390 7 not merely due to dilution. J16 1400 1 Specific staining by ~DEAE-cellulose treated **f J16 1410 1 and **f, although clearly distinguishable under the J16 1410 8 microscope from either nonspecific staining or autofluorescence J16 1420 5 of cells, was not satisfactorily photographed to show J16 1430 4 such differences in spite of many attempts with black J16 1440 3 and white and color photography. This was chiefly because J16 1450 1 of the bluish white autofluorescence from the cells. J16 1450 9 The autofluorescence from the walls of the xylem cells J16 1460 8 was particularly brilliant. J16 1470 1 _DISTRIBUTION OF VIRUS ANTIGEN_ J16 1470 5 Results of specific staining by the direct and the J16 1480 4 indirect methods were similar and showed the localization J16 1490 1 of ~WTV antigen in certain tissues of tumors. The virus J16 1490 11 antigen was concentrated in the pseudophloem tissue. J16 1500 7 Frequently a few isolated thick-walled cells or, rarely, J16 1510 6 groups of such cells in the xylem region, were also J16 1520 3 specifically stained, but there was no such staining J16 1530 1 in epidermis, cortex, most xylem cells, ray cells, J16 1530 9 or pith. J16 1530 11 Within the pseudophloem cells the distribution of J16 1540 7 ~WTV antigen was irregular in the cytoplasm. No antigen J16 1550 7 was detectable in certain dark spherical areas in most J16 1560 5 cells. These areas are thought to represent the nuclei. J16 1570 2 In some tumor sections small spherical bodies, possibly J16 1570 10 inclusion bodies (Littau and Black, 1952) stained more J16 1580 8 intensely than the rest of cytoplasm and probably contained J16 1590 8 more antigen. In all cases studied tissues of the stem J16 1600 6 on which the tumor had developed did not contain detectable J16 1610 3 amounts of ~WTV antigen. J16 1610 7 #DISCUSSION# J16 1610 8 In both the direct and indirect methods of staining, J16 1620 9 the conjugates had nonspecifically staining fractions. J16 1630 4 In the indirect method, this was evident from the fact J16 1640 5 that tumor sections were stained light green even when J16 1650 3 stained with ~NS and **f or with **f only. In the direct J16 1660 1 method, **f, not further treated, stained certain tissues J16 1660 9 of healthy sweet clover stems nonspecifically and ~WTV J16 1670 7 tumor sections were similarly stained by comparable J16 1680 4 **f. After **f and **f were passed through Dowex-2-chloride J16 1690 4 twice and treated twice with healthy sweet clover tissue J16 1700 2 powder, nonspecific staining was greatly reduced but J16 1700 9 a disturbing amount of such staining was still present. J16 1710 8 Treatment of the conjugates with ethyl acetate, and J16 1720 5 the conjugates (which had been passed through Dowex-2-chloride) J16 1730 5 with mouse liver powder, sweet clover crown gall tissue J16 1740 3 powder, or healthy sweet clover proteins did not satisfactorily J16 1750 1 remove nonspecifically staining substances in the conjugates. J16 1750 8 Such treatments of the conjugates have usually been J16 1760 8 successful in eliminating nonspecific staining in several J16 1770 5 other systems (Coons, 1958). Schramm and Ro^ttger (1959) J16 1790 4 did not report any such nonspecific staining of plant J16 1810 3 tissues with fluorescein isocyanate-labeled antiserum J16 1810 9 to tobacco mosaic virus. The reason for the failure J16 1820 8 of these treatments to eliminate nonspecific staining J16 1830 4 in the conjugates in our system is not known. J16 1840 2 In our work the best procedure for removing substances J16 1850 1 causing nonspecific staining in order to obtain specific J16 1850 9 conjugates was to pass the conjugates through a ~DEAE-cellulose J16 1860 1 column and in some cases to absorb the first and second J16 1870 1 milliliter fractions with sweet clover tissue powder. J16 1870 8 The specific staining by both direct and indirect J16 1880 7 methods showed that ~WTV antigen was concentrated in J16 1890 4 the pseudophloem tissue and in a few thick-walled cells J16 1900 2 in the xylem region, but was not detectable in any J16 1900 12 other tissues of the root and stem tumors. A study J16 1910 10 of the distribution of ~WTV antigen within the pseudophloem J16 1920 5 cells indicates that it is irregularly distributed J16 1930 2 in the cytoplasm. J16 1930 5 Wound-tumor virus is a leafhopper transmitted virus J16 1940 3 not easily transmissible by mechanical inoculation J16 1970 1 (Black, 1944; Brakke et al&, 1954). The concentration J16 1971 1 and apparent localization of the ~WTV antigen in pseudophloem J16 1980 9 tissue of the tumor may indicate that the virus preferentially J16 1990 10 multiplies in the phloem and may need to be directly J16 2000 10 placed in this tissue in order to infect plants. J17 0010 1 Since emotional reactions in the higher vertebrates J17 0010 8 depend on individual experience and are aroused in J17 0020 7 man, in addition, by complex symbols, one would expect J17 0030 5 that the hypothalamus could be excited from the cortex. J17 0040 3 In experiments with topical application of strychnine J17 0040 10 on the cerebral cortex, the transmission of impulses J17 0050 8 from the cortex to the hypothalamus was demonstrated. J17 0060 4 Moreover, the responsiveness of the hypothalamus to J17 0070 3 nociceptive stimulation is greatly increased under J17 0070 9 these conditions. Even more complex and obviously cortically J17 0080 8 induced forms of emotional arousal could be elicited J17 0090 7 in monkey ~A on seeing monkey ~B (but not a rabbit) J17 0100 7 in emotional stress. A previously extinguished conditioned J17 0110 3 reaction was restored in monkey ~A and was associated J17 0120 1 with typical signs of emotional excitement including J17 0120 8 sympathetic discharges. J17 0130 2 It seems to follow that by and large an antagonism J17 0140 1 exists between the paleo- and the neocortex as far J17 0140 11 as emotional reactivity is concerned, and that the J17 0150 6 balance between the two systems determines the emotional J17 0160 3 responsiveness of the organism. In addition, the J17 0170 1 neocortical-hypothalamic J17 0170 3 relations play a great role in primates, as Mirsky's J17 0180 2 interesting experiment on the "communication of affect" J17 0190 1 demonstrates. But even in relatively primitive laboratory J17 0190 8 animals such as the rat, sex activity closely identified J17 0200 9 with the hypothalamus and the visceral brain is enhanced J17 0210 7 by the neocortex. MacLean stressed correctly the importance J17 0220 4 of the visceral brain for preservation of the individual J17 0230 3 and the species, as evidenced by the influence of the J17 0240 1 limbic brain (including the hypothalamus) on emotions J17 0240 8 related to fight and flight and also on sexual functions. J17 0250 8 It should be added that in man neocortical-hypothalamic J17 0260 3 interrelations probably play a role in the fusion of J17 0270 2 emotional processes with those underlying perception, J17 0270 8 memory, imagination, and creativity. J17 0280 4 Previous experiences are obviously of great importance J17 0290 4 for the qualitative and quantitative emotional response. J17 0300 2 The visceral brain as well as the neocortex is known J17 0300 12 to contribute to memory, but this topic is beyond the J17 0310 9 scope of this paper. J17 0320 2 #/13,. HYPOTHALAMIC BALANCE AND ITS SIGNIFICANCE# J17 0320 8 After this brief discussion of neo-, paleocortical, J17 0330 8 and cortico-hypothalamic relations, let us return once J17 0340 6 more to the problem of hypothalamic balance and its J17 0350 3 physiological and pathological significance. Facilitatory J17 0360 1 processes take place between neocortex and hypothalamus J17 0360 8 via ascending and descending pathways. Thus cortico-fugal J17 0370 7 discharges induced by topical application of strychnine J17 0380 4 to a minute area in the neocortex summate with spikes J17 0390 3 present in the hypothalamus and cause increased convulsive J17 0400 1 discharges. On the other hand, the temporary reduction J17 0400 9 in hypothalamic excitability through the injection J17 0410 5 of a barbiturate into the posterior hypothalamus causes J17 0420 3 a lessening in frequency and amplitude of cortical J17 0430 2 strychnine spikes until the hypothalamic excitability J17 0430 8 is restored. Apparently, a positive feedback exists J17 0440 6 between the posterior hypothalamus and the cerebral J17 0450 4 cortex. Consequently, if for any reason the hypothalamic J17 0460 3 excitability falls below the physiological level, the J17 0470 1 lessened hypothalamic-cortical discharges lead to a J17 0470 8 diminished state of activity in the cortex with consequent J17 0480 8 reduction in the cortico-fugal discharges. Obviously, J17 0490 3 a vicious cycle develops. This tendency can be broken J17 0500 3 either by restoring hypothalamic excitability directly J17 0500 9 or via cortico-hypothalamic pathways. It is believed J17 0510 8 that drug therapy and electroshock involve the former J17 0520 6 and psychotherapy the latter mechanism. J17 0530 1 Before we comment further on these pathological J17 0530 8 conditions, we should remember that changes in the J17 0540 8 state of the hypothalamus within physiological limits J17 0550 3 distinguish sleep from wakefulness. Thus, a low intensity J17 0560 4 of hypothalamic-cortical discharges prevails in sleep J17 0570 1 and a high one during wakefulness, resulting in synchronous J17 0570 10 ~EEG potentials in the former and asynchrony in the J17 0580 9 latter condition. Moreover, the dominance in parasympathetic J17 0590 5 action (with reciprocal inhibition of the sympathetic) J17 0600 4 at the hypothalamic level induces, by its peripheral J17 0610 1 action, the autonomic symptoms of sleep and, by its J17 0610 10 action on the cortex, a lessening in the reactivity J17 0620 7 of the sensory and motor apparatus of the somatic nervous J17 0630 5 system. With the dominance of the sympathetic division J17 0640 2 of the hypothalamus, the opposite changes occur. Since J17 0650 1 electrical stimulation of the posterior hypothalamus J17 0650 7 produces the effects of wakefulness while stimulation J17 0660 5 of the anterior hypothalamus induces sleep, it may J17 0670 4 be said that the reactivity of the whole organism is J17 0680 1 altered by a change in the autonomic reactivity of J17 0680 10 the hypothalamus. Similar effects can be induced reflexly J17 0690 7 via the baroreceptor reflexes in man and animals. J17 0700 5 Of particular importance is the study of the actions J17 0710 3 of drugs in this respect. Although no drugs act exclusively J17 0720 1 on the hypothalamus or a part of it, there is sufficient J17 0720 12 specificity to distinguish drugs which shift the hypothalamic J17 0730 8 balance to the sympathetic side from those which produce J17 0740 6 a parasympathetic dominance. The former comprise analeptic J17 0750 4 and psychoactive drugs, the latter the tranquilizers. J17 0760 1 Specific differences exist in the action of different J17 0760 9 drugs belonging to the same group as, for instance, J17 0770 9 between reserpine and chlorpromazine. Important as J17 0780 4 these differences are, they should not obscure the J17 0790 3 basic fact that by shifting the hypothalamic balance J17 0790 11 sufficiently to the parasympathetic side, we produce J17 0800 7 depressions, whereas a shift in the opposite direction J17 0810 7 causes excitatory effects and, eventually, maniclike J17 0820 2 changes. The emotional states produced by drugs influence J17 0830 1 the cortical potentials in a characteristic manner; J17 0830 8 synchrony prevails in the ~EEG of the experimental J17 0840 8 animal after administration of tranquilizers, but asynchrony J17 0850 5 after application of analeptic and psychoactive drugs. J17 0860 3 The shock therapies act likewise on the hypothalamic J17 0870 2 balance. Physiological experiments and clinical observations J17 0880 1 have shown that these procedures influence the hypothalamically J17 0880 9 controlled hypophyseal secretions and increase sympathetic J17 0890 6 discharges. They shift the hypothalamic balance to J17 0900 7 the sympathetic side. This explains the beneficial J17 0910 3 effect of electroshock therapy in certain depressions J17 0920 1 and a shift in the reaction from hypo- to normal reactivity J17 0920 13 of the sympathetic system as shown by the Mecholyl J17 0930 8 test. Some investigators have found a parallelism between J17 0940 6 remissions and return of the sympathetic reactivity J17 0950 2 of the hypothalamus to the normal level as indicated J17 0960 1 by the Mecholyl test and, conversely, between clinical J17 0960 9 impairment and increasing deviation of this test from J17 0970 7 the norm. Nevertheless, the theory that the determining J17 0980 5 influence of the hypothalamic balance has a profound J17 0990 3 influence on the clinical behavior of neuropsychiatric J17 0990 10 patients has not yet been tested on an adequate number J17 1000 10 of patients. The Mecholyl and noradrenalin tests applied J17 1010 6 with certain precautions are reliable indicators of J17 1020 4 this central autonomic balance, but for the sake of J17 1030 2 correlating autonomic and clinical states, and of studying J17 1030 10 the effect of certain therapeutic procedures on central J17 1040 7 autonomic reactions, additional tests seem to be desirable. J17 1050 7 It was assumed that the shift in autonomic hypothalamic J17 1060 5 balance occurring spontaneously in neuropsychiatric J17 1070 1 patients from the application of certain therapeutic J17 1070 8 procedures follows the pattern known from the sleep-wakefulness J17 1080 9 cycle. A change in the balance to the parasympathetic J17 1090 9 side leads in the normal individual to sleep or, in J17 1100 6 special circumstances, to cardiovascular collapse or J17 1110 3 nausea and vomiting. In both conditions the emotional J17 1110 11 and perceptual sensitivity is diminished, but no depression J17 1120 8 occurs such as is seen clinically or may be produced J17 1130 9 in normal persons by drugs. The fundamental differences J17 1140 3 between physiological and pathological states of parasympathetic J17 1150 3 (and also of sympathetic) dominance remain to be elucidated. J17 1160 2 Perhaps a clue to these and related problems lies J17 1170 1 in the fact that changes in the intensity of hypothalamic J17 1170 11 discharges which are associated with changes in its J17 1180 8 balance lead also to qualitative alterations in reactivity. J17 1190 4 A state of parasympathetic "tuning" of the hypothalamus J17 1200 4 induced experimentally causes not only an increase J17 1210 1 in the parsympathetic reactivity of this structure J17 1210 8 to direct and reflexly induced stimuli, but leads also J17 1220 7 to an autonomic reversal: a stimulus acting sympathetically J17 1230 5 under control conditions elicits in this state of tuning J17 1240 5 a parasympathetic response! Furthermore, conditioned J17 1250 1 reactions are fundamentally altered when the hypothalamic J17 1250 8 sympathetic reactivity is augmented beyond a critical J17 1260 7 level, and several types of behavioral changes probably J17 1270 5 related to the degree of central autonomic "tuning" J17 1280 2 are observed. If, for instance, such a change is produced J17 1290 2 by one or a few insulin comas or electroshocks, previously J17 1300 1 inhibited conditioned reactions reappear. However, J17 1300 6 if these procedures are applied more often, conditioned J17 1310 6 emotional responses are temporarily abolished. In other J17 1320 4 studies, loss of differentiation in previously established J17 1330 2 conditioned reflexes resulted from repeated convulsive J17 1330 8 (metrazol) treatments, suggesting a fundamental disturbance J17 1340 6 in the balance between excitatory and inhibitory cerebral J17 1350 6 processes. J17 1350 7 It has further been shown that: (1) an experimental J17 1360 8 neurosis in its initial stages is associated with a J17 1370 6 reversible shift in the central autonomic balance; J17 1380 2 (2) drugs altering the hypothalamic balance alter conditioned J17 1390 1 reactions; (3) in a state of depression, the positive J17 1390 10 conditioned stimulus may fail to elicit a conditioned J17 1400 8 reaction but cause an increased synchrony instead of J17 1410 4 the excitatory desynchronizing (alerting) effect on J17 1420 3 the ~EEG. These are few and seemingly disjointed data, J17 1430 1 but they illustrate the important fact that fundamental J17 1430 9 alterations in conditioned reactions occur in a variety J17 1440 8 of states in which the hypothalamic balance has been J17 1450 4 altered by physiological experimentation, pharmacological J17 1460 2 action, or clinical processes. J17 1460 6 #/14,. ON THE PHYSIOLOGICAL BASIS OF SOME FORM OF PSYCHOTHERAPY# J17 1470 7 The foregoing remarks imply that the hypothalamic balance J17 1490 5 plays a crucial role at the crossroads between physiological J17 1500 3 and pathological forms of emotion. If this is the case, J17 1510 3 one would expect that not only the various procedures J17 1510 12 just mentioned which alter the hypothalamic balance J17 1520 7 would influence emotional state and behavior but that J17 1530 6 emotion itself would act likewise. We pointed out that J17 1540 4 emotional excitement may lead to psychosomatic disorders J17 1550 1 and neurotic symptoms, particularly in certain types J17 1550 8 of personality, but it is also known that the reliving J17 1560 9 of a strong emotion ("abreaction") may cure a battle J17 1570 5 neurosis. This phenomenon raises the question whether J17 1580 2 the guidance of the emotions for therapeutic ends may J17 1580 11 not have an even wider application in the area of the J17 1590 11 neuroses. Being a strictly physiological procedure, J17 1600 3 one may expect from such a study additional information J17 1610 2 on the nature of the emotional process itself. J17 1620 1 Wolpe's experiments and therapeutic work lie in J17 1620 8 this area. He showed convincingly that anxiety is a J17 1630 6 learned (conditioned) reaction and is the basis of J17 1640 5 experimental and clinical neuroses and assumed, therefore, J17 1650 1 that the neuronal changes which underlie the neuroses J17 1650 9 are functional and reversible. An important observation J17 1660 6 of Pavlov served as a guide post to achieve such a J17 1670 7 reversibility by physiological means. In a conditioning J17 1680 3 experiment, he demonstrated the antagonism between J17 1680 9 feeding and pain. A mild electrical shock served as J17 1690 9 a conditioned stimulus and was followed by feeding. J17 1700 6 The pain became thus the symbol for food and elicited J17 1710 3 salivary secretion (conditioned reflex). Even when J17 1710 9 the intensity of the shocks was increased gradually, J17 1720 8 it failed to evoke any signs of pain. Since strong J17 1730 7 nociceptive stimuli produce an experimental neurosis J17 1740 2 during which the animals fail to eat in the experimental J17 1750 1 situation, Wolpe thought that he could utilize the J17 1750 9 feeding-pain antagonism to inhibit the neurotic symptoms J17 1760 6 through feeding. Appropriate experiments showed that J17 1770 4 this is, indeed, possible. He then applied this principle J17 1790 2 of reciprocal inhibition to human neuroses. He took J17 1790 10 advantage of the antagonism between aggressive assertiveness J17 1800 7 and anxiety and found a relatively rapid disappearance J17 1810 7 of anxiety when the former attitude was established. J17 1820 4 For the interpretation of these significant investigations, J17 1830 2 it should be remembered that reciprocal relations exist J17 1840 2 in the hypothalamus with respect to autonomic and somatic J17 1840 11 functions which are closely associated with the emotions. J17 1850 8 The feeding-pain antagonism seems to be based on this J17 1860 8 reciprocal relation between the tropho- and ergotropic J17 1870 5 systems. Furthermore, a functional antagonism exists J17 1880 2 between an aggressive attitude and a state of anxiety. J17 1880 11 Although in both emotions sympathetic symptoms are J17 1890 7 present, different autonomic-somatic patterns underlie J17 1900 3 aggression and anxiety, respectively, as indicated J17 1910 3 by the rate of the excretion of the catecholamines, J17 1910 12 the state of the muscle tone, and the Mecholyl test. J17 1920 9 The psychological incompatibility of these emotional J17 1930 4 states seems to be reflected in, or based on, this J17 1940 3 marked difference. J17 1940 5 #/15,. CONCLUDING REMARKS# J17 1940 8 In our attempt to interpret the emotions in their physiological J17 1950 10 and pathological range, we emphasized the importance J17 1960 6 of the degree of activity of the parasympathetic and J17 1970 5 sympathetic divisions of the hypothalamic system and J17 1980 2 their influence on the inhibitory and excitatory systems, J17 1980 10 respectively. We stressed the reciprocal relation of J17 1990 7 these systems with respect to the autonomic-somatic J17 2000 6 downward discharge as well as regarding the hypothalamic-cortical J17 2010 4 discharge. Although we are still far from a complete J17 2020 3 understanding of these problems, as a first approximation, J17 2030 1 it is suggested that alterations in the hypothalamic J17 2030 9 balance with consequent changes in the hypothalamic-cortical J17 2040 6 discharges account for major changes in behavior seen J17 2050 6 in various moods and states of emotions in man and J17 2060 4 beast under physiological circumstances, in experimental J17 2060 10 and clinical neurosis, and as the result of psychopharmacological J17 2070 9 agents. In view of the important role which emotional J17 2080 9 disturbances play in the genesis of neurotic and psychotic J17 2090 7 disorders and the parallelism observed between autonomic J17 2100 4 states and psychological behavior in several instances, J17 2110 2 it is further suggested that a hypothalamic imbalance J17 2110 10 may play an important role in initiating mental changes. J18 0010 1 #6.4. THE PRIMARY DECOMPOSITION THEOREM# J18 0010 6 We are trying to study a linear operator ~T on the J18 0020 6 finite-dimensional space ~V, by decomposing ~T into J18 0030 5 a direct sum of operators which are in some sense elementary. J18 0040 3 We can do this through the characteristic values and J18 0050 2 vectors of ~T in certain special cases, i&e&, when J18 0050 11 the minimal polynomial for ~T factors over the scalar J18 0060 9 field ~F into a product of distinct monic polynomials J18 0070 8 of degree 1. What can we do with the general ~T? If J18 0080 8 we try to study ~T using characteristic values, we J18 0090 4 are confronted with two problems. First, ~T may not J18 0100 4 have a single characteristic value; this is really J18 0110 1 a deficiency in the scalar field, namely, that it is J18 0110 11 not algebraically closed. Second, even if the characteristic J18 0120 7 polynomial factors completely over ~F into a product J18 0130 6 of polynomials of degree 1, there may not be enough J18 0140 5 characteristic vectors for ~T to span the space ~V; J18 0150 3 this is clearly a deficiency in ~T. The second situation J18 0160 2 is illustrated by the operator ~T on **f (~F any field) J18 0170 3 represented in the standard basis by **f. The characteristic J18 0180 1 polynomial for ~A is **f and this is plainly also the J18 0180 12 minimal polynomial for ~A (or for ~T). Thus ~T is not J18 0200 1 diagonalizable. One sees that this happens because J18 0200 8 the null space of **f has dimension 1 only. On the J18 0210 8 other hand, the null space of **f and the null space J18 0220 4 of **f together span ~V, the former being the subspace J18 0230 2 spanned by **f and the latter the subspace spanned J18 0230 11 by **f and **f. J18 0240 2 This will be more or less our general method for J18 0240 12 the second problem. If (remember this is an assumption) J18 0250 8 the minimal polynomial for ~T decomposes **f where J18 0260 6 **f are distinct elements of ~F, then we shall show J18 0270 5 that the space ~V is the direct sum of the null spaces J18 0280 5 of **f. The diagonalizable operator is the special J18 0290 1 case of this in which **f for each ~i. The theorem J18 0290 12 which we prove is more general than what we have described, J18 0300 9 since it works with the primary decomposition of the J18 0310 5 minimal polynomial, whether or not the primes which J18 0320 2 enter are all of first degree. The reader will find J18 0320 12 it helpful to think of the special case when the primes J18 0330 10 are of degree 1, and even more particularly, to think J18 0340 6 of the proof of Theorem 10, a special case of this J18 0350 4 theorem. J18 0350 5 #THEOREM 12. (PRIMARY DECOMPOSITION THEOREM).# J18 0360 1 Let ~T be a linear operator on the finite-dimensional J18 0370 1 vector space ~V over the field ~F. Let ~p be the minimal J18 0380 2 polynomial for ~T, **f where the **f are distinct irreducible J18 0390 1 monic polynomials over ~F and the **f are positive J18 0390 10 integers. Let **f be the null space of **f. Then (a) J18 0400 11 **f (b) each **f is invariant under ~T (c) if **f is J18 0410 9 the operator induced on **f by ~T, then the minimal J18 0420 4 polynomial for **f is **f. J18 0430 1 _PROOF._ J18 0430 1 The idea of the proof is this. If the direct-sum J18 0430 12 decomposition (a) is valid, how can we get hold of J18 0440 10 the projections **f associated with the decomposition? J18 0450 3 The projection **f will be the identity on **f and J18 0460 2 zero on the other **f. We shall find a polynomial **f J18 0460 13 such that **f is the identity on **f and is zero on J18 0470 11 the other **f, and so that **f, etc&. J18 0480 3 For each ~i, let **f. Since **f are distinct prime J18 0490 2 polynomials, the polynomials **f are relatively prime J18 0490 9 (Theorem 8, Chapter 4). Thus there are polynomials J18 0500 8 **f such that **f. Note also that if **f, then **f J18 0510 7 is divisible by the polynomial ~p, because **f contains J18 0520 4 each **f as a factor. We shall show that the polynomials J18 0530 1 **f behave in the manner described in the first paragraph J18 0530 11 of the proof. J18 0540 3 Let **f. Since **f and ~p divides **f for **f, we J18 0550 2 have **f. Thus the **f are projections which correspond J18 0550 11 to some direct-sum decomposition of the space ~V. We J18 0560 9 wish to show that the range of **f is exactly the subspace J18 0570 9 **f. It is clear that each vector in the range of **f J18 0580 7 is in **f for if ~|a is in the range of **f, then **f J18 0590 4 and so **f because **f is divisible by the minimal J18 0590 14 polynomial ~p. Conversely, suppose that ~|a is in the J18 0600 9 null space of **f. If **f, then **f is divisible by J18 0610 10 **f and so **f, i&e&, **f. But then it is immediate J18 0620 7 that **f, i&e&, that ~|a is in the range of **f. This J18 0630 6 completes the proof of statement (a). J18 0640 1 It is certainly clear that the subspaces **f are J18 0640 10 invariant under ~T. If **f is the operator induced J18 0650 7 on **f by ~T, then evidently **f, because by definition J18 0660 5 **f is 0 on the subspace **f. This shows that the minimal J18 0670 4 polynomial for **f divides **f. Conversely, let ~g J18 0680 2 be any polynomial such that **f. Then **f. Thus **f J18 0680 12 is divisible by the minimal polynomial ~p of ~T, i&e&, J18 0690 9 **f divides **f. It is easily seen that **f divides J18 0700 10 ~g. Hence the minimal polynomial for **f is **f. J18 0710 7 #COROLLARY.# J18 0710 8 If **f are the projections associated with the primary J18 0720 6 decomposition of ~T, then each **f is a polynomial J18 0730 6 in ~T, and accordingly if a linear operator ~U commutes J18 0740 4 with ~T then ~U commutes with each of the **f i&e&, J18 0750 6 each subspace **f is invariant under ~U. J18 0760 1 In the notation of the proof of Theorem 12, let J18 0760 11 us take a look at the special case in which the minimal J18 0770 10 polynomial for ~T is a product of first-degree polynomials, J18 0780 8 i&e&, the case in which each **f is of the form **f. J18 0790 8 Now the range of **f is the null space **f of **f. J18 0800 4 Let us put **f. By Theorem 10, ~D is a diagonalizable J18 0810 1 operator which we shall call the diagonalizable part J18 0820 1 of ~T. Let us look at the operator **f. Now **f **f J18 0830 11 so **f. The reader should be familiar enough with projections J18 0840 7 by now so that he sees that **f and in general that J18 0850 6 **f. When **f for each ~i, we shall have **f, because J18 0860 3 the operator **f will then be 0 on the range of **f. J18 0870 1 #DEFINITION.# J18 0870 2 Let ~N be a linear operator on the vector space ~V. J18 0890 3 We say that ~N is nilpotent if there is some positive J18 0900 4 integer ~r such that **f. J18 0900 9 #THEOREM 13.# J18 0900 11 Let ~T be a linear operator on the finite-dimensional J18 0910 10 vector space ~V over the field ~F. Suppose that the J18 0920 10 minimal polynomial for ~T decomposes over ~F into a J18 0930 8 product of linear polynomials. Then there is a diagonalizable J18 0940 7 operator ~D on ~V and a nilpotent operator ~N on ~V J18 0950 9 such that (a) **f, (b) **f. The diagonalizable operator J18 0960 8 ~D and the nilpotent operator ~N are uniquely determined J18 0970 6 by (a) and (b) and each of them is a polynomial in J18 0980 8 ~T. J18 0980 9 _PROOF._ J18 0980 10 We have just observed that we can write **f where J18 0990 7 ~D is diagonalizable and ~N is nilpotent, and where J18 1000 5 ~D and ~N not only commute but are polynomials in ~T. J18 1010 6 Now suppose that we also have **f where ~D' is diagonalizable, J18 1020 5 ~N' is nilpotent, and **f. We shall prove that **f. J18 1030 7 Since ~D' and ~N' commute with one another and **f, J18 1040 7 we see that ~D' and ~N' commute with ~T. Thus ~D' and J18 1050 7 ~N' commute with any polynomial in ~T; hence they commute J18 1060 10 with ~D and with ~N. Now we have **f or **f and all J18 1070 12 four of these operators commute with one another. Since J18 1080 7 ~D and ~D' are both diagonalizable and they commute, J18 1090 7 they are simultaneously diagonalizable, and **f is J18 1100 5 diagonalizable. Since ~N and ~N' are both nilpotent J18 1110 4 and they commute, the operator **f is nilpotent; for, J18 1120 2 using the fact that ~N and ~N' commute **f and so when J18 1130 4 ~r is sufficiently large every term in this expression J18 1140 1 for **f will be 0. (Actually, a nilpotent operator J18 1140 10 on an ~n-dimensional space must have its ~nth power J18 1150 7 0; if we take **f above, that will be large enough. J18 1160 7 It then follows that **f is large enough, but this J18 1170 4 is not obvious from the above expression.) Now **f J18 1170 13 is a diagonalizable operator which is also nilpotent. J18 1180 8 Such an operator is obviously the zero operator; for J18 1190 7 since it is nilpotent, the minimal polynomial for this J18 1200 4 operator is of the form **f for some **f; but then J18 1210 2 since the operator is diagonalizable, the minimal polynomial J18 1210 10 cannot have a repeated root; hence **f and the minimal J18 1220 10 polynomial is simply ~x, which says the operator is J18 1230 7 0. Thus we see that **f and **f. J18 1240 2 #COROLLARY.# J18 1240 3 Let ~V be a finite-dimensional vector space over an J18 1250 4 algebraically closed field ~F, e&g&, the field of complex J18 1260 3 numbers. Then every linear operator ~T on ~V can be J18 1270 3 written as the sum of a diagonalizable operator ~D J18 1270 12 and a nilpotent operator ~N which commute. These operators J18 1280 9 ~D and ~N are unique and each is a polynomial in ~T. J18 1290 12 From these results, one sees that the study of linear J18 1300 11 operators on vector spaces over an algebraically closed J18 1310 8 field is essentially reduced to the study of nilpotent J18 1320 6 operators. For vector spaces over non-algebraically J18 1330 1 closed fields, we still need to find some substitute J18 1330 10 for characteristic values and vectors. It is a very J18 1340 9 interesting fact that these two problems can be handled J18 1350 7 simultaneously and this is what we shall do in the J18 1360 5 next chapter. J18 1360 7 In concluding this section, we should like to give J18 1370 5 an example which illustrates some of the ideas of the J18 1380 2 primary decomposition theorem. We have chosen to give J18 1380 10 it at the end of the section since it deals with differential J18 1390 10 equations and thus is not purely linear algebra. J18 1400 6 #EXAMPLE 11.# J18 1400 8 In the primary decomposition theorem, it is not necessary J18 1410 6 that the vector space ~V be finite dimensional, nor J18 1420 5 is it necessary for parts (a) and (b) that ~p be the J18 1430 1 minimal polynomial for ~T. If ~T is a linear operator J18 1440 1 on an arbitrary vector space and if there is a monic J18 1440 12 polynomial ~p such that **f, then parts (a) and (b) J18 1450 10 of Theorem 12 are valid for ~T with the proof which J18 1460 7 we gave. J18 1460 9 Let ~n be a positive integer and let ~V be the space J18 1470 10 of all ~n times continuously differentiable functions J18 1480 4 ~f on the real line which satisfy the differential J18 1490 4 equation **f where **f are some fixed constants. If J18 1500 2 **f denotes the space of ~n times continuously differentiable J18 1510 1 functions, then the space ~V of solutions of this differential J18 1520 1 equation is a subspace of **f. If ~D denotes the differentiation J18 1530 1 operator and ~p is the polynomial **f then ~V is the J18 1540 3 null space of the operator ~p(D), because **f simply J18 1540 12 says **f. Let us now regard ~D as a linear operator J18 1550 11 on the subspace ~V. Then **f. J18 1560 4 If we are discussing differentiable complex-valued J18 1570 1 functions, then **f and ~V are complex vector spaces, J18 1580 1 and **f may be any complex numbers. We now write **f J18 1580 12 where **f are distinct complex numbers. If **f is the J18 1590 8 null space of **f, then Theorem 12 says that **f. In J18 1600 6 other words, if ~f satisfies the differential equation J18 1610 2 **f, then ~f is uniquely expressible in the form **f J18 1620 3 where **f satisfies the differential equation **f. J18 1620 10 Thus, the study of the solutions to the equation **f J18 1630 9 is reduced to the study of the space of solutions of J18 1640 6 a differential equation of the form **f. This reduction J18 1650 2 has been accomplished by the general methods of linear J18 1650 11 algebra, i&e&, by the primary decomposition theorem. J18 1660 6 To describe the space of solutions to **f, one must J18 1670 9 know something about differential equations, that is, J18 1680 4 one must know something about ~D other than the fact J18 1690 4 that it is a linear operator. However, one does not J18 1700 1 need to know very much. It is very easy to establish J18 1700 12 by induction on ~r that if ~f is in **f then **f that J18 1710 11 is, **f, etc&. Thus **f if and only if **f. A function J18 1720 9 ~g such that **f, i&e&, **f, must be a polynomial function J18 1730 7 of degree **f or less: **f. Thus ~f satisfies **f if J18 1740 6 and only if ~f has the form **f. Accordingly, the 'functions' J18 1750 4 **f span the space of solutions of **f. Since **f are J18 1760 5 linearly independent functions and the exponential J18 1770 1 function has no zeros, these ~r functions **f, form J18 1770 10 a basis for the space of solutions. J19 0010 1 #7-1. EXAMPLES OF BINOMIAL EXPERIMENTS# J19 0010 7 Some experiments are composed of repetitions of independent J19 0020 5 trials, each with two possible outcomes. The binomial J19 0030 4 probability distribution may describe the variation J19 0040 1 that occurs from one set of trials of such a binomial J19 0040 12 experiment to another. We devote a chapter to the binomial J19 0050 10 distribution not only because it is a mathematical J19 0060 7 model for an enormous variety of real life phenomena, J19 0070 3 but also because it has important properties that recur J19 0080 1 in many other probability models. We begin with a few J19 0080 11 examples of binomial experiments. J19 0090 3 _MARKSMANSHIP EXAMPLE._ J19 0090 5 A trained marksman shooting five rounds at a target, J19 0110 7 all under practically the same conditions, may hit J19 0120 3 the bull's-eye from 0 to 5 times. In repeated sets J19 0120 14 of five shots his numbers of bull's-eyes vary. What J19 0130 10 can we say of the probabilities of the different possible J19 0140 6 numbers of bull's-eyes? J19 0150 1 _INHERITANCE IN MICE._ J19 0150 4 In litters of eight mice from similar parents, the J19 0160 2 number of mice with straight instead of wavy hair is J19 0160 12 an integer from 0 to 8. What probabilities should be J19 0170 9 attached to these possible outcomes? J19 0180 2 _ACES (ONES) WITH THREE DICE._ J19 0180 7 When three dice are tossed repeatedly, what is the J19 0190 6 probability that the number of aces is 0 (or 1, or J19 0200 5 2, or 3)? J19 0200 8 _GENERAL BINOMIAL PROBLEM._ J19 0200 11 More generally, suppose that an experiment consists J19 0210 6 of a number of independent trials, that each trial J19 0220 4 results in either a "success" or a "non-success" ("failure"), J19 0230 2 and that the probability of success remains constant J19 0240 1 from trial to trial. In the examples above, the occurrence J19 0240 11 of a bull's-eye, a straight-haired mouse, or an ace J19 0260 8 could be called a "success". In general, any outcome J19 0270 5 we choose may be labeled "success". J19 0280 1 The major question in this chapter is: What is the J19 0280 11 probability of exactly ~x successes in ~n trials? J19 0300 1 In Chapters 3 and 4 we answered questions like those J19 0300 10 in the examples, usually by counting points in a sample J19 0310 8 space. Fortunately, a general formula of wide applicability J19 0320 5 solves all problems of this kind. Before deriving this J19 0330 3 formula, we explain what we mean by "problems of this J19 0340 1 kind". J19 0340 2 Experiments are often composed of several identical J19 0350 1 trials, and sometimes experiments themselves are repeated. J19 0350 8 In the marksmanship example, a trial consists of "one J19 0360 7 round shot at a target" with outcome either one bull's-eye J19 0370 7 (success) or none (failure). Further, an experiment J19 0380 4 might consist of five rounds, and several sets of five J19 0390 3 rounds might be regarded as a super-experiment composed J19 0390 12 of several repetitions of the five-round experiment. J19 0400 7 If three dice are tossed, a trial is one toss of one J19 0410 8 die and the experiment is composed of three trials. J19 0420 3 Or, what amounts to the same thing, if one die is tossed J19 0430 1 three times, each toss is a trial, and the three tosses J19 0430 12 form the experiment. Mathematically, we shall not distinguish J19 0440 6 the experiment of three dice tossed once from that J19 0450 7 of one die tossed three times. These examples are illustrative J19 0460 4 of the use of the words "trial" and "experiment" as J19 0470 2 they are used in this chapter, but they are quite flexible J19 0480 1 words and it is well not to restrict them too narrowly. J19 0490 1 _EXAMPLE 1. STUDENT FOOTBALL MANAGERS._ J19 0490 5 Ten students act as managers for a high-school football J19 0500 5 team, and of these managers a proportion ~p are licensed J19 0510 3 drivers. Each Friday one manager is chosen by lot to J19 0520 1 stay late and load the equipment on a truck. On three J19 0520 12 Fridays the coach has needed a driver. Considering J19 0530 6 only these Fridays, what is the probability that the J19 0540 4 coach had drivers all 3 times? Exactly 2 times? 1 time? J19 0550 3 0 time? J19 0550 5 _DISCUSSION._ J19 0550 6 Note that there are 3 trials of interest. Each trial J19 0560 5 consists of choosing a student manager at random. The J19 0570 3 2 possible outcomes on each trial are "driver" or "nondriver". J19 0580 1 Since the choice is by lot each week, the outcomes J19 0580 11 of different trials are independent. The managers stay J19 0590 8 the same, so that **f is the same for all weeks. We J19 0600 9 now generalize these ideas for general binomial experiments. J19 0610 3 For an experiment to qualify as a binomial experiment, J19 0620 3 it must have four properties: (1) there must be a fixed J19 0630 4 number of trials, (2) each trial must result in a "success" J19 0640 1 or a "failure" (a binomial trial), (3) all trials must J19 0640 11 have identical probabilities of success, (4) the trials J19 0650 8 must be independent of each other. Below we use our J19 0660 8 earlier examples to describe and illustrate these four J19 0670 3 properties. We also give, for each property, an example J19 0680 1 where the property is absent. The language and notation J19 0680 10 introduced are standard throughout the chapter. J19 0700 1 _1. THERE MUST BE A FIXED NUMBER ~N OF REPEATED TRIALS._ J19 0700 6 For the marksman, we study sets of five shots (**f); J19 0710 5 for the mice, we restrict attention to litters of eight J19 0730 3 (**f); and for the aces, we toss three dice (**f). J19 0750 1 _EXPERIMENT WITHOUT A FIXED NUMBER OF TRIALS._ J19 0750 7 Toss a die until an ace appears. Here the number J19 0760 4 of trials is a random variable, not a fixed number. J19 0770 1 _2. BINOMIAL TRIALS._ J19 0770 4 Each of the ~n trials is either a success or a failure. J19 0780 4 "Success" and "failure" are just convenient labels J19 0790 2 for the two categories of outcomes when we talk about J19 0790 12 binomial trials in general. These words are more expressive J19 0800 9 than labels like "~A" and "not-~A". It is natural from J19 0810 9 the marksman's viewpoint to call a bull's-eye a success, J19 0830 9 but in the mice example it is arbitrary which category J19 0840 6 corresponds to straight hair in a mouse. The word "binomial" J19 0850 4 means "of two names" or "of two terms", and both usages J19 0860 4 apply in our work: the first to the names of the two J19 0870 2 outcomes of a binomial trial, and the second to the J19 0870 12 terms ~p and **f that represent the probabilities of J19 0880 8 "success" and "failure". Sometimes when there are many J19 0890 6 outcomes for a single trial, we group these outcomes J19 0900 5 into two classes, as in the example of the die, where J19 0910 2 we have arbitrarily constructed the classes "ace" and J19 0910 10 "not-ace". J19 0920 1 _EXPERIMENT WITHOUT THE TWO-CLASS PROPERTY._ J19 0920 7 We classify mice as "straight-haired" or "wavy-haired", J19 0930 8 but a hairless mouse appears. We can escape from such J19 0940 8 a difficulty by ruling out the animal as not constituting J19 0950 5 a trial, but such a solution is not always satisfactory. J19 0970 1 _3. ALL TRIALS HAVE IDENTICAL PROBABILITIES OF SUCCESS._ J19 0970 1 Each die has probability **f of producing an ace; J19 0970 10 the marksman has some probability ~p, perhaps 0.1, J19 0980 7 of making a bull's-eye. Note that we need not know J19 0990 7 the value of ~p, for the experiment to be binomial. J19 1000 4 _EXPERIMENT WHERE ~P IS NOT CONSTANT._ J19 1000 10 During a round of target practice the sun comes J19 1010 9 from behind a cloud and dazzles the marksman, lowering J19 1020 4 his chance of a bull's-eye. J19 1030 1 _4. THE TRIALS ARE INDEPENDENT._ J19 1030 4 Strictly speaking, this means that the probability J19 1040 1 for each possible outcome of the experiment can be J19 1040 10 computed by multiplying together the probabilities J19 1050 5 of the possible outcomes of the single binomial trials. J19 1060 4 Thus in the three-dice example **f, **f, and the independence J19 1070 3 assumption implies that the probability that the three J19 1080 1 dice fall ace, not-ace, ace in that order is (1/6)(5/6)(1/6). J19 1080 12 Experimentally, we expect independence when the trials J19 1090 7 have nothing to do with one another. J19 1100 5 _EXAMPLES WHERE INDEPENDENCE FAILS._ J19 1100 9 A family of five plans to go together either to J19 1110 9 the beach or to the mountains, and a coin is tossed J19 1120 6 to decide. We want to know the number of people going J19 1130 2 to the mountains. When this experiment is viewed as J19 1130 11 composed of five binomial trials, one for each member J19 1140 9 of the family, the outcomes of the trials are obviously J19 1150 6 not independent. Indeed, the experiment is better viewed J19 1160 4 as consisting of one binomial trial for the entire J19 1170 1 family. The following is a less extreme example of J19 1170 10 dependence. Consider couples visiting an art museum. J19 1180 6 Each person votes for one of a pair of pictures to J19 1190 4 receive a popular prize. Voting for one picture may J19 1200 1 be called "success", for the other "failure". An experiment J19 1210 1 consists of the voting of one couple, or two trials. J19 1210 11 In repetitions of the experiment from couple to couple, J19 1220 8 the votes of the two persons in a couple probably agree J19 1230 6 more often than independence would imply, because couples J19 1240 2 who visit the museum together are more likely to have J19 1240 12 similar tastes than are a random pair of people drawn J19 1250 10 from the entire population of visitors. Table 7-1 illustrates J19 1260 7 the point. The table shows that 0.6 of the boys and J19 1270 7 0.6 of the girls vote for picture ~A. Therefore, under J19 1280 3 independent voting, **f or 0.36 of the couples would J19 1290 1 cast two votes for picture ~A, and **f or 0.16 would J19 1290 12 cast two votes for picture ~B. Thus in independent J19 1300 9 voting, **f or 0.52 of the couples would agree. But J19 1320 7 Table 7-1 shows that **f or 0.70 agree, too many for J19 1330 4 independent voting. J19 1330 6 Each performance of an ~n-trial binomial experiment J19 1340 3 results in some whole number from 0 through ~n as the J19 1350 5 value of the random variable ~X, where **f. We want J19 1360 4 to study the probability function of this random variable. J19 1370 1 For example, we are interested in the number of bull's-eyes, J19 1380 1 not which shots were bull's-eyes. A binomial experiment J19 1380 10 can produce random variables other than the number J19 1390 7 of successes. For example, the marksman gets 5 shots, J19 1400 5 but we take his score to be the number of shots before J19 1410 2 his first bull's-eye, that is, 0, 1, 2, 3, 4 (or 5, J19 1410 15 if he gets no bull's-eye). Thus we do not score the J19 1420 12 number of bull's-eyes, and the random variable is not J19 1430 7 the number of successes. J19 1440 1 The constancy of ~p and the independence are the J19 1440 9 conditions most likely to give trouble in practice. J19 1450 7 Obviously, very slight changes in ~p do not change J19 1460 6 the probabilities much, and a slight lack of independence J19 1470 2 may not make an appreciable difference. (For instance, J19 1480 1 see Example 2 of Section 5-5, on red cards in hands J19 1480 13 of 5.) On the other hand, even when the binomial model J19 1490 8 does not describe well the physical phenomenon being J19 1500 3 studied, the binomial model may still be used as a J19 1510 3 baseline for comparative purposes; that is, we may J19 1510 11 discuss the phenomenon in terms of its departures from J19 1520 8 the binomial model. J19 1530 1 _TO SUMMARIZE:_ J19 1530 2 A binomial experiment consists of **f independent J19 1540 1 binomial trials, all with the same probability **f J19 1540 9 of yielding a success. The outcome of the experiment J19 1550 6 is ~X successes. The random variable ~X takes the values J19 1560 6 **f with probabilities **f or, more briefly **f. J19 1570 3 We shall find a formula for the probability of exactly J19 1580 2 ~x successes for given values of ~p and ~n. When each J19 1600 2 number of successes ~x is paired with its probability J19 1600 11 of occurrence **f, the set of pairs **f, is a probability J19 1620 11 function called a binomial distribution. The choice J19 1630 6 of ~p and ~n determines the binomial distribution uniquely, J19 1640 5 and different choices always produce different distributions J19 1650 4 (except when **f; then the number of successes is always J19 1660 5 0). The set of all binomial distributions is called J19 1670 2 the family of binomial distributions, but in general J19 1670 10 discussions this expression is often shortened to "the J19 1690 8 binomial distribution", or even "the binomial" when J19 1700 6 the context is clear. Binomial distributions were treated J19 1710 3 by James Bernoulli about 1700, and for this reason J19 1720 2 binomial trials are sometimes called Bernoulli trials. J19 1720 9 _RANDOM VARIABLES._ J19 1730 2 Each binomial trial of a binomial experiment produces J19 1740 1 either 0 or 1 success. Therefore each binomial trial J19 1740 10 can be thought of as producing a value of a random J19 1750 9 variable associated with that trial and taking the J19 1760 5 values 0 and 1, with probabilities ~q and ~p respectively. J19 1770 3 The several trials of a binomial experiment produce J19 1780 2 a new random variable ~X, the total number of successes, J19 1790 1 which is just the sum of the random variables associated J19 1790 11 with the single trials. J19 1800 2 _EXAMPLE 2._ J19 1800 4 The marksman gets two bull's-eyes, one on his third J19 1810 4 shot and one on his fifth. The numbers of successes J19 1810 14 on the five individual shots are, then, 0, 0, 1, 0, J19 1820 11 1. The number of successes on each shot is a value J19 1830 7 of a random variable that has values 0 or 1, and there J19 1840 5 are 5 such random variables here. Their sum is ~X, J19 1850 1 the total number of successes, which in this experiment J19 1850 10 has the value **f. J20 0010 1 Consider a simple, closed, plane curve ~C which J20 0010 9 is a real-analytic image of the unit circle, and which J20 0020 8 is given by **f. These are real analytic periodic functions J20 0030 6 with period ~T. In the following paper it is shown J20 0040 6 that in a certain definite sense, exactly an odd number J20 0050 4 of squares can be inscribed in every such curve which J20 0050 14 does not contain an infinite number of inscribed squares. J20 0060 9 This theorem is similar to the theorem of Kakutani J20 0070 8 that there exists a circumscribing cube around any J20 0080 4 closed, bounded convex set in **f. The latter theorem J20 0090 1 has been generalized by Yamabe and Yujobo, and Cairns J20 0090 10 to show that in **f there are families of such cubes. J20 0100 10 Here, for the case of squares inscribed in plane curves, J20 0110 6 we remove the restriction to convexity and give certain J20 0120 4 other results. J20 0120 6 A square inscribed in a curve ~C means a square J20 0130 5 with its four corner points on the curve, though it J20 0140 3 may not lie entirely in the interior of ~C. Indeed, J20 0150 1 the spiral **f, with the two endpoints connected by J20 0150 10 a straight line possesses only one inscribed square. J20 0160 5 The square has one corner point on the straight line J20 0170 4 segment, and does not lie entirely in the interior. J20 0180 1 On ~C, from the point ~P at **f to the point ~Q J20 0190 1 at **f, we construct the chord, and upon the chord J20 0190 11 as a side erect a square in such a way that as ~s approaches J20 0200 12 zero the square is inside ~C. As ~s increases we consider J20 0210 9 the two free corner points of the square, **f and **f, J20 0220 9 adjacent to ~P and ~Q respectively. As ~s approaches J20 0230 5 ~T the square will be outside ~C and therefore both J20 0240 7 **f and **f must cross ~C an odd number of times as J20 0250 7 ~s varies from zero to ~T. The points may also touch J20 0260 6 ~C without crossing. J20 0260 9 Suppose **f crosses ~C when **f. We now have certain J20 0270 10 squares with three corners on ~C. For any such square J20 0280 8 the middle corner of these will be called the vertex J20 0290 6 of the square and the corner not on the curve will J20 0300 3 be called the diagonal point of the square. Each point J20 0300 13 on ~C, as a vertex, may possess a finite number of J20 0310 11 corresponding diagonal points by the above construction. J20 0320 6 To each paired vertex and diagonal point there corresponds J20 0330 6 a unique forward corner point, i&e&, the corner on J20 0340 5 ~C reached first by proceeding along ~C from the vertex J20 0350 4 in the direction of increasing ~t. If the vertex is J20 0360 3 at **f, and if the interior of ~C is on the left as J20 0370 1 one moves in the direction of increasing ~t, then every J20 0370 11 such corner can be found from the curve obtained by J20 0380 9 rotating ~C clockwise through 90` about the vertex. J20 0390 6 The set of intersections of **f, the rotated curve, J20 0400 4 with the original curve ~C consists of just the set J20 0410 3 of forward corner points on ~C corresponding to the J20 0410 12 vertex at **f, plus the vertex itself. We note that J20 0420 10 two such curves ~C and **f, cannot coincide at more J20 0430 7 than a finite number of points; otherwise, being analytic, J20 0440 4 they would coincide at all points, which is impossible J20 0450 3 since they do not coincide near **f. J20 0450 10 With each vertex we associate certain numerical J20 0460 6 values, namely the set of positive differences in the J20 0470 4 parameter ~t between the vertex and its corresponding J20 0480 1 forward corner points. For the vertex at **f, these J20 0480 10 values will be denoted by **f. The function ~f(t) defined J20 0490 10 in this way is multi-valued. J20 0500 4 We consider now the graph of the function ~f(t) J20 0510 2 on **f. We will refer to the plane of ~C and **f as J20 0520 1 the ~C-plane and to the plane of the graph as the ~f-plane. J20 0530 1 The graph, as a set, may have a finite number of components. J20 0530 13 We will denote the values of ~f(t) on different components J20 0540 10 by **f. Each point with abscissa ~t on the graph represents J20 0550 10 an intersection between ~C and **f. There are two types J20 0560 9 of such intersections, depending essentially on whether J20 0570 5 the curves cross at the point of intersection. An ordinary J20 0580 5 point will be any point of intersection ~A such that J20 0590 4 in every neighborhood of ~A in the ~C-plane, **f meets J20 0600 3 both the interior and the exterior of ~C. Any other J20 0610 3 point of intersection between ~C and **f will be called J20 0620 1 a tangent point. This terminology will also be applied J20 0620 10 to the corresponding points in the ~f-plane. We can J20 0630 9 now prove several lemmas. J20 0640 2 #LEMMA 1.# J20 0640 4 In some neighborhood in the ~f-plane of any ordinary J20 0650 3 point of the graph, the function ~f is a single-valued, J20 0660 1 continuous function. J20 0660 3 _PROOF._ J20 0660 4 We first show that the function is single-valued J20 0680 3 in some neighborhood. With the vertex at **f in the J20 0680 13 ~C-plane we assume that **f is the parametric location J20 0690 9 on ~C of an ordinary intersection ~Q between ~C and J20 0700 9 **f. In the ~f-plane the coordinates of the corresponding J20 0710 9 point are **f. We know that in the ~C-plane both ~C J20 0720 11 and **f are analytic. In the ~C-plane we construct J20 0730 7 a set of rectangular Cartesian coordinates ~u, ~v with J20 0740 5 the origin at ~Q and such that both ~C and **f have J20 0750 8 finite slope at ~Q. Near ~Q, both curves can be represented J20 0760 7 by analytic functions of ~u. In a neighborhood of ~Q J20 0770 6 the difference between these functions is also a single-valued, J20 0780 7 analytic function of ~u. Furthermore, one can find J20 0790 4 a neighborhood of ~Q in which the difference function J20 0800 2 is monotone, for since it is analytic it can have only J20 0810 1 a finite number of extrema in any interval. Now, to J20 0810 11 find **f, one needs the intersection of ~C and **f J20 0820 7 near ~Q. But **f is just the curve **f translated without J20 0830 6 rotation through a small arc, for **f is always obtained J20 0840 5 by rotating ~C through exactly 90`. The arc is itself J20 0850 4 a segment of an analytic curve. Thus if ~e is sufficiently J20 0870 1 small, there can be only one intersection of ~C and J20 0880 1 **f near ~Q, for if there were more than one intersection J20 0880 12 for every ~e then the difference between ~C and **f J20 0890 9 near ~Q would not be a monotone function. Therefore, J20 0900 8 **f is single-valued near ~Q. It is also seen that J20 0910 8 **f, since the change from **f to **f is accomplished J20 0920 5 by a continuous translation. Thus **f is also continuous J20 0930 2 at **f, and in a neighborhood of **f which does not J20 0930 13 contain a tangent point. J20 0940 4 We turn now to the set of tangent points on the J20 0950 2 graph. This set must consist of isolated points and J20 0950 11 closed intervals. The fact that there can not be any J20 0960 9 limit points of the set except in closed intervals J20 0970 4 follows from the argument used in Lemma 1, namely, J20 0980 1 that near any tangent point in the ~C-plane the curves J20 0980 12 ~C and **f are analytic, and therefore the difference J20 0990 9 between them must be a monotone function in some neighborhood J20 1000 9 on either side of the tangent point. This prevents J20 1010 5 the occurrence of an infinite sequence of isolated J20 1020 3 tangent points. J20 1020 5 #LEMMA 2.# J20 1020 7 In some neighborhood of an isolated tangent point in J20 1030 5 the ~f-plane, say **f, the function **f is either double-valued J20 1040 4 or has no values defined, except at the tangent point J20 1050 2 itself, where it is single-valued. J20 1050 8 _PROOF._ J20 1050 9 A tangent point ~Q in the ~C-plane occurs when ~C J20 1060 9 and **f are tangent to one another. A continuous change J20 1070 8 in ~t through an amount ~e results in a translation J20 1080 6 along an analytic arc of the curve **f. There are three J20 1090 5 possibilities: (a) **f remains tangent to ~C as it J20 1100 4 is translated; (b) **f moves away from ~C and does J20 1110 2 not intersect it at all for **f; (c) **f cuts across J20 1110 13 ~C and there are two ordinary intersections for every J20 1120 9 ~t in **f. The first possibility results in a closed J20 1130 7 interval of tangent points in the ~f-plane, the end J20 1140 7 points of which fall into category (b) or (c). In the J20 1150 5 second category the function **f has no values defined J20 1160 1 in a neighborhood **f. In the third category the function J20 1160 11 is double-valued in this interval. The same remarks J20 1170 7 apply to an interval on the other side of **f. Again, J20 1180 6 the analyticity of the two curves guarantee that such J20 1190 3 intervals exist. In the neighborhood of an end point J20 1190 12 of an interval of tangent points in the ~f-plane the J20 1200 10 function is two-valued or no-valued on one side, and J20 1210 8 is a single-valued function consisting entirely of J20 1220 3 tangent points on the other side. J20 1220 9 With the above results we can make the following J20 1230 8 remarks about the graph of ~f. First, for any value J20 1240 5 of ~t for which all values of ~f(t) are ordinary points J20 1250 4 the number of values of ~f(t) must be odd. For it is J20 1260 5 clear that the total number of ordinary intersections J20 1270 1 of ~C and **f must be even (otherwise, starting in J20 1270 11 the interior of ~C, **f could not finally return to J20 1280 9 the interior), and the center of rotation at ~t is J20 1290 7 the argument of the function, not a value. Therefore, J20 1300 3 for any value of ~t the number of values of ~f(t) is J20 1310 3 equal to the (finite) number of tangent points corresponding J20 1320 1 to the argument ~t plus an odd number. J20 1320 9 #DEFINITION.# J20 1320 10 The number of ordinary values of the function ~f(t) J20 1330 9 at ~t will be called its multiplicity at ~t. J20 1340 8 #LEMMA 3.# J20 1340 10 The graph of ~f has at least one component whose support J20 1350 10 is the entire interval ~[0,T]. J20 1360 2 _PROOF_ J20 1360 3 We suppose not. Then every component of the graph J20 1370 4 of ~f must be defined over a bounded sub-interval. J20 1380 1 Suppose **f is defined in the sub-interval **f. Now J20 1380 11 **f and **f must both be tangent points on the ~nth J20 1390 9 component in the ~f-plane; otherwise by Lemma 1 the J20 1400 6 component would extend beyond these points. Further, J20 1410 4 we see by Lemma 2 that the multiplicity of ~f can only J20 1420 4 change at a tangent point, and at such a point can J20 1430 1 only change by an even integer. Thus the multiplicity J20 1430 10 of **f for a given ~t must be an even number. This J20 1440 8 is true of all components which have such a bounded J20 1450 6 support. But this is a contradiction, for we know that J20 1460 3 the multiplicity of ~f(t) is odd for every ~t. J20 1470 1 We have shown that the graph of ~f contains at least J20 1470 12 one component whose inverse is the entire interval J20 1480 8 ~[0,T], and whose multiplicity is odd. There must be J20 1490 8 an odd number of such components, which will be called J20 1500 5 complete components. The remaining (incomplete) components J20 1510 2 all have an even number of ordinary points at any argument, J20 1520 1 and are defined only on a proper sub-interval of ~[0,T]. J20 1530 1 We must now show that on some component of the graph J20 1530 12 there exist two points for which the corresponding J20 1540 7 diagonal points in the ~C-plane are on opposite sides J20 1550 5 of ~C. We again consider a fixed point ~P at **f and J20 1560 7 a variable point ~Q at **f on ~C. We erect a square J20 1570 6 with ~PQ as a side and with free corners **f and **f J20 1580 5 adjacent to ~P and ~Q respectively. As ~s varies from J20 1590 5 zero to ~T, the values of ~s for which **f and **f J20 1600 5 cross ~C will be denoted by **f and **f respectively. J20 1610 2 We have **f, plus tangent points. These ~s-values are J20 1620 2 just the ordinary values of **f. J20 1620 8 #LEMMA 4.# J20 1620 10 The values **f are the ordinary values at **f of a J20 1630 9 multi-valued function ~g(t) which has components corresponding J20 1640 5 to those of ~f(t). J20 1650 1 _PROOF._ J20 1650 1 We first define a function ~b(t) as follows: given J20 1650 10 the set of squares such that each has three corners J20 1660 10 on ~C and vertex at ~t, ~b(t) is the corresponding J20 1670 7 set of positive parametric differences between ~t and J20 1680 5 the backward corner points. The functions ~f and ~b J20 1690 6 have exactly the same multiplicity at every argument J20 1700 4 ~t. Now with ~P fixed at **f, **f-values occur when J20 1710 3 the corner **f crosses ~C, and are among the values J20 1720 1 of ~s such that **f. The roots of this equation are J20 1720 12 just the ordinates of the intersections of the graph J20 1730 8 of ~b with a straight line of unit slope through **f J20 1740 7 in the ~b-plane (the plane of the graph of ~b). We J20 1750 6 define these values as **f, and define ~g(t) in the J20 1760 3 same way for each ~t. Thus we obtain ~g(t) by introducing J20 1770 3 an oblique ~g(t)-axis in the ~b-plane. J21 0010 1 #INTRODUCTION.# J21 0010 2 In @1 we investigate a new series of line involutions J21 0020 1 in a projective space of three dimensions over the J21 0020 10 field of complex numbers. These are defined by a simple J21 0030 8 involutorial transformation of the points in which J21 0040 6 a general line meets a nonsingular quadric surface J21 0050 1 bearing a curve of symbol **f. Then in @2 we show that J21 0050 13 any line involution with the properties that (a) It J21 0060 8 has no complex of invariant lines, and (b) Its singular J21 0070 6 lines form a complex consisting exclusively of the J21 0080 3 lines which meet a twisted curve, is necessarily of J21 0080 12 the type discussed in @1. No generalization of these J21 0090 9 results to spaces of more than three dimensions has J21 0100 7 so far been found possible. J21 0100 12 #1.# J21 0110 1 Let ~Q be a nonsingular quadric surface bearing reguli J21 0110 10 **f and **f, and let ~\g be a **f curve of order ~k J21 0120 13 on ~Q. A general line ~l meets ~Q in two points, **f J21 0140 10 and **f, through each of which passes a unique generator J21 0150 8 of the regulus, **f, whose lines are simple secants J21 0160 5 of ~\g. On these generators let **f and **f be, respectively, J21 0170 4 the harmonic conjugates of **f and **f with respect J21 0180 1 to the two points in which the corresponding generator J21 0180 10 meets ~\g. The line **f is the image of ~l. Clearly, J21 0190 10 the transformation is involutorial. J21 0200 3 We observe first that no line, ~l, can meet its J21 0210 4 image except at one of its intersections with ~Q. For J21 0220 2 if it did, the plane of ~l and ~l' would contain two J21 0230 2 generators of **f, which is impossible. Moreover, from J21 0230 10 the definitive transformation of intercepts on the J21 0240 6 generators of **f, it is clear that the only points J21 0250 5 of ~Q at which a line can meets its image are the points J21 0260 4 of ~\g. Hence the totality of singular lines is the J21 0270 2 ~kth order complex of lines which meet ~\g. J21 0270 10 The invariant lines are the lines of the congruence J21 0280 9 of secants of ~\g, since each of these meets ~Q in J21 0290 8 two points which are invariant. The order of this congruence J21 0300 6 is **f, since **f secants of a curve of symbol ~(a,b) J21 0310 3 on a quadric surface pass through an arbitrary point. J21 0320 1 The class of the congruence is **f, since an arbitrary J21 0320 11 plane meets ~\g in ~k points. J21 0330 5 Since the complex of singular lines is of order J21 0340 5 ~k and since there is no complex of invariant lines, J21 0350 2 it follows from the formula **f that the order of the J21 0350 13 involution is **f. J21 0360 3 There are various sets of exceptional lines, or J21 0360 11 lines whose images are not unique. The most obvious J21 0370 9 of these is the quadratic complex of tangents to ~Q, J21 0380 6 each line of which is transformed into the entire pencil J21 0390 5 of lines tangent to ~Q at the image of the point of J21 0400 5 tangency of the given line. Thus pencils of tangents J21 0410 2 to ~Q are transformed into pencils of tangents. It J21 0410 11 is interesting that a 1:1 correspondence can be established J21 0420 9 between the lines of two such pencils, so that in a J21 0430 10 sense a unique image can actually be assigned to each J21 0440 5 tangent. For the lines of any plane, ~|p, meeting ~Q J21 0450 3 in a conic ~C, are transformed into the congruence J21 0460 1 of secants of the curve ~C' into which ~C is transformed J21 0470 2 in the point involution on ~Q. In particular, tangents J21 0480 1 to ~C are transformed into tangents to ~C'. Moreover, J21 0490 1 if **f and **f are two planes intersecting in a line J21 0490 12 ~l, tangent to ~Q at a point ~P, the two free intersections J21 0500 11 of the image curves **f and **f must coincide at ~P', J21 0510 11 the image of ~P, and at this point **f and **f must J21 0520 11 have a common tangent ~l'. Hence, thought of as a line J21 0530 8 in a particular plane ~|p, any tangent to ~Q has a J21 0540 7 unique image and moreover this image is the same for J21 0550 5 all planes through ~l. J21 0550 9 Each generator, ~|l, of **f is also exceptional, J21 0560 7 for each is transformed into the entire congruence J21 0570 3 of secants of the curve into which that generator is J21 0580 2 transformed by the point involution on ~Q. This curve J21 0580 11 is of symbol **f since it meets ~|l, and hence every J21 0590 10 line of **f in the **f invariant points on ~|l and J21 0600 7 since it obviously meets every line of **f in a single J21 0610 6 point. The congruence of its secants is therefore of J21 0620 2 order **f and class **f. J21 0620 7 A final class of exceptional lines is identifiable J21 0630 3 from the following considerations: Since no two generators J21 0640 2 of **f can intersect, it follows that their image curves J21 0650 1 can have no free intersections. In other words, these J21 0650 10 curves have only fixed intersections common to them J21 0660 6 all. Now the only way in which all curves of the image J21 0670 5 family of **f can pass through a fixed point is to J21 0680 2 have a generator of **f which is not a secant but a J21 0680 14 tangent of ~\g, for then any point on such a generator J21 0690 9 will be transformed into the point of tangency. Since J21 0700 6 two curves of symbol **f on ~Q intersect in **f points, J21 0710 4 it follows that there are **f lines of **f which are J21 0720 2 tangent to ~\g. Clearly, any line, ~l, of any bundle J21 0730 1 having one of these points of tangency, ~T, as vertex J21 0730 11 will be transformed into the entire pencil having the J21 0740 7 image of the second intersection of ~l and ~Q as vertex J21 0750 7 and lying in the plane determined by the image point J21 0760 5 and the generator of **f which is tangent to ~\g at J21 0770 3 ~T. A line through two of these points, **f and **f, J21 0780 1 will be transformed into the entire bilinear congruence J21 0780 9 having the tangents to ~\g at **f and **f as directrices. J21 0790 10 A conic, ~C, being a (1, 1) curve on ~Q, meets the J21 0800 10 image of any line of **f, which we have already found J21 0810 8 to be a **f curve on ~Q, in **f points. Hence its image, J21 0820 7 ~C', meets any line of **f in **f points. Moreover, J21 0830 5 ~C' obviously meets any line **f in a single point. J21 0840 4 Hence ~C' is a **f curve on ~Q. Therefore, the congruence J21 0850 3 of its secants, that is the image of a general plane J21 0860 2 field of lines, is of order **f and class **f. Finally, J21 0860 13 the image of a general bundle of lines is a congruence J21 0870 10 whose order is the order of the congruence of invariant J21 0880 6 lines, namely **f and whose class is the order of the J21 0890 5 image congruence of a general plane field of lines, J21 0900 1 namely **f. J21 0900 3 #2.# J21 0900 4 The preceding observations make it clear that there J21 0910 1 exist line involutions of all orders greater than 1 J21 0910 10 with no complex of invariant lines and with a complex J21 0920 8 of singular lines consisting exclusively of the lines J21 0930 4 which meet a twisted curve ~\g. We now shall show that J21 0940 3 any involution with these characteristics is necessarily J21 0950 1 of the type we have just described. J21 0950 8 To do this we must first show that every line which J21 0960 6 meets ~\g in a point ~P meets its image at ~P. To see J21 0970 6 this, consider a general pencil of lines containing J21 0980 2 a general secant of ~\G. By (1), the image of this J21 0980 13 pencil is a ruled surface of order **f which is met J21 0990 11 by the plane of the pencil in a curve, ~C, of order J21 1000 8 **f. On ~C there is a **f correspondence in which the J21 1010 6 **f points cut from ~C by a general line, ~l, of the J21 1020 5 pencil correspond to the point of intersection of the J21 1030 3 image of ~l and the plane of the pencil. Since ~C is J21 1040 2 rational, this correspondence has ~k coincidences, J21 1040 8 each of which implies a line of the pencil which meets J21 1050 11 its image. However, since the pencil contains a secant J21 1060 7 of ~\g it actually contains only **f singular lines. J21 1070 4 To avoid this contradiction it is necessary that ~C J21 1080 2 be composite, with the secant of ~\g and a curve of J21 1090 1 order **f as components. Thus it follows that the secants J21 1090 11 of ~\g are all invariant. But if this is the case, J21 1100 10 then an arbitrary pencil of lines having a point, ~P, J21 1110 7 of ~\g as vertex is transformed into a ruled surface J21 1120 5 of order **f having **f generators concurrent at ~P. J21 1130 2 Since a ruled surface of order ~n with ~n concurrent J21 1131 1 generators is necessarily a cone, it follows finally J21 1140 8 that every line through a point, ~P, of ~\g meets its J21 1150 8 image at ~P, as asserted. J21 1160 1 Now consider the transformation of the lines of J21 1160 9 a bundle with vertex, ~P, on ~\g which is effected J21 1170 9 by the involution as a whole. From the preceding remarks, J21 1180 8 it is clear that such a bundle is transformed into J21 1190 4 itself in an involutorial fashion. Moreover, in this J21 1200 3 involution there is a cone of invariant lines of order J21 1200 13 **f, namely the cone of secants of ~\g which pass through J21 1210 10 ~P. Hence it follows that the involution within the J21 1220 8 bundle must be a perspective de Jonquieres involution J21 1230 4 of order **f and the invariant locus must have a multiple J21 1240 4 line of multiplicity either **f or **f. The first possibility J21 1250 1 requires that there be a line through ~P which meets J21 1260 1 ~\g in **f points; the second requires that there be J21 1260 11 a line through ~P which meets ~\g in **f points. In J21 1270 9 each case, lines of the bundles are transformed by J21 1280 7 involutions within the pencils they determine with J21 1290 3 the multiple secant. In the first case the fixed elements J21 1300 1 within each pencil are the multiple secant and the J21 1300 10 line joining the vertex, ~P, to the intersection of J21 1310 7 ~\g and the plane of the pencil which does not lie J21 1320 7 on the multiple secant. In the second, the fixed elements J21 1330 4 are the lines which join the vertex, ~P, to the two J21 1340 3 intersections of ~\g and the plane of the pencil which J21 1340 13 do not lie on the multiple secant. The multiple secants, J21 1350 10 of course, are exceptional and in each case are transformed J21 1360 8 into cones of order **f. J21 1370 1 Observations similar to these can be made at each J21 1370 10 point of ~\g. Hence ~\g must have either a regulus J21 1380 8 of **f-fold secants or a regulus of **f-fold secants. J21 1390 7 Moreover, if **f, no two of the multiple secants can J21 1400 3 intersect. For if such were the case, either the plane J21 1410 1 of the two lines would meet ~\g in more than ~k points J21 1410 13 or, alternatively, the order of the image regulus of J21 1420 9 the pencil determined by the two lines would be too J21 1430 8 high. But if no two lines of the regulus of multiple J21 1440 3 secants of ~\g can intersect, then the regulus must J21 1450 1 be quadratic, or in other words, ~\g must be either J21 1450 11 a **f or a **f curve on a nonsingular quadric surface. J21 1460 7 We now observe that the case in which ~\g is a **f J21 1470 9 curve on a quadric is impossible if the complex of J21 1480 4 singular lines consists exclusively of the lines which J21 1490 1 meet ~\g. For any pencil in a plane containing a **f-fold J21 1490 13 secant of ~\g has an image regulus which meets the J21 1500 10 plane of the pencil in **f lines, namely the images J21 1510 7 of the lines of the pencil which pass through the intersection J21 1520 4 of ~\g and the multiple secant, plus an additional J21 1530 1 component to account for the intersections of the images J21 1530 10 of the general lines of the pencil. However, if there J21 1540 10 is no additional complex of singular lines, the order J21 1550 6 of the image regulus of a pencil is precisely **f. J21 1560 3 This contradicts the preceding observations, and so, J21 1570 1 under the assumption of this paper we must reject the J21 1570 11 possibility that ~\g is a **f curve on a quadric surface. J21 1580 10 Continuing with the case in which ~\g is a **f curve J21 1590 10 on a quadric ~Q, we first observe that the second regulus J21 1600 6 of ~Q consists precisely of the lines which join the J21 1610 6 two free intersections of ~\g and the planes through J21 1620 2 any one of the multiple secants. For each of these J21 1620 12 lines meets ~Q in three points, namely two points on J21 1630 10 ~\g and one point on one of the multiple secants. J21 1640 8 Now consider an arbitrary line, ~l, meeting ~Q in J21 1650 6 two points, **f and **f. If ~|a is the multiple secant J21 1660 6 of ~\g which passes through **f and ~|b is the simple J21 1670 5 secant of ~\g which passes through **f, and if **f J21 1680 3 are the points in which ~|a meets ~\g, and if **f is J21 1680 15 the image of **f on the generator ~|b, it follows that J21 1690 11 the image of the line **f is **f. J22 0010 1 These societies can expect to face difficult times. J22 0010 9 As the historic processes of modernization gradually J22 0020 5 gain momentum, their cohesion will be threatened by J22 0030 5 divisive forces, the gaps between rulers and subjects, J22 0040 2 town and country, will widen; new aspirants for power J22 0040 11 will emerge whose ambitions far exceed their competence; J22 0050 8 old rulers may lose their nerve and their sense of J22 0060 8 direction. National leaders will have to display the J22 0070 5 highest skills of statesmanship to guide their people J22 0080 1 through times of uncertainty and confusion which destroy J22 0080 9 men's sense of identity. Feelings of a community of J22 0090 9 interest will have to be recreated- in some of the J22 0100 7 new nations, indeed, they must be built for the first J22 0110 4 time- on a new basis which looks toward the future J22 0110 14 and does not rely only on shared memories of the past. J22 0120 11 Nevertheless, with foresight and careful planning, J22 0130 5 some of the more disruptive and dangerous consequences J22 0140 2 of social change which have troubled other countries J22 0150 1 passing through this stage can be escaped. The United J22 0150 10 States can help by communicating a genuine concern J22 0160 7 with the problems these countries face and a readiness J22 0170 5 to provide technical and other appropriate forms of J22 0180 2 assistance where possible. J22 0180 5 Our central goal should be to provide the greatest J22 0190 5 positive incentive for these societies to tackle boldly J22 0200 2 the tasks which they face. At the same time, we should J22 0200 13 recognize that the obstacles to change and the lack J22 0210 9 of cohesion and stability which characterize these J22 0220 4 countries may make them particularly prone to diversions J22 0230 3 and external adventures of all sorts. It may seem to J22 0230 13 some of them that success can be purchased much less J22 0240 10 dearly by fishing in the murky waters of international J22 0250 5 politics than by facing up to the intractable tasks J22 0260 2 at home. We should do what we can to discourage this J22 0260 13 conclusion, both by offering assistance for their domestic J22 0270 8 needs and by reacting firmly to irresponsible actions J22 0280 5 on the world scene. When necessary, we should make J22 0290 4 it clear that countries which choose to derive marginal J22 0300 1 advantages from the cold war or to exploit their potential J22 0300 11 for disrupting the security of the world will not only J22 0310 10 lose our sympathy but also risk their own prospects J22 0320 6 for orderly development. As a nation, we feel an obligation J22 0330 5 to assist other countries in their development; but J22 0340 2 this obligation pertains only to countries which are J22 0340 10 honestly seeking to become responsible members of a J22 0350 8 stable and forward-moving world community. J22 0360 1 #TRANSITIONAL SOCIETIES# J22 0360 3 When we look at countries like Iran, Iraq, Pakistan, J22 0370 4 and Burma, where substantial progress has been made J22 0380 1 in creating a minimum supply of modern men and of social J22 0380 12 overhead capital, and where institutions of centralized J22 0390 6 government exist, we find a second category of countries J22 0400 6 with a different set of problems and hence different J22 0410 2 priorities for policy. The men in power are committed J22 0420 1 in principle to modernization, but economic and social J22 0420 9 changes are proceeding only erratically. Isolated enterprises J22 0430 5 have been launched, but they are not yet related to J22 0440 7 each other in a meaningful pattern. The society is J22 0450 3 likely to be characterized by having a fairly modernized J22 0450 12 urban sector and a relatively untouched rural sector, J22 0460 8 with very poor communications between the two. Progress J22 0470 5 is impeded by psychological inhibitions to effective J22 0480 3 action among those in power and by a failure on their J22 0490 2 part to understand how local resources, human and material, J22 0490 11 can be mobilized to achieve the national goals of modernization J22 0500 10 already symbolically accepted. J22 0510 2 Most countries in this second category share the J22 0520 2 difficulty of having many of the structures of a modern J22 0520 12 political and social system without the modern standards J22 0530 8 of performance required to make them effective. In J22 0540 6 these rapidly changing societies there is also too J22 0550 4 little appreciation of the need for effort to achieve J22 0550 13 goals. The colonial period has generally left people J22 0560 8 believing that government can, if it wishes, provide J22 0570 6 all manner of services for them- and that with independence J22 0580 5 free men do not have to work to realize the benefits J22 0590 2 of modern life. For example, in accordance with the J22 0590 11 fashion of the times, most transitional societies have J22 0600 8 announced economic development plans of varying numbers J22 0610 5 of years; such is the mystique of planning that people J22 0620 4 expect that fulfillment of the plan will follow automatically J22 0630 2 upon its announcement. The civil services in such societies J22 0640 1 are generally inadequate to deal competently with the J22 0640 9 problems facing them; and their members often equate J22 0650 7 a government career with security and status rather J22 0660 4 than with sacrifice, self-discipline, and competence. J22 0670 1 American policy should press constantly the view J22 0670 8 that until these governments demand efficiency and J22 0680 7 effectiveness of their bureaucracies there is not the J22 0690 6 slightest hope that they will either modernize of democratize J22 0700 3 their societies. We should spread the view that planning J22 0710 2 and national development are serious matters which J22 0710 9 call for effort as well as enthusiasm. Above all, we J22 0720 9 should seek to encourage the leaders of these societies J22 0730 6 to accept the unpleasant fact that they are responsible J22 0740 3 for their fates. Only within the framework of a mature J22 0750 1 relationship characterized by honest appraisals of J22 0750 7 performance can we provide telling assistance. With J22 0760 6 respect to those countries whose leaders prefer to J22 0770 4 live with their illusions, we can afford to wait, for J22 0780 2 in time their comparative lack of progress will become J22 0780 11 clear for all to see. J22 0790 3 Our technical assistance to these countries should J22 0800 1 place special emphasis on inducing the central governments J22 0800 9 to assume the role of advisor and guide which at an J22 0810 9 earlier stage foreign experts assumed in dealing with J22 0830 5 the central governments. We should encourage the governments J22 0840 3 to develop their own technical assistance to communities, J22 0850 1 state and provincial governments, rural communities, J22 0850 7 and other smaller groups, making certain that no important J22 0860 7 segment of the economy is neglected. Simultaneously J22 0870 3 we should be underlining the interrelationships of J22 0880 2 technical progress in various fields, showing how agricultural J22 0890 1 training can be introduced into education, how health J22 0890 9 affects labor productivity, how small business can J22 0900 6 benefit the rural farm community, and, above all, how J22 0910 5 progress in each field relates to national progress. J22 0920 1 Efforts such as the Community Development Program in J22 0920 9 the Philippines have demonstrated that transitional J22 0930 5 societies can work toward balanced national development. J22 0940 4 To achieve this goal of balanced development, communications J22 0950 2 between the central government and the local communities J22 0960 1 must be such that the needs and aspirations of the J22 0960 11 people themselves are effectively taken into account. J22 0970 6 If modernization programs are imposed from above, without J22 0980 6 the understanding and cooperation of the people, they J22 0990 4 will encounter grave difficulties. J22 0990 8 Land reform is likely to be a pressing issue in J22 1000 9 many of these countries. It should be American policy J22 1010 4 not only to encourage effective land reform programs J22 1020 2 but also to underline the relation of such reforms J22 1020 11 to the economic growth and modernization of the society. J22 1030 7 As an isolated policy, land reform is likely to be J22 1040 7 politically disruptive; as part of a larger development J22 1050 2 effort, however, it may gain wide acceptance. It should J22 1060 1 also be recognized that the problem of rural tenancy J22 1060 10 cannot be solved by administrative decrees alone. Land J22 1070 6 reform programs need to be supplemented with programs J22 1080 4 for promoting rural credits and technical assistance J22 1090 1 in agriculture. J22 1090 3 Lastly, governmental and private planners will at J22 1100 3 this stage begin to see large capital requirements J22 1100 11 looming ahead. By holding out prospects for external J22 1110 8 capital assistance, the United States can provide strong J22 1120 6 incentives to prepare for the concerted economic drive J22 1130 3 necessary to achieve self-sustaining growth. J22 1140 1 #ACTIVELY MODERNIZING SOCIETIES# J22 1140 3 At a third stage in the modernization process are such J22 1150 4 countries as India, Brazil, the Philippines, and Taiwan, J22 1160 2 which are ready and committed to move into the stage J22 1160 12 of self-sustaining growth. They must continue to satisfy J22 1170 7 basic capital needs; and there persists the dual problem J22 1180 7 of maintaining operational unity around a national J22 1190 4 program of modernization while simultaneously decentralizing J22 1200 1 participation in the program to wider and wider groups. J22 1210 1 But these countries have made big strides toward developing J22 1210 10 the necessary human and social overhead capital; they J22 1220 7 have established reasonably stable and effective governmental J22 1230 5 institutions at national and local levels; and they J22 1240 4 have begun to develop a capacity to deal realistically J22 1250 1 and simultaneously with all the major sectors of their J22 1250 10 economies. J22 1260 1 On the economic front, the first priority of these J22 1260 10 countries is to mobilize a vastly increased volume J22 1270 8 of resources. Several related tasks must be carried J22 1280 5 out if self-sustaining growth is to be achieved. These J22 1290 2 countries must formulate a comprehensive, long-term J22 1290 9 program covering the objectives of both the private J22 1300 8 and the public sectors of the economy. They must in J22 1310 7 their planning be able to count on at least tentative J22 1330 2 commitments of foreign capital assistance over periods J22 1340 1 of several years. Capital imports drawn from a number J22 1340 10 of sources must be employed and combined skillfully J22 1350 6 enough to permit domestic investment programming to J22 1360 3 go forward. Capital flows must be coordinated with J22 1370 1 national needs and planning. Finally, a balance must J22 1370 9 be effected among project finance, utilization of agricultural J22 1390 6 surpluses, and general balance of payments support. J22 1400 5 Thus, although the agenda of external assistance J22 1410 2 in the economic sphere are cumulative, and many of J22 1410 11 the policies suggested for nations in the earlier stages J22 1420 9 remain relevant, the basic purpose of American economic J22 1430 7 policy during the later stages of development should J22 1440 4 be to assure that movement into a stage of self-sustaining J22 1450 1 growth is not prevented by lack of foreign exchange. J22 1460 1 There remain many political and administrative problems J22 1460 8 to be solved. For one thing, although considerable J22 1470 6 numbers of men have been trained, bureaucracies are J22 1480 3 still deficient in many respects; even the famed Indian J22 1490 3 Civil Service is not fully adequate to the tremendous J22 1500 1 range of tasks it has undertaken. Technical assistance J22 1500 9 in training middle- and upper-level management personnel J22 1510 6 is still needed in many cases. There are also more J22 1520 5 basic problems. This is the stage at which democratic J22 1530 1 developments must take place if the society is to become J22 1530 11 an open community of creative people. Nevertheless, J22 1540 7 impulses still exist among the ruling elite to rationalize J22 1550 7 and thus to perpetuate the need for centralized and J22 1560 4 authoritarian practices. Another great danger is that J22 1570 2 the emerging middle class will feel itself increasingly J22 1570 10 alienated from the political leaders who still justify J22 1580 8 their dominance by reference to the struggle for independence J22 1590 6 or the early phase of nationalism. The capacity of J22 1600 4 intellectuals and members of the new professional classes J22 1610 2 to contribute creatively to national development is J22 1610 9 likely to be destroyed by a constraining sense of inferiority J22 1620 9 toward both their own political class and their colleagues J22 1630 7 and professional counterparts in the West. Particularly J22 1640 5 when based upon a single dominant party, governments J22 1650 2 may respond to such a situation by claiming a monopoly J22 1650 12 of understanding about the national interest. Convinced J22 1660 7 of the wisdom of their own actions, and reassured by J22 1670 7 the promises of their economic development programs, J22 1680 2 governments may fail to push outward to win more and J22 1690 2 more people to the national effort, becoming instead J22 1690 10 more rigid and inflexible in their policies. J22 1700 5 American policy toward such societies should stress J22 1710 3 our sympathy for the emerging social and professional J22 1720 1 classes. It should attempt to communicate both an appreciation J22 1730 1 of professional standards and an understanding of the J22 1730 9 tremendous powers and potentialities of genuinely open J22 1740 6 and pluralistic societies. We have every obligation J22 1750 4 to take seriously their claims to being democratic J22 1760 1 and free countries; we also have, in consequence, the J22 1760 10 duty to appraise realistically and honestly their performance J22 1770 6 and to communicate our judgments to their leaders in J22 1780 7 frank but friendly ways. J22 1780 11 #THE TIME FACTOR# J22 1790 2 We have emphasized that the modernizing process in J22 1790 10 each society will take a considerable period of time. J22 1800 8 With the exception of treaty-making, foreign relations J22 1810 5 were historically concerned for the most part with J22 1820 4 conditions of short or at least measurable duration. J22 1820 12 Foreign policy now takes on a different perspective J22 1830 8 and must become skilled not merely at response but J22 1840 6 also at projection. American and free-world policies J22 1850 2 can marginally affect the pace of transition; but basically J22 1860 1 that pace depends on changes in the supply of resources J22 1860 11 and in the human attitudes, political institutions, J22 1870 6 and social structure which each society must generate. J22 1880 5 It follows that any effective policy toward the underdeveloped J22 1890 3 countries must have a realistically long working horizon. J22 1900 2 It must be marked by a patience and persistence which J22 1900 12 have not always been its trademark. J22 1910 6 This condition affects not only the conception but J22 1920 4 also the legislative and financial support of foreign J22 1930 1 policy, especially in the context of economic aid. J23 0010 1 #/2,: SOME OF THE MAJOR FUNCTIONS OF RELIGION# J23 0010 9 The place of religion in the simple, preliterate societies J23 0020 7 is quite definite; as a complex it fits into the whole J23 0030 8 social organization and functions dominantly in every J23 0040 3 part of it. In societies like ours, however, its place J23 0050 1 is less clear and more complex. With the diversity J23 0050 10 of religious viewpoints, there are differences of opinion J23 0060 6 as to the essential features of religion; and there J23 0070 5 are different opinions as to the essential functions J23 0080 2 of religion. Nevertheless, for most of the population J23 0080 10 of heterogeneous advanced societies, though less for J23 0090 6 the less religious portion, religion does perform certain J23 0100 5 modal individual and social functions. J23 0110 1 Although the inner functions of religion are not J23 0110 9 of direct significance in social organization, they J23 0120 6 have important indirect consequences. If the inner J23 0130 4 functions of religion are performed, the individual J23 0140 1 is a composed, ordered, motivated, and emotionally J23 0140 8 secure associate; he is not greatly frustrated, and J23 0150 7 he is not anomic; he is better fitted to perform his J23 0160 6 social life among his fellows. There are several closely J23 0170 3 related inner functions. J23 0170 6 In the last analysis, religion is the means of inducing, J23 0180 7 formulating, expressing, enhancing, implementing, and J23 0190 3 perpetuating man's deepest experience- the religious. J23 0210 1 Man is first religious; the instrumentalities follow. J23 0210 8 Religion seeks to satisfy human needs of great pertinence. J23 0220 9 The significant things in it, at the higher religious J23 0240 8 levels, are the inner emotional, mental, and spiritual J23 0250 4 occurrences that fill the pressing human needs of J23 0260 2 self-preservation, J23 0260 4 self-pacification, and self-completion. The chief experience J23 0270 2 is the sensing of communion, and in the higher religions, J23 0280 1 of a harmonious relationship with the supernatural J23 0280 8 power. Related to this is the fact that most of the J23 0290 9 higher religions define for the individual his place J23 0300 3 in the universe and give him a feeling that he is relatively J23 0310 1 secure in an ordered, dependable universe. Man has J23 0310 9 the experience of being helpfully allied with what J23 0320 7 he cannot fully understand; he is a coordinate part J23 0330 6 of all of the mysterious energy and being and movement. J23 0340 2 The universe is a safe and permanent home. J23 0340 10 A number of religions also satisfy for many the J23 0350 8 need of being linked with the ultimate and eternal. J23 0360 4 Death is not permanent defeat and disappearance; man J23 0370 2 has a second chance. He is not lost in the abyss of J23 0370 14 endless time; he has endless being. Religion at its J23 0380 9 best also offers the experience of spiritual fulfillment J23 0390 5 by inviting man into the highest realm of the spirit. J23 0400 4 Religion can summate, epitomize, relate, and conserve J23 0410 1 all the highest ideals and values- ethical, aesthetic, J23 0410 9 and religious- of man formed in his culture. J23 0420 9 There is also the possibility, among higher religions, J23 0440 4 of experiencing consistent meaning in life and enjoying J23 0450 3 guidance and expansiveness. The kind of religious experience J23 0460 1 that most moderns seek not only provides, clarifies, J23 0460 9 and relates human yearnings, values, ideals, and purposes; J23 0470 7 it also provides facilities and incitements for the J23 0480 5 development of personality, sociality, and creativeness. J23 0490 3 Under the religious impulse, whether theistic or humanistic, J23 0510 2 men have joy in living; life leads somewhere. Religion J23 0520 1 at its best is out in front, ever beckoning and leading J23 0520 12 on, and, as Lippman put it, "mobilizing all man's scattered J23 0530 7 energies in one triumphant sense of his own infinite J23 0540 6 importance". J23 0540 7 At the same time that religion binds the individual J23 0560 6 helpfully to the supernatural and gives him cosmic J23 0570 4 peace and a sense of supreme fulfillment, it also has J23 0580 1 great therapeutic value for him. It gives him aid, J23 0580 10 comfort, even solace, in meeting mundane life situations J23 0590 6 where his own unassisted practical knowledge and skill J23 0600 4 are felt by him to be inadequate. He is confronted J23 0610 1 with the recurrent crises, such as great natural catastrophes J23 0610 10 and the great transitions of life- marriage, incurable J23 0620 8 disease, widowhood, old age, the certainty of death. J23 0640 7 He has to cope with frustration and other emotional J23 0650 4 disturbance and anomie. His religious beliefs provide J23 0660 1 him with plausible explanations for many conditions J23 0660 8 which cause him great concern, and his religious faith J23 0670 8 makes possible fortitude, equanimity, and consolation, J23 0680 3 enabling him to endure colossal misfortune, fear, frustration, J23 0690 3 uncertainty, suffering, evil, and danger. Religion J23 0700 1 usually also includes a principle of compensation, J23 0700 8 mainly in a promised perfect future state. J23 0710 4 The belief in immortality, where held, functions J23 0730 2 as a redress for the ills and disappointments of the J23 0730 12 here and now. The tensions accompanying a repressive J23 0740 8 consciousness of wrongdoing or sinning or some tormenting J23 0750 6 secret are relieved for the less self-contained or J23 0760 4 self-sufficient by confession, repentance, and penance. J23 0770 1 The feeling of individual inferiority, defeat, or humilation J23 0770 9 growing out of various social situations or individual J23 0780 8 deficiencies or failures is compensated for by communion J23 0790 6 in worship or prayer with a friendly, but all-victorious J23 0800 4 Father-God, as well as by sympathetic fellowship with J23 0810 2 others who share this faith, and by opportunities in J23 0810 11 religious acts for giving vent to emotions and energies. J23 0820 9 In providing for these inner individual functions, J23 0830 6 religion undertakes in behalf of individual peace of J23 0840 5 mind and well-being services for which there is no J23 0850 2 other institution. J23 0850 4 In addition to the functions of religion within J23 0870 2 man, there have always been the outer social functions J23 0870 11 for the community and society. The two have never been J23 0880 9 separable. Religion is vitally necessary in both societal J23 0890 7 maintenance and regulation. J23 0900 1 The value-system of a community or society is always J23 0900 11 correlated with, and to a degree dependent upon, a J23 0910 8 more or less shared system of religious beliefs and J23 0920 3 convictions. The religion supports, re-enforces, reaffirms, J23 0930 2 and maintains the fundamental values. Even in the united J23 0940 1 states, with its freedom of religious belief and worship J23 0940 10 and its vast denominational differentiation, there J23 0950 4 is a general consensus regarding the basic Christian J23 0960 4 values. This is demonstrated especially when there J23 0970 1 is awareness of radically different value orientation J23 0970 8 elsewhere; for example Americans rally to Christian J23 0980 7 values vis-a-vis those of atheistic communism. In America J23 0990 6 also all of our major religious bodies officially sanction J23 1000 3 a universalistic ethic which is reflective of our common J23 1010 3 religion. Even the non-church members- the freewheelers, J23 1030 1 marginal religionists and so on- have the values of J23 1030 10 Christian civilization internalized in them. Furthermore, J23 1050 5 religion tends to integrate the whole range of values J23 1060 6 from the highest or ultimate values of God to the intermediary J23 1070 4 and subordinate values; for example, those regarding J23 1080 1 material objects and pragmatic ends. Finally, it gives J23 1080 9 sanctity, more than human legitimacy, and even, through J23 1090 8 super-empirical reference, transcendent and supernatural J23 1100 4 importance to some values; for example, marriage as J23 1110 3 a sacrament, much law-breaking as sinful, occasionally J23 1120 1 the state as a divine instrument. It places certain J23 1120 10 values at least beyond questioning and tampering. J23 1130 5 Closely related to this function is the fact that J23 1140 6 the religious system provides a body of ultimate ends J23 1160 2 for the society, which are compatible with the supreme J23 1160 11 eternal ends. This something leads to a conception J23 1170 8 of an over-all Social Plan with a meaning interpretable J23 1180 6 in terms of ultimate ends; for example, a plan that J23 1190 4 fulfills the will of God, which advances the Kingdom J23 1200 1 of God, which involves social life as part of the Grand J23 1200 12 Design. This explains some group ends and provides J23 1210 8 a justification of their primacy. It gives social guidance J23 1230 6 and direction and makes for programs of social action. J23 1240 4 Finally, it gives meaning to much social endeavor, J23 1250 1 and logic, consistency, and meaning to life. In general, J23 1250 10 there is no society so secularized as to be completely J23 1260 8 without religiously inspired transcendental ends. J23 1270 3 Religion integrates and unifies. Some of the oldest, J23 1280 4 most persistent, and most cohesive forms of social J23 1280 12 groupings have grown out of religion. These groups J23 1290 8 have varied widely from mere families, primitive, totemic J23 1300 5 groups, and small modern cults and sects, to the memberships J23 1310 5 of great denominations, and great, widely dispersed J23 1320 2 world religions. Religion fosters group life in various J23 1320 10 ways. The common ultimate values, ends and goals fostered J23 1330 9 by religion are a most important factor. Without a J23 1340 7 system of values there can be no society. Where such J23 1350 4 a value system prevails, it always unifies all who J23 1360 2 possess it; it enables members of the society to operate J23 1360 12 as a system. The beliefs of a religion also reflecting J23 1380 8 the values are expressed in creeds, dogmas, and doctrines, J23 1390 6 and form what Durkheim calls a credo. As he points J23 1400 4 out, a religious group cannot exist without a collective J23 1410 1 credo, and the more extensive the credo, the more unified J23 1410 11 and strong is the group. The credo unifies and socializes J23 1420 9 men by attaching them completely to an identical body J23 1430 7 of doctrine; the more extensive and firm the body of J23 1440 6 doctrine, the firmer the group. J23 1440 11 The religious symbolism, and especially the closely J23 1450 6 related rites and worship forms, constitute a powerful J23 1460 5 bond for the members of the particular faith. The religion, J23 1470 3 in fact, is an expression of the unity of the group, J23 1480 1 small or large. The common codes, for religious action J23 1480 10 as such and in their ethical aspects for everyday moral J23 1490 8 behavior, bind the devotees together. These are ways J23 1500 5 of jointly participating in significantly symbolized, J23 1510 2 standardized, and ordered religiously sanctified behavior. J23 1520 1 The codes are mechanism for training in, and directing J23 1520 10 and enforcing, uniform social interaction, and for J23 1530 6 continually and publicly reasserting the solidarity J23 1540 3 of the group. J23 1540 6 Durkheim noted long ago that religion as "**h a J23 1550 5 unified system of beliefs and practices relative to J23 1560 2 sacred things **h unite[s] into one single moral community J23 1560 11 **h all those who adhere to them". His view is that J23 1580 10 every religion pertains to a community, and, conversely, J23 1600 5 every community is in one aspect a religious unit. J23 1610 2 This is brought out in the common religious ethos that J23 1610 12 prevails even in the denominationally diverse audiences J23 1620 7 at many secular semi-public and public occasions in J23 1630 7 the United States; and it is evidenced in the prayers J23 1650 5 offered, in the frequent religious allusions, and in J23 1660 3 the confirmation of points on religious grounds. J23 1660 10 The unifying effect of religion is also brought J23 1670 8 out in the fact that historically peoples have clung J23 1680 4 together as more or less cohesive cultural units, with J23 1690 3 religion as the dominant bond, even though spatially J23 1690 11 dispersed and not politically organized. The Jews for J23 1700 8 2500 years have been a prime example, though the adherents J23 1710 7 of any world or interpeople religion are cases in point. J23 1720 5 it might be pointed out that the integrating function J23 1730 2 of religion, for good or ill, has often supported or J23 1730 12 been identified with other groupings- political, nationality, J23 1740 7 language, class, racial, sociability, even economic. J23 1760 5 Religion usually exercises a stabilizing-conserving J23 1780 4 function. As such it acts as an anchor for the people. J23 1790 4 There is a marked tendency for religions, once firmly J23 1800 1 established, to resist change, not only in their own J23 1800 10 doctrines and policies and practices, but also in secular J23 1810 7 affairs having religious relevance. It has thus been J23 1820 5 a significant factor in the conservation of social J23 1830 2 values, though also in some measure, an obstacle to J23 1830 11 the creation or diffusion of new ones. It tends to J23 1840 9 support the longstanding precious sentiments, the traditional J23 1850 4 ways of thinking, and the customary ways of living. J23 1860 3 As Yinger has pointed out, the "**h reliance on symbols, J23 1870 1 on tradition, on sacred writings, on the cultivation J23 1870 9 of emotional feelings of identity and harmony with J23 1880 7 sacred values, turns one to the past far more than J23 1890 5 to the future". Historically, religion has also functioned J23 1900 2 as a tremendous engine of vindication, enforcement, J23 1900 9 sanction, and perpetuation of various other institutions. J23 1910 7 At the same time that religion exercises a conserving J23 1920 7 influence, it also energizes and motivates both individuals J23 1930 5 and groups. Much of the important individual and social J23 1940 4 action has been owing to religious incentives. The J23 1950 1 great ultimate ends of religion have served as magnificent J23 1950 10 beacon lights that lured people toward them with an J23 1960 9 almost irresistible force, mobilizing energies and J23 1970 4 inducing sacrifices; for example, the Crusades, mission J23 1980 2 efforts, just wars. Much effort has been expended in J23 1980 11 the sincere effort to apply the teaching and admonitions J23 1990 9 of religion. The insuperable reward systems that most J23 2000 6 religions embody have great motivating effects. Religion J23 2010 3 provides the most attractive rewards, either in this J23 2020 3 world or the next, for those who not merely abide by J23 2020 14 its norms, but who engage in good works. J23 2030 7 Religion usually acts as a powerful aid in social J23 2040 4 control, enforcing what men should or should not do. J23 2050 2 Among primitive peoples the sanctions and dictates J23 2050 9 of religion were more binding than any of the other J23 2060 8 controls exercised by the group; and in modern societies J23 2070 5 such influence is still great. Religion has its own J23 2080 3 supernatural prescriptions that are at the same time J23 2080 11 codes of behavior for the here and now. J24 0010 1 Overwhelmed with the care of five young children and J24 0010 10 concerned about persistent economic difficulties due J24 0020 5 to her husband's marginal income, her defense of denial J24 0030 5 was excessively strong. Thus the lack of effective J24 0040 1 recognition of the responsibilities involved in caring J24 0040 8 for two babies showed signs of becoming a disabling J24 0050 8 problem. The result, dramatically visible in a matter J24 0060 5 of days in the family's disrupted daily functioning, J24 0070 2 was a phobic-like fear that some terrible harm would J24 0070 12 befall the second twin, whose birth had not been anticipated. J24 0080 10 Soon Mrs& B&'s fears threatened to burst into a full-blown J24 0090 10 panic concerning the welfare of the entire family. J24 0100 7 Inability to care for the other children, difficulty J24 0110 3 in feeding the babies, who seemed colicky, bone-weary J24 0120 1 fatigue, repeated crying episodes, and short tempers J24 0120 8 reflected the family's helplessness in coping with J24 0130 7 the stressful situation. Clearly, this was a family J24 0140 5 in crisis. J24 0140 7 Mrs& B& compared her feelings of weakness to her J24 0150 6 feelings of weakness and helplessness at the time of J24 0160 4 her mother's death when she was eight, as well as her J24 0160 15 subsequent anger at her father for remarrying. Her J24 0170 8 previous traumatic experiences flashed through her J24 0180 4 mind as if they had happened yesterday. On the anniversary J24 0190 4 of her father's death she poured out with agonized J24 0200 1 tears her feelings of guilt about not having attended J24 0200 10 his funeral. In the family's own words (during the J24 0210 8 third of twelve visits), they had "reached the crisis J24 0220 5 peak- either the situation will give or we will break"! J24 0240 3 Direct confrontation and acceptance of Mrs& B&'s J24 0250 2 anger against the second baby soon dissipated her fears J24 0260 1 of annihilation. Abreaction of her anxiety and guilt J24 0260 9 concerning the death of her parents, when linked up J24 0270 8 with her current feelings of anger and her fears of J24 0280 5 loss, abandonment, and annihilation, produced further J24 0290 1 relief of tension. In a joint interview Mr& and Mrs& J24 0290 11 B& were helped to understand the meaning of a younger J24 0300 9 son's wandering away from home in terms of his feelings J24 0310 8 of displacement in reaction to the arrival of the twins. J24 0320 5 The father, accurately perceiving the child's needs, J24 0330 2 not only respected them as worthy of his attention, J24 0330 11 but immediately satisfied them by taking him on his J24 0340 8 lap along with the twins, saying, "I have a big lap; J24 0360 7 there is room for you, too, Johnnie". Simultaneously, J24 0370 2 a variety of environmental supports- a calm but not J24 0390 1 too motherly homemaker, referral for temporary economic J24 0390 8 aid, intelligent use of nursing care, accompaniment J24 0400 6 to the well-baby clinic for medical advice on the twins' J24 0410 5 feeding problem- combined to prevent further development J24 0430 2 of predictable pathological mechanisms. Follow-up visits J24 0440 1 of the nurse and social worker indicated continued J24 0440 9 success in the care of the new babies as well as a J24 0450 10 marked improvement in the family's day-to-day mental J24 0460 5 health and social functioning. J24 0460 9 As seen in the B& family, there must be an attempt J24 0470 10 to help the client develop conscious awareness of the J24 0480 5 problem, especially in the absence of a formal request J24 0490 3 for assistance. The lack of awareness usually springs J24 0500 1 from deep but disguised anxiety, often assuming the J24 0500 9 superficial guise of "not knowing" or "not caring". J24 0510 7 The unhealthy use of denial in the initial reaction J24 0520 5 to a stress must be handled through the medium of a J24 0530 3 positive controlled transference. In general, the approach J24 0530 10 is more active than passive, more out-reaching than J24 0540 9 reflective. While some regression is inevitable, it J24 0550 5 is discouraged rather than encouraged so that the transference J24 0560 5 does not follow the stages of planned regression associated J24 0570 2 with certain casework adaptations of the psychoanalytic J24 0580 1 model for insight therapy. J24 0580 5 To establish an emotionally meaningful relationship J24 0590 2 the worker must demonstrate actual or potential helpfulness J24 0600 1 immediately, preferably within the first interview, J24 0600 7 by meeting the client's specific needs. These needs J24 0610 7 usually concern the reduction of guilt and some relief J24 0620 6 of tension. The initial interview must be therapeutic J24 0630 3 rather than purely exploratory in an information-seekingsense. J24 0640 1 In this relationship-building stage the worker must J24 0640 9 communicate confidence in the client's ability to deal J24 0650 8 with the problem. In so doing he implicitly offers J24 0660 6 the positive contagion of hope as a kind of maturational J24 0670 3 dynamic to counteract feelings of helplessness and J24 0670 10 hopelessness generally associated with the first stages J24 0680 7 of stress impact. Thus, the client receives enough J24 0690 6 ego support to engage in constructive efforts on his J24 0700 4 own behalf. Here there is a specific preventive component J24 0710 1 which applies in a more generalized sense to any casework J24 0710 11 situation. We are preventing or averting pathogenic J24 0720 7 phenomena such as undue regression, unhealthy suppression J24 0730 4 and repression, excessive use of denial, and crippling J24 0740 4 guilt turned against the self. While some suppression J24 0750 1 and some denial are not only necessary but healthy, J24 0750 10 the worker's clinical knowledge must determine how J24 0760 6 these defenses are being used, what healthy shifts J24 0770 4 in defensive adaptation are indicated, and when efforts J24 0780 2 at bringing about change can be most effectively timed. J24 0790 1 In steering the family toward ego-adaptive and away J24 0790 10 from maladaptive responses, the worker uses time-honored J24 0800 7 focused casework techniques of specific emotional support, J24 0810 5 clarification, and anticipatory guidance. Over a relatively J24 0820 4 short period of time, usually about four to twelve J24 0830 1 weeks, the worker must be able to shift the focus, J24 0830 11 back and forth, between immediate external stressful J24 0840 5 exigencies ("precipitating stress") and the key, emotionally J24 0850 5 relevant issues ("underlying problem") which are, often J24 0860 4 in a dramatic preconscious breakthrough, reactivated J24 0870 1 by the crisis situation, and hence once again amenable J24 0870 10 to resolution. Though there is obviously nothing new J24 0880 7 about these techniques, they do challenge the worker's J24 0890 5 skill to articulate them precisely on the spot and J24 0900 3 on the basis of quick and accurate diagnostic assessments. J24 0910 1 Then, too, the utmost clinical flexibility is necessary J24 0910 9 in judiciously combining carefully timed family-oriented J24 0920 6 home visits, single and group office interviews, and J24 0930 4 appropriate telephone follow-up calls, if the worker J24 0940 3 is to be genuinely accessible and if the predicted J24 0940 12 unhealthy outcome is to be actually averted in accordance J24 0950 9 with the principles of preventive intervention. In J24 0960 5 addition, in many cases, a variety of concrete social J24 0970 3 resources- homemaker, day care, medical and financial J24 0990 1 aid- must be reasonably available for the reality support J24 0990 9 needed to bolster the family in its individual and J24 1000 8 collective coping and integrative efforts. At certain J24 1010 4 critical stages, and only for sound diagnostic reasons, J24 1020 2 it may be important to accompany family members in J24 1020 11 their use of these resources if their problem-solving J24 1030 8 behavior is to be constructive rather than defeating. J24 1040 4 While expensive in time and involving a great deal J24 1050 4 of adaptation on the part of the worker (in terms of J24 1050 15 his willingness to leave the sanctity of his office J24 1060 9 and enter actively into the client's life), techniques J24 1070 5 of accompaniment were found to be of tremendous value J24 1080 3 when in the service of specific preventive objectives. J24 1090 1 Finally, whatever the techniques used, a twin goal J24 1090 9 is common to all preventive casework service: to cushion J24 1100 6 or reduce the force of the stress impact while at the J24 1110 6 same time to encourage and support family members to J24 1120 3 mobilize and use their ego capacities. J24 1120 9 Having outlined an approach to the theory and practice J24 1130 8 of preventive casework, we now address ourselves to J24 1140 5 our final question: What place should brief, crisis-oriented J24 1150 3 preventive casework occupy in our total spectrum of J24 1160 1 services? We should first recognize our tendency to J24 1160 9 develop a hierarchy of values, locating brief treatment J24 1170 6 at the bottom and long-term intensive service at the J24 1180 5 top, instead of seeing the services as part of a continuum, J24 1190 4 each important in its own right. This problem is perhaps J24 1200 1 as old as social casework itself. Almost three decades J24 1200 10 ago Bertha Reynolds undertook a study of short-contact J24 1210 8 interviewing because of her conviction that short-term J24 1220 6 casework had an important but neglected place in our J24 1230 4 network of social services. Her conclusion has been J24 1230 12 borne out in the experience of many practitioners: J24 1240 8 "**h short-contact interviewing is neither a truncated J24 1250 6 nor a telescoped experience but is of the same essential J24 1260 6 quality as the so-called intensive case work". Thus, J24 1280 1 casework involving a limited number of interviews is J24 1280 9 still to be regarded in terms of the quality of service J24 1290 9 rendered rather than of the quantity of time expended. J24 1300 5 That we are experiencing an upsurge of interest J24 1310 3 in the many formulations and preventive adaptations J24 1310 10 of brief treatment in social casework is evident from J24 1320 9 even a small sampling of current literature. Especially J24 1330 5 noteworthy is Levinger's finding that the length of J24 1340 5 treatment per se is not a reliable indicator of successful J24 1350 2 outcome. According to a number of studies, the important J24 1360 1 predictors are the nature and management of the client's J24 1360 10 anxiety as well as the accessibility of the helping J24 1380 8 person. For example, the level of improvement noted J24 1390 4 in a recent experiment with a short course of immediate J24 1400 2 treatment for parent-child relationship problems compared J24 1400 9 favorably with the results reported by typical child J24 1410 8 guidance clinics where the hours spent in purely diagnostic J24 1420 7 study may equal or exceed the number of hours devoted J24 1430 5 to actual treatment interviews in the experimental J24 1440 1 project. Of startling significance, too, is the assertion J24 1440 9 that it was possible to carry out this program with J24 1450 10 only a 6 percent attrition rate as compared with a J24 1460 6 rate of 59 percent reported for a comparable group J24 1470 2 of families who were receiving help in traditionally J24 1470 10 operated child guidance services. These reports refer J24 1480 7 to a level of secondary prevention in a child guidance J24 1490 6 clinic approached by the customary route of voluntary J24 1500 3 referral by the family or by other professional people. J24 1510 1 Similarities to the approach which I have described J24 1510 9 are evident in the prompt establishment of a helping J24 1520 7 relationship, quick appraisal of key issues, and the J24 1530 5 immediate mobilization of treatment plans as the essential J24 1540 2 dynamics in helping to further the ego's coping efforts J24 1540 11 in dealing with the interplay of inner and outer stresses. J24 1550 10 While there are many different possibilities for the J24 1560 7 timing of casework intervention, the experiments recently J24 1580 4 reported from a variety of traditional settings all J24 1590 2 point up the importance of an immediate response to J24 1590 11 the client's initial need for help. In some programs, J24 1600 8 treatment is concentrated over a short period of time, J24 1610 7 while in others, after the initial contact is established, J24 1620 4 flexible spacing of interviews has been experimentally J24 1630 1 used with apparent success. Willingness to take the J24 1630 9 risk of early and direct interpretation (with the proviso J24 1640 8 that if the interpretation is too threatening, the J24 1650 5 worker can withdraw) is another prominent feature in J24 1660 3 these efforts. My aim in mentioning this factor obviously J24 1670 1 is not to give license to "wild therapy" but rather J24 1670 11 to encourage us to use the time-honored clinical casework J24 1680 9 skills we already possess, and to use them with greater J24 1690 7 confidence, precision, and professional pride. J24 1700 2 Though there is obviously great need for continued J24 1710 1 experimentation with various types of short-term intervention J24 1710 9 to further efforts in developing an operational definition J24 1720 7 of prevention at the secondary- or perhaps, in some J24 1730 7 instances, primary- level, the place of short-term J24 1740 5 intervention has already been documented by a number J24 1750 1 of investigators in a wide variety of settings. Woodward, J24 1750 10 for example, has emphasized the "need for a broad spectrum J24 1760 9 of services, including very brief services in connection J24 1770 6 with critical situations". Ideally, brief treatment J24 1780 3 should be arrived at as a treatment of choice rather J24 1800 1 than as a treatment of chance. Moreover, the shortage J24 1800 10 of treatment resources and the chronically persistent J24 1810 6 shortage of mental health manpower force us to innovate J24 1820 5 additional refinements of preventive intervention techniques J24 1830 2 to make services more widely available- and on a more J24 1840 2 effective basis to more people. Further research in J24 1840 10 the meaning of crises as experienced by the consumers J24 1850 8 of traditional social casework services- including J24 1860 2 attempts to develop a typology of family structures, J24 1870 1 crisis problems, reaction mechanisms, and differential J24 1870 7 treatment approaches- and the establishment of new J24 1880 6 experimental programs are imperative social needs which J24 1890 5 should command the best efforts of caseworkers in collaboration J24 1900 3 with community planners. J24 1900 6 our literature is already replete with a fantastic J24 1910 7 number of suggestions for preventive agency programming J24 1920 3 ranging from the immediately practical to the globally J24 1930 2 utopian. Probably, in the immediate future, we will J24 1930 10 have to settle for middle-range efforts that fall short J24 1940 9 of utopian models. Increased experimentation with multipurpose J24 1950 4 agencies, especially those that combine afresh the J24 1960 5 traditional functions of family and child welfare services, J24 1970 2 holds rich promise for the future. For example, child J24 1970 11 welfare experience abounds with cases in which the J24 1980 8 parental request for substitute care is precipitated J24 1990 5 by a crisis event which is meaningfully linked with J24 2000 3 a fundamental unresolved problem of family relationships. J25 0010 1 _SENTIMENT:_ J25 0010 2 Tension management and communication of sentiment J25 0020 1 are the processes involved in the functioning of the J25 0020 10 element of sentiment or feeling. One of the devices J25 0030 7 for tension management is preferential mating. The J25 0040 3 preferential mating of this particular population has J25 0050 2 been analyzed in a separate study. The relative geographical J25 0050 11 isolation of the Brandywine population makes for a J25 0060 8 limited choice in mating. It would seem necessary that J25 0080 6 members of this population provide support for one J25 0090 3 another since it is not provided by the larger society. J25 0090 13 The supportive relations can apparently be achieved J25 0100 7 in geographical and social isolation. The newlyweds J25 0110 5 building homes on the same land with either set of J25 0120 4 parents, and the almost exclusive use of members of J25 0120 13 the population as sponsors for baptisms and weddings J25 0130 8 illustrate this supportive relationship. As Loomis J25 0140 4 remarks, "In the internal pattern the chief reason J25 0150 4 for interacting is to communicate liking, friendship, J25 0160 1 and love among those who stand in supporting relations J25 0160 10 to one another and corresponding negative sentiments J25 0170 5 to those who stand in antagonistic relations". J25 0180 2 _ACHIEVING:_ J25 0180 3 Maintenance of the status quo might seem to be the J25 0190 7 appropriate goal or objective of this population today. J25 0200 2 Yet, the object of the element of achieving through J25 0200 11 the process of goal attaining for this population appears J25 0210 9 to have been changed by circumstances brought about J25 0220 5 by the war. Prior to World War /2, there was a higher J25 0230 6 percentage of endogamous marriages than after World J25 0240 2 war /2,. J25 0240 4 _NORMS:_ J25 0240 5 The norms, as elements, refer to "all criteria for J25 0250 5 judging the character or conduct of both individual J25 0260 1 and group actions in any social system". The process J25 0260 10 of evaluation assigns varying positive and negative J25 0270 6 priorities or values to elements. The elements and J25 0280 4 processes become evident in a study of mate selection J25 0290 2 in this population. From the evidence "it may be conjectured J25 0300 1 that core-core marriages are the preferred unions for J25 0300 10 core males and females; core-marginal marriages still J25 0310 6 belong in the category of permissive unions; and core-Negro J25 0320 6 marriages are proscribed for core members". J25 0330 2 _STATUS-ROLES:_ J25 0330 4 The element of status-roles and associated processes J25 0340 2 have not been sufficiently investigated for this population J25 0350 1 to permit any type of conjectures about them. J25 0350 9 _POWER:_ J25 0360 1 There is some indication from a limited number of J25 0360 10 interviews with members of the population that the J25 0370 6 element of power, primarily the voluntary influence J25 0380 2 of non-authoritative power, has been exerted on actors J25 0380 11 in the system, particularly in regard to mate selection. J25 0390 9 This would seem to vary from family to family, depending J25 0400 8 somewhat on the core or marginal "status" of that family. J25 0410 5 Again, size of the group may have some influence on J25 0420 4 the strength of group controls. J25 0420 9 _RANKING:_ J25 0420 10 Interviews with members of the Brandywine population J25 0430 7 were attempted in order to discover the ranking of J25 0440 6 the various families in the population. The large majority J25 0450 4 of the interviewees placed core families in the upper J25 0460 2 positions. Loomis considers ranking a product of the J25 0460 10 evaluation process. "The standing or rank of an actor J25 0470 9 in a given social system is determined by the evaluation J25 0480 6 placed upon the actor and his acts in accordance with J25 0490 3 the norms and standards of the system". Despite the J25 0500 1 increasing rate of exogamous marriages, the population J25 0500 8 has been able to sustain, at least to some degree, J25 0510 8 the consciousness of its intermediate status in society. J25 0520 4 To some extent the system can be considered a Gemeinschaft J25 0530 3 in which "social-role occupancies are determined by J25 0540 2 birth, by attributes such as sex or caste, which are J25 0540 12 biologically or socially immutable". The adherence J25 0550 6 of many in the population to the Indian background J25 0560 4 in their pedigree, and emphasis upon the fact that J25 0570 2 their ancestors had never been slaves, becomes of prime J25 0570 11 interest in determining how far these elements promote J25 0590 7 the self-image of the intermediate status of the group J25 0600 5 in society. J25 0600 7 _SANCTIONS:_ J25 0600 8 The negative sanctions applied to core-Negro marriages J25 0610 7 for core members act as indicators of expected adherence J25 0620 5 to group norms. However, because of Church laws, lately J25 0630 4 more stringently enforced, which forbid the marriage J25 0640 1 of cousins closely related consanguineously, a means J25 0640 8 of facilitating the goal of in-group relations may J25 0650 8 be that of recourse to illegitimate unions. A cursory J25 0660 4 survey of available material indicates a high rate J25 0670 2 of illegitimate births occurring to parents who have J25 0670 10 a close consanguineous relationship. J25 0680 2 #SUBSYSTEMS# J25 0680 3 The comprehensive or master processes activate all J25 0690 4 or some of the elements within the social system and J25 0700 2 subsystems. Within the larger social system are the J25 0700 10 structural and functional subsystems. The structural J25 0710 6 subsystem, consisting of relatively stable inter-relationships J25 0720 5 among its parts, includes: J25 0730 1 _1._ J25 0730 1 Subgroups of various types, interconnected by relational J25 0730 8 norms. J25 0740 1 _2._ J25 0740 2 Roles of various types, within the larger system J25 0740 10 and within the subgroups **h J25 0750 4 _3._ J25 0750 5 Regulative norms governing subgroups and roles. J25 0760 2 _4._ J25 0760 3 Cultural values. J25 0760 5 In the study of marriage patterns for this group, J25 0770 5 consanguinity produces the structural system- a system J25 0780 5 of affinities- which, in turn, maintains the system J25 0780 13 of consanguinity. Subgroups of various types have been J25 0790 8 found within this system. Each family line can be considered J25 0800 8 a substructure. There seems to be an implied cultural J25 0810 6 value attached to the fact of core status within the J25 0820 3 group. Additionally, the proscription of core-Negro J25 0820 10 marriages for core families, discussed above, would J25 0830 7 seem to act as a regulative norm governing subgroups J25 0840 4 and roles. The scope of this study does not provide J25 0850 3 for the study of roles of various types within the J25 0850 13 larger system or within the subgroups. However, it J25 0860 8 cannot be presumed, informal though the structure of J25 0870 5 the population seems, that there are not well-defined J25 0880 3 roles within the system. J25 0880 7 The present study relates to the theory of functional J25 0890 6 systems. It is hypothesized that fertility is a function J25 0900 4 of the social system when the population as a whole J25 0910 1 is considered and a function of the subsystems when J25 0910 10 the two-fold division of core families and marginal J25 0920 6 families is considered. The four functional problems J25 0930 3 of a social system are, to some extent, solved by the J25 0940 2 subsystems within this population. By means of geographical J25 0940 10 isolation and high fertility rates, inbreeding can J25 0950 7 be fostered and the pattern of isolation from the greater J25 0960 6 society maintained. In order to attain the goal of J25 0970 4 group solidarity and to relieve tension, the high fertility J25 0980 1 rate provides more group members for mate selection, J25 0980 9 and the clustering of members in groups fosters acceptance J25 0990 7 of group controls. To maintain their intermediate position J25 1000 5 in the larger society, it is not only necessary that J25 1010 4 members of this population be "visible", but that their J25 1020 3 numbers be great enough to be recognized as a separate, J25 1020 13 distinct grouping or system in society. As mentioned J25 1030 8 above, where families are concentrated in larger numbers, J25 1040 6 group controls seem strongest and most effective. Adaptation J25 1050 4 to the social and non-social environment through the J25 1060 3 economy has been met to a degree through a type of J25 1060 14 occupational segregation. This provides the necessary J25 1070 6 contact with the larger society, while supporting a J25 1080 5 type of control over members in terms of social contacts. J25 1090 4 Integration "has to do with the inter-relation of J25 1100 2 parts". The problem of solidarity and morale again J25 1100 10 involves the concept of values. The values placed by J25 1110 9 the Brandywine population, upon maintaining a certain J25 1120 5 homogeneity, a certain separate racial identity, and J25 1130 3 therefore a certain separate social status, are important J25 1140 1 for the morale of the system. Since morale is closely J25 1140 11 related to pattern maintenance and integration, the J25 1150 6 higher the morale and solidarity, the better the system J25 1160 5 can solve the problems of the system. In this respect J25 1170 2 it would seem that the greater the social distance J25 1170 11 between the Brandywine population and the white and J25 1180 8 Negro populations within the same general locality, J25 1190 5 the greater the possibility for higher morale and solidarity J25 1200 3 within the Brandywine population. It is conceived that J25 1210 2 one of the means to attain this social distance is J25 1210 12 that of physical and social isolation. In turn, higher J25 1220 7 fertility rates for this population provide a means J25 1230 4 of increasing the numerical quantity of the population, J25 1240 2 allowing for the possibility of greater stability and J25 1240 10 unity. The population can thereby replenish itself J25 1250 7 and actually grow larger. J25 1260 1 #MASTER PROCESSES# J25 1260 3 Of particular utility in the analysis of the development, J25 1270 2 persistence, and change of social systems has been J25 1270 10 the use of the master or comprehensive processes. Loomis J25 1280 9 considers six such processes in his paradigm. J25 1290 5 1. Communication J25 1290 7 2. Boundary maintenance J25 1300 2 3. Systemic linkage J25 1300 5 4. Socialization J25 1310 1 5. Social control J25 1310 4 6. Institutionalization Though undoubtedly all six J25 1320 3 processes are operative within the whole social system J25 1330 1 and its subsystems, two processes that are of crucial J25 1330 10 importance to this study will be singled out for particular J25 1340 9 emphasis: J25 1350 1 _COMMUNICATION:_ J25 1350 1 In discussing the process of communication, Loomis J25 1350 8 defines it as "the process by which information, decisions, J25 1360 9 and directives are transmitted among actors and the J25 1370 7 ways in which knowledge, opinions, and attitudes are J25 1380 4 formed, or modified by interaction". Communication J25 1390 1 may be facilitated by means of the high visibility J25 1390 10 within the larger community. Intense interaction is J25 1400 5 easier where segregated living and occupational segregation J25 1410 3 mark off a group from the rest of the community, as J25 1420 2 in the case of this population. However, the factor J25 1420 11 of physical isolation is not a static situation. Although J25 1430 8 the Brandywine population is still predominantly rural, J25 1440 5 "there are indications of a consistent and a statistically J25 1450 4 significant trend away from the older and relatively J25 1460 2 isolated rural communities **h urbanization appears J25 1460 8 to be an important factor in the disintegration of J25 1470 8 this group. This conclusion is, however, an over-simplification. J25 1480 6 A more realistic analysis must take into account the J25 1490 5 fact that Brandywine people in the urban-fringe area J25 1500 2 are, in general, less segregated locally than group J25 1500 10 members in rural areas. In the urban area, in other J25 1510 10 words, they, unlike some urban ethnic groups, do not J25 1520 6 concentrate in ghetto colonies. Group pressures toward J25 1530 2 conformity are slight or non-existent, and deviant J25 1530 10 behavior in mate selection incurs few if any social J25 1540 9 sanctions. In such a setting social contacts and associations J25 1550 5 are likely to be heterogamous, resulting in a change J25 1560 5 of values and almost necessarily, in mate selection J25 1570 1 behavior. To the extent that urban life contributes J25 1570 9 to the breakdown of the group patterns of residential J25 1580 7 isolation, to that extent it contributes directly to J25 1590 4 increased exogamy". J25 1590 6 _SOCIAL CONTROL:_ J25 1600 1 The process of social control is operative insofar J25 1600 8 as sanctions play a part in the individual's behavior, J25 1610 7 as well as the group's behavior. By means of this social J25 1620 6 control, deviance is either eliminated or somehow made J25 1630 4 compatible with the function of the social group. Examples J25 1640 1 from this population indicate that deviance seems to J25 1640 9 be sanctioned by ostracism from the group. J25 1650 6 _SOCIALIZATION:_ J25 1650 7 There is an oral tradition among the members of J25 1660 6 the population in regard to the origin and subsequent J25 1670 3 separate status of the group in the larger society. J25 1680 1 Confused and divided though this tradition may be, J25 1680 9 it is an important part of the social and cultural J25 1690 7 heritage of the group, and acts as a means of socialization, J25 1700 4 particularly for members of the rural community. The J25 1710 2 fact of Indian ancestry and "free" status during the J25 1710 11 days of slavery, are important distinctions made by J25 1720 8 members of the group. J25 1730 1 _BOUNDARY MAINTENANCE:_ J25 1730 3 "Culturally induced social cohesion resulting from J25 1740 2 common norms and values internalized by members of J25 1740 10 the group" is operative in the boundary maintenance J25 1750 7 of the group as well as in the process of socialization. J25 1760 7 The process of boundary maintenance identifies and J25 1770 3 preserves the social system or subsystems, and the J25 1770 11 characteristic interaction is maintained. As the threat J25 1780 7 of encroachment on the system increases, the "probability J25 1790 7 of applied boundary maintenance mechanisms increases". J25 1800 3 The fertility rate pattern would seem to be a function, J25 1810 6 though a latent one, of the process of maintaining J25 1820 1 the boundary. "Increased boundary maintenance may be J25 1820 8 achieved, for example, by assigning a higher primacy J25 1830 8 or evaluation to activities characteristic of the external J25 1840 5 pattern **h" The external pattern or external system J25 1850 4 can be considered as "group behavior that enables the J25 1860 2 group to survive in its environment **h" Boundary maintenance J25 1865 1 for this group would seem to be primarily social, as J25 1870 10 is the preference for endogamy. It is also expressed J25 1880 7 in the proscription against deviants in the matter J25 1890 4 of endogamy, particularly in rural areas. By their J25 1900 1 pattern of endogamy and exogamy, the core families J25 1900 9 and the marginal families show distinct limits to the J25 1910 6 intergroup contact they maintain. J25 1920 1 _SYSTEMIC LINKAGE:_ J25 1920 3 Where boundary maintenance describes the boundaries J25 1930 1 or limits of the group, systemic linkage is defined J25 1930 10 "as the process whereby one or more of the elements J25 1940 9 of at least two social systems is articulated in such J25 1950 5 a manner that the two systems in some ways and on some J25 1960 4 occasions may be viewed as a single unit. J26 0010 1 A royal decree issued in 1910, two years after the J26 0010 11 Belgian government assumed authority for the administration J26 0020 6 of the Congo, prescribed the registration of all adult J26 0030 6 males by chiefdoms. Further decrees along this line J26 0040 4 were issued in 1916 and 1919. In 1922 a continuous J26 0050 1 registration of the whole indigenous population was J26 0050 8 instituted by ordinance of the Governor-General, and J26 0060 6 the periodic compilation of these records was ordered. J26 0070 4 But specific procedures for carrying out this plan J26 0080 2 were left to the discretion of the provincial governors. J26 0080 11 A unified set of regulations, applicable to all areas, J26 0090 8 was issued in 1929, and a complementary series of demographic J26 0100 6 inquiries in selected areas was instituted at the same J26 0110 5 time. The whole system was again reviewed and reorganized J26 0120 2 in 1933. General responsibility for its administration J26 0120 9 rested with a division of the colonial government concerned J26 0130 9 with labor supply and native affairs, Service des Affaires J26 0140 8 Indigenes et de la Main-d'Oeuvre (~AIMO, **f Direction, J26 0150 6 **f Direction Generale, Gouvernement Generale). Tribal J26 0160 4 authorities, the chiefs and their secretaries, were J26 0170 3 held responsible for maintaining the registers of indigenous J26 0180 2 persons within their territories, under the general J26 0180 9 supervision of district officials. The district officials, J26 0190 7 along with their other duties, were obliged to organize J26 0200 7 special demographic inquiries in selected areas and J26 0210 4 to supervise the annual tabulations of demographic J26 0220 1 statistics. J26 0220 2 The regulations require the inscription of each J26 0230 1 individual (male or female, adult or child) on a separate J26 0230 11 card (fiche). The cards, filed by circonscription (sub-chiefdom, J26 0240 8 or village), are kept in the headquarters of each territoire J26 0250 9 (chiefdom). Each card is expected to show certain information J26 0260 8 about the individual concerned, including his or her J26 0270 6 date of birth (or age at a specified time), spouses, J26 0280 3 and children. Additional entries must be made from J26 0280 11 time to time. Different cards are used for males and J26 0290 10 females, and a corner is clipped from the cards of J26 0300 7 adults, and of children when they reach puberty. So J26 0310 3 a quick count could be made at any time, even by an J26 0310 15 illiterate clerk, of the number of registered persons J26 0320 8 in four age-and-sex classes. Personal identification J26 0330 4 cards are issued to all adult males on which tax payments, J26 0340 5 inoculations, periods of employment, and changes of J26 0350 2 residence are recorded. Similar identification cards J26 0350 8 were issued in 1959 to all adult females. Each adult J26 0360 9 is held personally responsible for assuring his inscription J26 0370 5 and obtaining an identification card which must be J26 0380 4 shown on demand. The registration card of a person J26 0380 13 leaving his home territory for a short period is put J26 0390 10 into a special file for absent persons. The cards of J26 0400 7 permanent out-migrants are, in theory, sent to an office J26 0410 5 in the place of new residence. Finally, the registration J26 0420 1 of births and deaths by nearest relatives was made J26 0420 10 compulsory in most regions. J26 0430 4 Numbers of registered persons in four age-and-sex J26 0440 1 classes were counted each year. In addition, demographic J26 0440 9 inquiries, supposedly involving field investigations, J26 0450 5 were conducted in selected minor divisions (circonscriptions) J26 0460 4 containing about 3 percent of the total population. J26 0470 5 The results of these inquiries were used to adjust J26 0480 2 compilations of data from the registers and to provide J26 0480 11 various ratios and rates by districts, including birth J26 0490 8 and death rates, general fertility rates, distributions J26 0500 4 by marital status, fertility of wives separately in J26 0510 3 polygynous and non-polygynous households, infant mortality, J26 0520 1 and migration. The areas to be examined in these inquiries J26 0520 11 were selected by local officials, supposedly as representative J26 0530 8 of a larger population. Averages of the ratios obtained J26 0540 7 in a few selected areas were applied to the larger J26 0550 6 population. J26 0550 7 The scheme, in theory, is an ingenious adaptation J26 0560 5 of European registration systems to the conditions J26 0570 1 of African life. But it places a severe strain on the J26 0570 12 administrative resources (already burdened in other J26 0580 6 ways) of a widely dispersed, poor and largely illiterate J26 0590 5 population. The sampling program was instituted before J26 0600 3 the principles of probability sampling were widely J26 0610 1 recognized in population studies. The system was not J26 0610 9 well adapted to conditions of life in urban centers. J26 0620 7 The distinction between domiciled (de jure) and present J26 0630 5 (de facto) population was not clearly defined. So the J26 0640 4 results are subject to considerable confusion. The J26 0650 1 system tended to break down during the war, but was J26 0650 11 reactivated; it had reached the pre-war level of efficiency J26 0660 9 by 1951. In spite of the defects in this system, the J26 0670 6 figures on total population during the late 1930's J26 0680 2 and again in the early 1950's seem to have represented J26 0680 12 actual conditions in most districts with approximate J26 0690 7 fidelity. But the information on the dynamics of population J26 0700 7 was often quite misleading. J26 0710 1 The same system, with minor modifications, was developed J26 0710 9 in Ruanda-Urundi under Belgian administration. Here J26 0720 5 again it seems that useful approximations of the size J26 0730 6 and geographical distribution of the population were J26 0740 3 obtained in this way in the late pre-war and early J26 0740 14 post-war periods. J26 0750 2 Before considering more recent activities, we should J26 0760 2 note another important aspect of demography in Belgian J26 0760 10 Africa. A number of strong independent agencies, established J26 0770 8 in some cases with governmental or royal support, have J26 0780 7 conducted large medical, social, educational and research J26 0790 4 operations in particular parts of the Congo and Ruanda-Urundi. J26 0800 4 The work of Fonds Reine Elisabeth pour l'Assistance J26 0810 1 Medicale aux Indigenes du Congo Belge (~FOREAMI) has J26 0820 2 special interest with respect to demography. This agency J26 0820 10 accepted responsibility for medical services to a population J26 0830 8 ranging from 638,560 persons in 1941 to 840,503 in J26 0840 8 1956 in the Kwango District and adjacent areas east J26 0850 5 of Leopoldville. Each year from 1941 on, its medical J26 0860 2 staff had conducted intensive field investigations J26 0860 8 to determine changes in population structure and vital J26 0870 7 rates and, as its primary objective, the incidence J26 0880 4 of major diseases. Its findings are reported each year J26 0890 3 in its Rapport sur l'activite pendant annee **h (Bruxelles). J26 0900 1 Somewhat similar investigations have been made by medical J26 0910 1 officers in other areas. Other independent, or partially J26 0910 9 independent agencies, have promoted investigations J26 0920 5 on topics directly or indirectly related to demography. J26 0930 4 These studies vary widely in scope and precision. L'Institut J26 0940 2 pour la Recherche Scientifique en Afrique Centrale J26 0960 1 (~IRSAC) has sponsored well-designed field investigations J26 0960 8 and has cooperated closely with the government of Ruanda-Urundi J26 0970 9 in the development of its official statistics. J26 0980 5 A massive investigation of the characteristics of J26 0990 5 in-migrants and prospective out-migrants in Ruanda-Urundi J26 1000 3 is being carried on by J& J& Maquet, former Director J26 1010 1 of the Social Science branch of ~IRSAC, now a professor J26 1020 1 at l'Universite Officielle du Congo Belge et du Ruanda-Urundi. J26 1030 1 Some 30,000 completed schedules with 20 items (collected J26 1030 9 by sub-chiefs in 1,100 circumscriptions) have been J26 1040 6 tabulated. The results are now being analyzed. J26 1050 4 Statistics have been recognized as a matter of strategic J26 1060 3 importance in the Congo and in Ruanda-Urundi during J26 1070 1 the post-war years in connection with long-term economic J26 1070 11 and social programs. The ~AIMO organizations of both J26 1080 6 countries, which maintain administrative services throughout J26 1090 4 the territories, retained immediate responsibility J26 1100 2 for the collection and publication of demographic information. J26 1110 1 However, the statistical offices of both governments J26 1110 8 were assigned responsibility for the planning and analysis J26 1120 8 of these statistics. A Bureau de la Demographie (A& J26 1130 7 Romaniuk, Director) was formed under ~AIMO in the Congo, J26 1140 6 to work in close rapport with the Section Statistique J26 1150 3 of the Secretariat General. Eventually responsibility J26 1160 1 for demographic inquiries in the Congo was transferred J26 1160 9 to the demographic division of the Central Statistical J26 1170 8 Office. The 1952 demographic inquiry in Ruanda-Urundi J26 1180 6 was directed by V& Neesen, a member of the ~IRSAC staff, J26 1190 7 though the inquiry was carried out under the auspices J26 1200 5 of ~AIMO, which has continuing responsibility for demographic J26 1210 3 statistics in this territory. A member of the ~IRSAC J26 1220 2 staff (E& van de Walle) was recently delegated to cooperate J26 1230 1 with ~AIMO in the development of demographic statistics J26 1240 1 in this territory. J26 1240 4 The initiation of sampling censuses in Ruanda-Urundi J26 1250 1 (1952) and in the Congo (1955-57) were major advances. J26 1250 11 We will deal first with the program in the Congo though J26 1260 11 this was put into operation later than the other. J26 1270 6 The radical nature of the innovation in the Congo J26 1280 5 was not emphasized in the official announcements. The J26 1290 2 term enquetes demographiques, previously used for the J26 1290 9 supplementary investigations carried out in connection J26 1300 6 with the administrative censuses, was used for the J26 1310 6 new investigations. However, the differences in procedure J26 1320 3 are fundamental. These are as follows: J26 1330 1 _(1) FIELD WORK PROCEDURES:_ J26 1330 4 Field operations were transferred from administrative J26 1340 2 personnel primarily engaged in other tasks to specially J26 1350 1 trained teams of full-time African investigators (three J26 1360 7 teams, each working in two provinces). These teams J26 1370 6 carried out the same operations successively in different J26 1380 4 areas. J26 1380 5 _(2) NATURE OF THE SAMPLE:_ J26 1380 10 Sample areas in the new investigations were selected J26 1390 8 strictly by application of the principles of probability J26 1400 6 theory, so as to be representative of the total population J26 1410 5 of defined areas within calculable limits. In short, J26 1420 3 scientific sampling was introduced in place of subjective J26 1430 1 sampling. The populations of the various districts, J26 1430 8 or other major divisions, were stratified by type of J26 1440 6 community (rural, urban, mixed) and, where appropriate, J26 1450 3 by ethnic affiliation and by type of economy. Sample J26 1460 1 units (villages in rural areas, houses in cities) were J26 1460 10 drawn systematically within these strata. J26 1470 4 _(3) SIZE OF THE SAMPLE:_ J26 1470 9 Different sampling ratios were applied under different J26 1480 7 conditions. Higher proportions were sampled in urban J26 1490 6 and mixed communities than in rural areas. About 11 J26 1500 4 percent of the total population was covered in the J26 1500 13 new investigation, as compared with about 3 percent J26 1510 8 in the previous inquiries. J26 1520 1 _(4) QUESTIONS AND DEFINITIONS:_ J26 1520 5 Uniform questions, definitions, and procedures were J26 1530 4 enforced throughout the whole country. Data were obtained, J26 1540 3 separately, on three classes of persons: (a) residents, J26 1550 1 present; (b) residents, absent; and (c) visitors. In J26 1550 9 the reports, summary results are given for both the J26 1560 9 de facto (a and c) and de jure (a and b) populations; J26 1570 8 but the subsequent analysis of characteristics is reported J26 1580 5 only for the de jure population (or, in some districts, J26 1590 4 only the de facto population). J26 1590 9 These changes represent in effect, a shift from J26 1600 8 (1) an administrative compilation of data obtained J26 1610 4 through procedures designed primarily to serve political J26 1620 2 and economic objectives to (2) a systematic sampling J26 1620 10 census of the whole African population. J26 1630 6 The population registration system still has important J26 1640 5 functions. It supplies local data which are useful J26 1650 2 in administration and which can be used as a basis J26 1650 12 for intensive studies in particular situations. It J26 1660 6 provides a frame for the sampling census. It also provides J26 1670 5 a frame within which the registration of vital events J26 1680 4 is gradually gaining force (though one cannot expect J26 1680 12 to obtain reliable vital statistics in most parts of J26 1690 9 the Congo from this source in the near future). It J26 1700 7 is still used in making current population estimates J26 1710 2 in post-census years, though the value of these estimates J26 1720 1 is open to question. Finally, it may have certain very J26 1720 11 important, less obvious values. Even though the registers J26 1730 8 may have an incomplete record of persons present in J26 1740 6 a particular area or include persons no longer living J26 1750 4 there, they contain precise information on ages, by J26 1750 12 date of birth, for some of the persons present (especially J26 1760 10 children in relatively stable communities) and supplementary J26 1770 6 information (such as records of marital status) for J26 1780 6 many others. The quality of the census data can, therefore, J26 1790 4 be greatly improved by the use of the registration J26 1800 1 records in conjunction with the field inquiries. Furthermore, J26 1800 9 it may be possible to estimate the error due to bias J26 1810 10 in method (as distinguished from sampling error) in J26 1820 5 each of these sources, on such subjects as fertility, J26 1830 3 mortality, and migration during a given interval by J26 1830 11 using information from two largely independent sources J26 1840 7 in conjunction. J26 1850 1 The first sampling census in the Congo extended J26 1850 9 over a three-year period, 1955-57; the results were J26 1860 7 still being processed in 1959. It is planned to double J26 1870 6 the number of teams and to make use of improved equipment J26 1880 2 in a second demographic inquiry in 1960, so that the J26 1880 12 inquiry can be carried through in one year and the J26 1890 10 results published more expeditiously. It is proposed J26 1900 5 that in the future complete sampling censuses be carried J26 1910 3 out at five-year intervals. J26 1910 8 Reports already issued on the sampling census, 1955-57, J26 1920 8 in various areas run as follows (using only the French J26 1930 5 and omitting corresponding Flemish titles): @. J26 1940 2 This report contains preliminary notes and 35 tables. J26 1950 1 Other reports in identical form, but with somewhat J26 1950 9 varying content, have been issued for: @. J26 1960 6 These area reports will be followed, according to J26 1970 4 present plans, by a summary report, which will include J26 1980 2 a detailed statement on methods. J27 0010 1 With this evidence in mind, the writer began to J27 0010 10 plan how he might more effectively educate the married J27 0020 6 students in his functional classes. Toward the end J27 0030 4 of the semester's work, he interviewed every married J27 0040 2 class member at great length. He found, as he had suspected, J27 0050 1 a general consensus that perhaps over half of the present J27 0060 10 functionally designed course was not really functional J27 0070 6 for these students. However, all admitted that the J27 0080 5 "hind sight" was not altogether lost. In their own J27 0090 2 words, it had aided them to get a clearer picture of J27 0090 13 how they had gotten into their marriages, and perhaps J27 0100 8 they had obtained some insights on why certain troubles J27 0110 6 appeared from time to time. In fact, they went so far J27 0120 5 as to caution the writer that if he attempted to design J27 0130 1 a section exclusively for married students there should J27 0130 9 be, at the beginning, some "hind sight" study; but J27 0140 8 they all hastened to add that certainly less time was J27 0150 7 needed on it than presently spent. All of them felt J27 0160 5 a compelling need for more coverage on areas that could J27 0170 1 be only lightly touched upon in a general survey functional J27 0170 11 course. J27 0180 1 A few were doubtful about the merits of an exclusive J27 0180 11 section for married students. As one of them expressed J27 0190 9 it, "It has done me a world of good to listen to the J27 0200 9 nai^ve questions and comments of these not-yet-married J27 0210 5 people. I can now better see just what processes provoked J27 0220 2 certain actions from me in the past. Had I been in J27 0220 13 an all-married section I would have missed this, and J27 0230 8 I believe that this single aspect has been of great J27 0240 6 personal value to me". This comment and others similar J27 0250 4 to it, would seem to indicate a possible justification J27 0260 1 for continuing the status quo. But the weight of feeling J27 0260 11 was heavily in the opposite direction. Thus, the writer J27 0270 8 decided to hold one experimental section of the functional J27 0280 5 preparation for marriage course in the spring semester J27 0290 5 of 1960 exclusively for persons already married- that J27 0300 4 is, prerequisite: "marriage". This did not mean that J27 0300 12 married students could not enroll in other "mixed" J27 0310 8 sections, and some of them, largely because of scheduling J27 0320 7 difficulties, did. But only those already married could J27 0330 5 enroll in this one section. In addition, two other J27 0340 3 differences in the two types of sections must be noted. J27 0340 13 1) The regular sections do not allow freshmen; this J27 0350 9 one did. This action was rationalized on the basis J27 0360 6 of a small survey which indicated that a high percentage J27 0370 4 of married freshmen women on our campus never become J27 0380 1 sophomores. Many of them appear to drop out, for one J27 0380 11 reason or another. By permitting freshman students J27 0390 5 we might extend the opportunity for such a course to J27 0400 6 some individuals who otherwise might never get to take J27 0410 3 it. This has subsequently been verified by the experience. J27 0410 12 2) Auditors were encouraged. In the regular sections J27 0420 8 they have always been more or less discouraged. The J27 0430 7 philosophy has been that if they could find the time J27 0440 4 to attend class why not encourage them to get the credit J27 0450 1 and perhaps provide an incentive to do the work more J27 0450 11 effectively. Besides, auditors do not count on faculty J27 0460 8 load with the same weight as regularly enrolled students. J27 0470 5 But in this one section we welcomed auditors. Why? J27 0480 3 For no particular reason, other than that the writer J27 0490 1 felt it might- just might- encourage both mates to J27 0490 10 be in attendance. Many of the men on our campus have J27 0510 9 a pretty set curriculum, especially in the various J27 0520 4 engineering fields, with few electives till the senior J27 0530 1 year. Incidentally, it needs to be noted that because J27 0530 10 auditors were permitted the section began increasing J27 0540 6 in numbers each week, until at last it swelled to such J27 0550 7 proportions that this "free" auditing policy had to J27 0560 4 be retracted. After that, we began to get "visitors" J27 0570 1 to class. J27 0570 3 This experimental class represented quite a variety J27 0580 1 of students. It ranged from a freshman woman, just J27 0580 10 married, through the various academic growth stages, J27 0590 6 including one senior-graduate student, to a young faculty J27 0600 5 member recently married to a senior man who also attended. J27 0610 2 It ranged from those with no children, through students J27 0620 1 in various stages of pregnancy, to one 44-year-old J27 0620 11 male with four children, three of whom were teenagers. J27 0630 6 It ranged from two women members who had experienced J27 0640 4 premarital pregnancy to one couple twelve years married J27 0650 1 and seemingly unable to conceive. J27 0650 6 One might digress at this point and speculate that J27 0660 6 if it is "wise" to create special sections for special J27 0670 3 status, then why not a special section for women pregnant J27 0680 1 before marriage, and one for 44-year-old men with teenage J27 0680 12 children, and so on. Some of these speculations may J27 0690 9 have some merit, others are somewhat ambiguous. But J27 0700 5 few who have experienced marriage can dispute the fact J27 0710 3 that the focus of interpersonal relationships is different J27 0720 1 in marriage than in a pre-marital situation. J27 0720 9 The writer began this special class by explaining J27 0730 7 his background thinking for creating such a section J27 0740 5 in the first place. He made it clear from the beginning J27 0750 2 that this was the students' opportunity, and that the J27 0750 11 future destiny of such groups depended on favorable J27 0770 8 results from this one. He did build a framework of J27 0780 7 academic "respectability", and one which did not encroach J27 0790 5 upon the "sacred sovereignty" of any other existing J27 0800 2 campus course. This is to say that this was not a course J27 0810 1 in wise buying or money spending methods, nor a course J27 0810 11 in how to raise children. We already have courses covering J27 0820 7 those problems, and so on. But within that framework J27 0830 5 he allowed for as much flexibility as possible. A steering J27 0840 3 committee of students was organized on the first day J27 0850 1 whose duty it was to be alert and constantly evaluate J27 0850 11 and re-evaluate the direction and pace the class was J27 0860 8 taking. The writer, being cognizant through his interviews J27 0870 5 of the reactions of previous married students, did J27 0880 3 insist on there being included some "hind sight" material. J27 0890 1 But the greater part of semester time was actually J27 0890 10 centered around the attitudes "So we are married- now J27 0900 8 how do we make the best of it"? or "How do we enrich J27 0910 8 our already fine marriage"? J27 0920 1 Films were used, as with all sections, but with J27 0920 10 one big difference. Our campus, unfortunately, owns J27 0930 5 no films. Since they are all either rented or borrowed, J27 0940 5 the requested dates for their use have to be far in J27 0950 4 advance. The writer never knew from week to week just J27 0950 14 where the section might be. For example, the steering J27 0960 9 committee might announce that the group felt a topic J27 0970 7 under study should not be dropped for an additional J27 0980 3 week as there was still too much of it untouched. Since J27 0990 1 the writer had established this democratic procedure J27 0990 8 in the beginning he had to go along with their decision- J27 1000 9 after, of course, pointing out whether he thought their J27 1010 5 decision was a wise or an unwise one. Thus the films J27 1020 2 seen as they came in (coordinated for the regular sections), J27 1030 1 were often out of context. Nevertheless, the writer J27 1030 9 has never experienced such spontaneity of discussion J27 1040 5 after film showings. J27 1040 8 Though it did not become known to the writer for J27 1050 10 some time, a nucleus group had sprung up within the J27 1060 6 class. They began to meet in the evenings and carry J27 1070 2 forward various discussions they felt not fully enough J27 1070 10 covered in class. From a few students this group gradually J27 1080 10 increased to include over three-fourths of those officially J27 1090 7 enrolled in the class, and many outsiders as well. J27 1100 5 Also, although only a few of the students were intimately J27 1110 2 acquainted with each other in the beginning, most reported J27 1120 1 that when the semester ended their dearest and closest J27 1120 10 campus friendships were with members of that class. J27 1130 7 In fact, they often revamped their social activities J27 1140 4 to include class members previously unknown. J27 1150 1 Supplemental outside reading reports were handled J27 1150 7 just as in the other sections, the major difference J27 1160 6 being that there was a noticeably deeper level in the J27 1170 5 reported outside reading by the married group. These J27 1180 2 students, although they might read various articles J27 1180 9 in popular magazines, more often chose to report on J27 1190 8 articles found in the journals. In addition to the J27 1200 5 noticeable difference in outside articles, there was J27 1210 3 a considerable difference in the outside books they J27 1210 11 read. Whereas a high per cent of the regular students J27 1220 9 can be expected to read other texts which more or less J27 1230 7 plow the same ground in a little different direction, J27 1240 2 the married students chose whole books on specific J27 1240 10 areas and went into much greater detail in their areas J27 1250 10 of interest. Since the writer had not noticed this J27 1260 7 characteristic in married students scattered throughout J27 1270 2 the various sections previous to this experiment, nor, J27 1280 2 as a matter of fact, in those who were continuing in J27 1280 13 "single sections", he can only conclude that there J27 1290 7 must have been something "contagious" within the specific J27 1300 4 group which caused this to occur. J27 1310 1 In the main, this course took the following directional J27 1310 10 high roads: 1) A great deal of time was spent on processes J27 1320 11 for solving marital differences. This was not a search J27 1330 8 for a "magic formula", but rather an examination of J27 1340 6 basic principles pertaining especially to all types J27 1350 4 of communication in marriage. In short, it was centered J27 1360 1 around learning how to develop a more sensitive empathy. J27 1360 10 Not until the group was satisfied in this area were J27 1370 9 they willing to venture further to 2) Specific adjustment J27 1380 5 areas, such as sex, in-laws, religion, finance, and J27 1390 3 so on. From here they proceeded to 3) These same areas J27 1400 1 in relation to their own future family life stages, J27 1400 10 developing these to the extent of examining various J27 1410 7 crises which could be expected to confront them at J27 1420 4 some time or other. J27 1420 8 As an example of this last facet, there were some J27 1430 5 lengthy discussions centered around bereavement. Mainly J27 1440 2 these were concerned with the possibility of the death J27 1440 11 of one parent and the complication of living with the J27 1450 10 survivor afterward, but the possible death of one's J27 1460 7 own spouse was not overlooked. Since the course, one J27 1470 4 member has lost her husband. This was not a particularly J27 1480 1 shocking or unexpected thing- it was previously known J27 1480 9 to her that it might happen. But just when was an unknown, J27 1490 11 and of course the longer it did not happen, the stronger J27 1500 8 her wish and belief that it might not. Since her bereavement J27 1510 5 this individual has reported to the writer on numerous J27 1520 3 occasions about how helpful the class discussions were J27 1530 1 to her in this adjustment crisis. J27 1530 7 Quite frequently class members brought questions J27 1540 3 from their mates at home. These were often carefully J27 1550 1 written out with a great deal of thought behind them. J27 1550 11 This added a personal zest to class discussions and J27 1560 8 participation. J27 1560 9 Both sexes reported that the discussions on sex J27 1570 8 adjustment within marriage were extremely enlightening. J27 1580 4 The writer sensed a much freer and more frank discussion, J27 1590 3 especially of this one area, than ever before. He felt J27 1600 2 certain for the first time in his teaching experience J27 1600 11 that the men in the class understood that orgasm, as J27 1610 8 a criterion, is not nearly so essential for a satisfying J27 1620 5 female sexual experience as most males might think. J27 1630 2 This was probably much more meaningful because all J27 1630 10 the women in the class emphasized it time and again. J27 1640 9 On the other hand, the women class members appeared J27 1650 5 to reach a far greater understanding than have women J27 1660 3 members in other sections that it is more natural for J27 1660 13 males as a group to view sex as sex rather than always J27 1670 12 associating it with love as most women seem to do. J27 1680 8 in the reproductive area it could be readily observed J27 1690 4 that all felt freer to discuss things than students J27 1700 1 had previously in "mixed" marital status sections. J27 1700 8 Perhaps this was related to the fact that all were J27 1710 9 in on it to some extent. Never in other sections has J27 1720 5 there been the opportunity for the genuine down-to-earth J27 1730 1 discussions about the feelings of both spouses during J27 1730 9 various stages of pregnancy. There was a particularly J27 1740 8 marvelous opportunity for study in this area since J27 1750 7 almost every stage of pregnancy was represented, from J27 1760 2 a childless couple to and including every trimester. J27 1770 1 In fact, we had one birth before the end of the course, J27 1770 13 and another student had to take the final examiantion J27 1780 7 a week early, just to be on the safe side. There was J27 1790 5 also one spontaneous abortion during the semester. J28 0010 1 Thus it is reasonable to believe that there is a significant J28 0010 12 difference between the two groups in their performance J28 0020 8 on this task after a brief "structuring" experience. J28 0030 3 It was predicted that Kohnstamm-negative subjects J28 0040 2 would adhere to more liberal, concretistic reports J28 0050 1 of what the ambiguous figure "looked like" as reflecting J28 0050 10 their hesitancy about taking chances. This was true J28 0060 8 mostly of those Kohnstamm-negative subjects who did J28 0070 4 not perceive the ambiguous figure as people in action. J28 0080 3 Responses such as "rope with a loop in it", and "two J28 0090 1 pieces of rope", were quite characteristic. J28 0100 1 _GUILFORD-MARTIN PERSONALITY INVENTORIES._ J28 0100 3 The three personality inventories (Guilford ~STDCR; J28 0110 2 Guilford-Martin ~GAMIN; Guilford-Martin ~OAGCo), were J28 0120 3 filled out by 12 of the Kohnstamm-positive subjects J28 0130 2 and 19 of the Kohnstamm-negative subjects. These were J28 0130 11 the same subjects who were given the Rorschach test. J28 0140 9 Some predictions had been made concerning factors ~R, J28 0150 7 ~N, ~I and ~Co on these inventories which appeared J28 0160 4 to be directly related to control and security aspects J28 0170 2 of personality functioning which were hypothesized J28 0170 8 as being of importance in differential Kohnstamm reactivity. J28 0180 8 Only ~Co differentiated between the two groups at J28 0190 8 less that the 5% level (**f). J28 0200 2 One prediction had been made about the difference J28 0201 1 in security or self-confidence between those subjects J28 0210 8 who shifted their Kohnstamm reactivity when informed J28 0220 4 and those who did not. The nonreactors had been separated J28 0230 4 into two groups on this assumption with the presumably J28 0240 1 "secure" nonreactors and "secure" reactors being used J28 0250 1 as the groups for comparative personality studies. J28 0250 8 It was predicted that those who shifted in their Kohnstamm J28 0260 8 reactivity would differ significantly from those who J28 0270 4 did not on the factor ~I which the investigators refer J28 0280 2 to as the "Inferiority" factor. All of the subjects J28 0290 1 in the Kohnstamm-negative and Kohnstamm-positive groups J28 0290 9 (as defined for purposes of the personality studies) J28 0300 7 were compared with those subjects who shifted in Conditions J28 0310 5 /3, or /4,. A ~t test on these two groups, shifters J28 0320 4 vs& nonshifters, gave a "~t" value of 2.405 which is J28 0330 2 significant on the two-tail test at the .028 level. J28 0330 12 #DISCUSSION# J28 0340 1 _INDIVIDUAL DIFFERENCES_ J28 0340 3 Individual differences in Kohnstamm reactivity to J28 0350 3 controlled Kohnstamm situations were found among the J28 0360 1 subjects used in the study. Only 27% (11 subjects) J28 0360 10 gave a positive Kohnstamm reaction when completely J28 0370 5 nai^ve concerning the phenomenon. There were 49% (20 J28 0380 5 subjects) who did not give a positive reaction even J28 0390 2 after they were informed of the normalcy of such a J28 0390 12 reaction and had been given a demonstration. There J28 0400 7 were 24% (10 subjects) who shifted from a negative J28 0410 5 to a positive reaction after they were reassured as J28 0420 2 to the normalcy of the Kohnstamm-positive reaction. J28 0420 10 Among this latter group there were also differences J28 0430 8 in the amount and kind of information necessary before J28 0440 5 a shift in reaction occurred. One subject changed when J28 0450 3 given only the information that some people have something J28 0460 1 happen to their arm when they relax. Five subjects J28 0460 10 (12%) did not change until they had been told that J28 0470 9 some people have something happen to their arm, what J28 0480 6 that something was, and also were given a demonstration. J28 0490 1 Four subjects (10%) did not change even then but needed J28 0500 1 the additional information that an arm-elevation under J28 0500 9 these circumstances was a perfectly normal reflex reaction J28 0510 7 which some people showed while others did not. At no J28 0520 7 time was it implied by the experimenter that the subject's J28 0530 4 initial reaction was deviant. The subjects were only J28 0540 2 given information about other possibilities of "normal" J28 0540 9 reaction. Those who responded with an arm-elevation J28 0550 8 in the nai^ve state did not change their reaction when J28 0560 7 told that there were some normal people who did not J28 0570 5 react in this fashion. This information was accepted J28 0580 1 with the frequent interpretation that those persons J28 0580 8 who did not show arm-levitation must be preventing J28 0590 7 it. These subjects implied that they too could prevent J28 0600 5 their arms from rising if they tried. J28 0610 1 The positive Kohnstamm reactivity in Condition /1, J28 0610 8 (the nai^ve state) is not adequately explained by such J28 0620 8 a concept as suggestibility (if suggestibility is defined J28 0630 5 as the influence on behavior by verbal cues). In no J28 0640 4 way, either verbally or behaviorally, did the experimenter J28 0650 1 indicate to the subjects any preferred mode of responding J28 0650 10 to the voluntary contraction. Moreover, when the experimenter J28 0660 6 did inform those subjects that there were some normal J28 0670 7 people who did not have their arm rise once they relaxed, J28 0680 5 the Kohnstamm-positive subjects were uninfluenced in J28 0690 2 their subsequent reactions to the Kohnstamm situation. J28 0690 9 They continued to give an arm-elevation. A differential J28 0700 9 suggestibility would have to be invoked to explain J28 0710 7 the failure of this additional information to influence J28 0720 3 the Kohnstamm-positive reactors and yet attribute their J28 0730 2 nai^ve Kohnstamm reactivity to suggestion. Autosuggestibility, J28 0740 1 the reaction of the subject in such a way as to conform J28 0740 13 to his own expectations of the outcome (i&e&, that J28 0750 7 the arm-rise is a reaction to the pressure exerted J28 0760 5 in the voluntary contraction, because of his knowledge J28 0770 2 that "to every reaction there is an equal and opposite J28 0770 12 reaction") also seems inadequate as an explanation J28 0780 7 for the following reasons: (1) the subjects' apparently J28 0790 6 genuine experience of surprise when their arms rose, J28 0800 5 and (2) manifestations of the phenomenon despite anticipations J28 0810 2 of something else happening (e&g&, of becoming dizzy J28 0820 1 and maybe falling, an expectation spontaneously volunteered J28 0820 8 by one of the subjects). J28 0830 4 A suggestion hypothesis also seems inadequate as J28 0840 2 an explanation for those who shifted their reactions J28 0840 10 after they were informed of the possibilities of "normal" J28 0850 8 reactions different from those which they gave. While J28 0860 7 they were told that there were some normal people who J28 0870 4 reacted differently than they had, they were also informed J28 0880 1 that there were other normals who reacted as they had. J28 0880 11 There was no implication made that their initial reaction J28 0890 9 (absence of an arm-elevation) was less preferred than J28 0900 5 the presence of levitation. A more tenable explanation J28 0910 3 for the change in reactions is that the added knowledge J28 0920 1 and increased familiarity with the total situation J28 0920 8 made it possible for these subjects to be less guarded J28 0930 8 and to relax, since any reaction seemed acceptable J28 0940 3 to the examiner as "normal". J28 0940 8 The nai^ve state, Condition /1,, could therefore J28 0950 7 be viewed as an inhibiting one for 24% of the subjects J28 0960 7 in this study. They were not free to be themselves J28 0970 4 in this situation, an interpersonal one, where there J28 0980 1 was an observer of their reactions and they had no J28 0980 11 guide for acceptable behavior. Instructions to relax, J28 0990 5 i&e&, to be "spontaneous", and react immediately to J28 1000 5 whatever impulse they might have, was not sufficiently J28 1010 1 reassuring until some idea of the possibilities of J28 1010 9 normal reactions had been given. While other conditions J28 1020 7 might be even more effective in bringing about a change J28 1030 6 from immobility to mobility in Kohnstamm reactivity, J28 1040 2 it is our hypothesis that all such conditions would J28 1050 1 have as a common factor the capacity to induce an attitude J28 1050 12 in the subject which enabled him to divorce himself J28 1060 7 temporarily from feelings of responsibility for his J28 1070 4 behavior. J28 1070 5 Alcohol ingestion succeeded in changing immobility J28 1080 3 to mobility quite strikingly in one pilot subject (the J28 1090 2 only one with whom this technique was tried). This J28 1090 11 subject, who has been undergoing psychoanalytic psychotherapy J28 1100 6 for five years, did not give a positive Kohnstamm reaction J28 1110 7 under any of the four standardized conditions used J28 1120 3 in this experiment while sober. After two drinks containing J28 1130 2 alcohol, her arm flew upward very freely. There was J28 1130 11 evident delight on the part of the subject in response J28 1140 10 to her experience of the freedom of movement. She described J28 1150 7 herself as having the same kind of "irresponsible" J28 1160 3 feeling as she had once experienced under hypnosis. J28 1170 1 She ascribed her delight with both experiences to the J28 1170 10 effect they seemed to have of temporarily removing J28 1180 8 from her the controls which she felt so compulsively J28 1190 5 necessary to maintain even when it might seem appropriate J28 1200 3 to relax these controls. J28 1200 7 Many subjects attributed differences in Kohnstamm J28 1210 3 reactivity to differences in degrees of subjective J28 1220 1 control- voluntary as the Kohnstamm-positive subjects J28 1220 7 perceived it and involuntary as the Kohnstamm-negative J28 1230 8 subjects perceived it. These suggested interpretations J28 1240 4 were given by the subjects spontaneously when they J28 1250 3 were told that there were people who reacted differently J28 1260 1 than they had. The Kohnstamm-positive subjects described J28 1260 9 the vivid experience of having their arms rise as one J28 1270 9 in which they exercised no control. They explained J28 1280 4 its absence in others on the basis of an intervention J28 1290 1 of control factors. They felt that they too could counteract J28 1300 1 the upward arm movement by a voluntary effort after J28 1300 10 they had once experienced the reaction. Some of those J28 1310 6 who did not initially react with an arm-elevation also J28 1320 5 associated their behavior in the situation with control J28 1330 2 factors- an inability to relinquish control voluntarily. J28 1340 1 One subject spontaneously asked (after her arm had J28 1340 9 finally risen), "Do you suppose I was unconsciously J28 1350 6 keeping it down before"? Another said that her arm J28 1360 5 did not go up at first "because I wouldn't let it; J28 1370 3 I thought it wasn't supposed to". This subject was J28 1371 1 one who gave an arm-elevation on the second trial in J28 1380 11 the nai^ve state but not in the first. She had felt J28 1390 8 that her arm wanted to go up in the first trial, but J28 1400 4 had consciously prevented it from so doing. She explained J28 1410 2 nonreactivity of others by saying that they were "not J28 1410 11 letting themselves relax". When informed that there J28 1420 7 were some persons who did not have their arm go up, J28 1430 8 she commented, "I don't see how they can prevent it". J28 1440 5 In contrast to this voluntary-control explanation for J28 1450 2 nonreactivity given by the Kohnstamm-positive subjects, J28 1450 9 the Kohnstamm-negative subjects offered an involuntary-control J28 1460 6 hypothesis to explain nonreactivity. They felt that J28 1470 7 they were relaxing as much as they could and that any J28 1480 6 control factors which might be present to prevent response J28 1490 2 must be on an unconscious level. J28 1490 8 The above discussion does not mean to imply that J28 1500 7 control factors were completely in abeyance in the J28 1510 4 Kohnstamm-positive subjects; but rather that they could J28 1520 1 be diminished sufficiently not to interfere with arm-levitation. J28 1530 1 One Kohnstamm-positive subject who had both arms rise J28 1530 10 while being tested in the nai^ve condition described J28 1540 6 her subjective experience as follows: "You feel they're J28 1550 5 going up and you're on a stage and it's not right for J28 1560 5 them to do so and then you think maybe that's what's J28 1570 2 supposed to happen". She then described her experience J28 1570 10 as one in which she first had difficulty accepting J28 1580 9 for herself a state of being in which she relinquished J28 1590 6 control. However, she was able to relax and yield to J28 1600 4 the moment. J28 1600 6 It is our hypothesis that Kohnstamm-positive subjects J28 1610 2 are less hesitant about relinquishing control than J28 1610 9 are Kohnstamm-negative subjects; that they can give J28 1620 8 up their control and allow themselves to be reactors J28 1630 6 rather than actors. It is our belief that this readiness J28 1640 4 to relinquish some control was evidenced by the J28 1640 12 Kohnstamm-positive J28 1650 1 subjects in some of the other experimental situations J28 1660 1 to be discussed below. Thus, this readiness to relax J28 1660 10 controls, evidenced in the Kohnstamm situation, appears J28 1670 6 to be a more general personality factor. J28 1680 2 _ANISEIKONIC ILLUSION_ J28 1680 4 The Kohnstamm-positive subjects seemed to be freer J28 1690 5 to experience the unusual and seemingly impossible J28 1700 1 in the external world. There was a significantly greater J28 1700 10 number in this group who reported a desk as being in J28 1710 11 a tilted position while a tennis ball resting on it J28 1720 7 remained stationary on the incline. This occurred in J28 1730 3 spite of the rational awareness that the ball should J28 1730 12 be going downhill. They knew that their perceptual J28 1750 7 experience differed from objective reality since they J28 1760 5 had seen the desk and ball prior to putting on the J28 1770 3 aniseikonic lenses. Yet they were not so bound by past J28 1770 13 experience and constriction as to deny their immediate J28 1780 8 perceptions and to be dominated by their knowledge J28 1790 6 of what the experience should be. The change in perceptions J28 1800 4 by some of the Kohnstamm-negative subjects, after they J28 1810 3 had been informed of the possibilities of normal reactions, J28 1820 1 suggests that their constriction and guardedness is J28 1820 8 associated with their general mode of responding to J28 1830 7 strange or unknown situations. They were able to experience J28 1840 5 at first, in terms of past conventionality. When informed J28 1850 3 as to the various possibilities of normal reactions, J28 1850 11 they were then able to experience the uniqueness of J28 1860 9 the present. It might be postulated that these subjects J28 1870 6 are unduly afraid of being wrong; that they perceive J28 1880 4 new internal and environmental situations as "threatening" J28 1890 1 until they are tested and proved otherwise. J28 1890 8 While the interpretations that have been given are J28 1900 8 inferences only, they gain support from such comments J28 1910 6 as the following, which was made by one of the Kohnstamm-negative J28 1920 5 subjects who did not, on the first trial, perceive J28 1930 2 the tilt illusion. J29 0010 1 _CONTROL OF SOCIOECONOMIC STATUS_ J29 0010 5 It would have been desirable for the two communities J29 0020 4 to have differed only in respect to the variable being J29 0030 2 investigated: the degree of structure in teaching method. J29 0030 10 The structured schools were in an industrial city, J29 0040 8 with three-family tenement houses typical of the residential J29 0050 6 areas, but with one rather sizable section of middle-class J29 0060 5 homes. The unstructured schools were in a large suburban J29 0070 4 community, predominantly middle- to upper-middle class, J29 0080 1 but fringed by an industrial area. In order to equate J29 0080 11 the samples on socioeconomic status, we chose schools J29 0090 7 in both cities on the basis of socioeconomic status J29 0100 4 of the neighborhoods. School principals and guidance J29 0110 1 workers made ratings of the various neighborhoods and J29 0110 9 the research team made independent observations of J29 0120 6 houses and dwelling areas. An objective scale was developed J29 0130 6 for rating school neighborhoods from these data. Equal J29 0140 4 proportions of children in each city were drawn from J29 0150 1 upper-lower and lower-middle class neighborhoods. J29 0150 8 _SUBJECTS_ J29 0150 9 Individual differences in maturation and the development J29 0160 7 of readiness for learning to read indicate that not J29 0170 7 until the third grade have most children had ample J29 0180 4 opportunity to demonstrate their capacity for school J29 0190 1 achievement. Therefore, third-grade children were chosen J29 0190 8 as subjects for this study. J29 0200 4 For purposes of sample selection only (individual J29 0210 1 tests were given later) we obtained group test scores J29 0210 10 of reading achievement and intelligence from school J29 0220 6 records of the entire third-grade population in each J29 0230 4 school system. The subjects for this study were randomly J29 0240 2 selected from stratified areas of the distribution, J29 0240 9 one-third as underachievers, one-third medium, and J29 0250 7 one-third over-achievers. Children whose reading scores J29 0260 5 were at least one standard deviation below the regression J29 0270 4 line of each total third-grade school population were J29 0280 2 considered under-achievers for the purposes of sample J29 0280 10 selection. Over-achievers were at least one standard J29 0290 8 deviation above the regression line in their school J29 0300 5 system. The final sample was not significantly different J29 0310 2 from a normal distribution in regard to reading achievement J29 0320 1 or intelligence test scores. Twenty-four classrooms J29 0320 8 in twelve unstructured schools furnished 156 cases, J29 0330 5 87 boys and 69 girls. Eight classrooms in three structured J29 0340 4 schools furnished 72 cases, 36 boys and 36 girls. Administrative J29 0350 3 restrictions necessitated the smaller sample size in J29 0360 2 the structured schools. J29 0360 5 It was assumed that the sampling procedure was purely J29 0370 4 random with respect to the personality variables under J29 0380 2 investigation. J29 0380 3 _RATING SCALE OF COMPULSIVITY_ J29 0380 7 An interview schedule of open-ended questions and J29 0390 7 a multiple-choice questionnaire were prepared, and J29 0400 4 one parent of each of the sample children was seen J29 0410 1 in the home. The parent was asked to describe the child's J29 0410 12 typical behavior in certain standard situations in J29 0420 7 which there was an opportunity to observe tendencies J29 0430 4 toward perfectionism in demands upon self and others, J29 0440 3 irrational conformity to rules, orderliness, punctuality, J29 0450 1 and need for certainty. The interviewers were instructed J29 0450 9 not to suggest answers and, as much as possible, to J29 0460 8 record the parents' actual words as they described J29 0470 5 the child's behavior in home situations. J29 0480 1 The rating scale of compulsivity was constructed J29 0480 8 by first perusing the interview records, categorizing J29 0490 5 all evidence related to compulsivity, then arranging J29 0500 3 a distribution of such information apart from the case J29 0510 2 records. Final ratings were made on the basis of a J29 0510 12 point system which was developed after studying the J29 0520 7 distributions of actual behaviors recorded and assigning J29 0530 4 weight values to each type of behavior that was deviant J29 0540 3 from the discovered norms. Children scoring high in J29 0540 11 compulsivity were those who gave evidence of tension J29 0550 8 or emotionality in situations where there was lack J29 0560 5 of organization or conformity to standards and expectations, J29 0570 3 or who made exaggerated efforts to achieve these goals. J29 0580 1 The low compulsive child was one who appeared relatively J29 0580 10 unconcerned about such matters. For instance, the following J29 0590 8 statement was rated low in compulsivity, "She's naturally J29 0600 6 quite neat about things, but it doesn't bother her J29 0610 6 at all if her room gets messy. But she cleans it up J29 0620 4 very well when I remind her". J29 0630 1 _MEASUREMENT OF ANXIETY_ J29 0630 1 Castaneda, et al& revised the Taylor Anxiety Scale J29 0630 9 for use with children. The Taylor Scale was adapted J29 0640 9 from the Minnesota Multiphastic Personality Inventory, J29 0650 4 with item selection based upon clinical definitions J29 0660 3 of anxiety. There is much research evidence to validate J29 0670 2 the use of the instrument in differentiating individuals J29 0670 10 who are likely to manifest anxiety in varying degrees. J29 0680 9 Reliability and validation work with the Children's J29 0690 5 Anxiety Scale by Castaneda, et al& demonstrated results J29 0700 4 closely similar to the findings with the adult scale. J29 0710 4 Although the Taylor Scale was designed as a group testing J29 0720 2 device, in this study it was individually administered J29 0720 10 by psychologically trained workers who established J29 0730 5 rapport and assisted the children in reading the items. J29 0750 1 _RELATIONSHIP OF ANXIETY TO COMPULSIVITY_ J29 0750 1 The question may be raised whether or not we are J29 0750 11 dealing with a common factor in anxiety and compulsivity. J29 0760 8 The two ratings yield a correlation of +.04, which J29 0770 5 is not significantly different from zero; therefore, J29 0780 2 we have measured two different characteristics. In J29 0780 9 theory, compulsive behavior is a way of diminishing J29 0790 8 anxiety, and one might expect a negative association J29 0800 4 except for the possibility that for many children the J29 0810 3 obsessive-compulsive defenses are not sufficient to J29 0810 10 quell the amount of anxiety they suffer. The issue J29 0820 9 of interaction between anxiety and compulsivity will J29 0830 5 be taken up later. J29 0840 1 _CRITERION MEASUREMENT_ J29 0840 1 In the primary grades, reading permeates almost J29 0840 8 every aspect of school progress, and the children's J29 0850 6 early experiences of success or failure in learning J29 0860 4 to read often set a pattern of total achievement that J29 0870 2 is relatively enduring throughout the following years. J29 0870 9 In establishing criterion measurements, it was therefore J29 0880 6 thought best to broaden the scope beyond the reading J29 0890 6 act itself. The predicted interaction effect should, J29 0900 3 if potent, extend its influence over all academic achievement. J29 0910 1 The Stanford Achievement Test, Form ~J, was administered J29 0920 1 by classroom teachers, consisting of a battery of six J29 0920 10 sub-tests: Paragraph Meaning, Word Meaning, Spelling, J29 0930 6 Language, Arithmetic Computation, and Arithmetic Reasoning. J29 0940 5 All of these sub-tests involve reading except Arithmetic J29 0950 5 Computation. Scores are stated in grade-equivalents J29 0960 4 on a national norm. The battery median grade-equivalent J29 0970 1 was used in data analysis in this study. J29 0970 9 The Wechsler Intelligence Scale for Children was J29 0980 6 administered to each sample third-grade child by a J29 0990 6 clinical worker. The relationship of intelligence test J29 1000 2 scores to school achievement is a well-established J29 1000 10 fact (in this case, **f); therefore, in the investigation J29 1010 7 of the present hypothesis, it was necessary to control J29 1020 6 this factor. J29 1020 8 The criterion score used in the statistical analysis J29 1030 6 is an index of over- or under-achievement. It is the J29 1040 4 discrepancy between the actual attained achievement J29 1050 1 test score and the score that would be predicted by J29 1050 11 the I&Q&. For example, on the basis of the regression J29 1060 9 equation, a child with an I&Q& of 120 in this sample J29 1070 8 would be expected to earn an achievement test score J29 1080 3 of 4.8 (grade equivalent). If a child with an I&Q& J29 1090 1 of 120 scored 5.5 in achievement, his discrepancy score J29 1090 10 would be +.7, representing .7 of one year of over-achievement. J29 1100 10 A child with an I&Q& of 98 would be expected to earn J29 1110 9 an achievement test score of 3.5. If such a child scored J29 1120 8 3.0, his discrepancy score would be -.5, representing J29 1130 2 .5 of one year of under-achievement. In this manner, J29 1140 1 the factors measured by the intelligence test were J29 1140 9 controlled, allowing discovered differences in achievement J29 1150 5 to be interpreted as resulting from other variables. J29 1160 4 #RESULTS# J29 1170 1 _TEST OF INTERACTION OF COMPULSIVITY AND TEACHING METHODS_ J29 1170 4 Tables 1 and 2 present the results of the statistical J29 1180 3 analysis of the data when compulsivity is used as the J29 1190 1 descriptive variable. Figure 1 portrays the mean achievement J29 1190 9 scores of each sub-group graphically. First of all, J29 1200 8 as we had surmised, the highly compulsive children J29 1210 3 in the structured setting score significantly better J29 1220 2 (**f) on achievement than do similar children in the J29 1220 11 unstructured schools. It can be seen too that when J29 1230 9 we contrast levels of compulsivity within the structured J29 1240 4 schools, the high compulsive children do better (**f). J29 1250 3 No significant difference was found in achievement J29 1250 10 between high and low compulsive children within the J29 1260 8 unstructured school. The hypothesis of there being J29 1270 5 an interaction between compulsivity and teaching method J29 1280 2 was supported, in this case, at the .05 level. J29 1280 11 While we had expected that compulsive children in J29 1290 8 the unstructured school setting would have difficulty J29 1300 5 when compared to those in the structured, we were surprised J29 1310 4 to find that the achievement of the high compulsives J29 1320 1 within the schools where the whole-word method is used J29 1320 11 in beginning reading compares favorably with that of J29 1330 7 the low compulsives. Indeed their achievement scores J29 1340 4 were somewhat better on an absolute basis although J29 1350 2 the difference was not significant. We speculate that J29 1350 10 compulsives in the unstructured schools are under greater J29 1360 8 strain because of the lack of systemization in their J29 1370 7 school setting, but that their need to organize (for J29 1380 4 comfort) is so intense that they struggle to induce J29 1390 1 the phonic rules and achieve in spite of the lack of J29 1390 12 direction from the environment. J29 1400 2 It is interesting to note that medium compulsives J29 1410 1 in the unstructured schools made the lowest achievement J29 1410 9 scores (although not significantly lower). Possibly J29 1420 5 their compulsivity was not strong enough to cause them J29 1430 5 to build their own structure. J29 1430 10 Our conjecture is, then, that regardless of the J29 1440 7 manner in which school lessons are taught, the compulsive J29 1450 5 child accentuates those elements of each lesson that J29 1460 3 aid him in systematizing his work. When helped by a J29 1460 13 high degree of structure in lesson presentation, then, J29 1470 8 and only then, does such a child attain unusual success. J29 1490 1 _TEST OF INTERACTION OF ANXIETY AND TEACHING METHODS_ J29 1490 4 The statistical analyses of achievement in relation J29 1500 2 to anxiety and teaching methods and the interactions J29 1500 10 of the two are presented in Tables 3 and 4. Figure J29 1510 10 2 is a graph of the mean achievement scores of each J29 1520 5 group. As predicted, the highly anxious children in J29 1530 2 the unstructured schools score more poorly (**f) than J29 1530 10 those in the structured schools. The interaction effect, J29 1540 7 which is significant at the .01 level, can be seen J29 1550 8 best in the contrast of mean scores. While high anxiety J29 1560 3 children achieve significantly less well (**f) in the J29 1570 1 unstructured school than do low anxiety children, they J29 1570 9 appear to do at least as well as the average in the J29 1580 9 structured classroom. J29 1580 11 The most striking aspect of the interaction demonstrated J29 1590 8 is the marked decrement in performance suffered by J29 1600 5 the highly anxious children in unstructured schools. J29 1610 2 According to the theory proposed, this is a consequence J29 1620 1 of the severe condition of perceived threat that persists J29 1620 10 unabated for the anxious child in an ambiguous sort J29 1630 9 of school environment. The fact that such threat is J29 1640 6 potent in the beginning reading lessons is thought J29 1650 2 to be a vital factor in the continued pattern of failure J29 1650 13 or under-achievement these children exhibit. The child J29 1660 6 with high anxiety may first direct his anxiety-released J29 1670 6 energy toward achievement, but because his distress J29 1680 3 severely reduces the abilities of discrimination and J29 1690 1 memorization of complex symbols, the child may fail J29 1690 9 in his initial attempts to master the problem. Failure J29 1700 6 confirms the threat, and the intensity of anxiety is J29 1710 4 increased as the required learning becomes more difficult, J29 1720 2 so that by the time the child reaches the third grade J29 1720 13 the decrement in performance is pronounced. J29 1730 6 The individual with high anxiety in the structured J29 1740 5 classroom may approach the learning task with the same J29 1750 4 increased energy and lowered powers of discrimination. J29 1750 11 But the symbols he is asked to learn are simple. As J29 1760 11 shown earlier, the highly anxious individual may be J29 1770 6 superior in his memorizing of simple elements. Success J29 1780 3 reduces the prospect of threat and his powers of discrimination J29 1790 2 are improved. By the time the child first attacks the J29 1800 1 actual problem of reading, he is completely familiar J29 1800 9 and at ease with all of the elements of words. Apparently J29 1810 8 academic challenge in the structured setting creates J29 1820 3 an optimum of stress so that the child with high anxiety J29 1830 2 is able to achieve because he is aroused to an energetic J29 1830 13 state without becoming confused or panicked. J29 1840 6 Sarason et al& present evidence that the anxious J29 1850 6 child will suffer in the test-like situation, and that J29 1860 4 his performance will be impaired unless he receives J29 1870 1 supporting and accepting treatment from the teacher. J29 1870 8 Although the present study was not a direct replication J29 1880 8 of their investigations, the results do not confirm J29 1890 5 their conclusion. Observers, in the two school systems J29 1900 2 studied here, judged the teachers in the structured J29 1900 10 schools to be more impersonal and demanding, while J29 1910 8 the atmosphere in the unstructured schools was judged J29 1920 5 to be more supporting and accepting. Yet the highly J29 1930 4 anxious child suffered a tremendous disadvantage only J29 1940 1 in the unstructured school, and performed as well or J29 1940 10 better than average in the structured setting. J30 0010 1 _ANALYSIS_ J30 0010 2 Analysis means the evaluation of subparts, the comparative J30 0020 1 ratings of parts, the comprehension of the meaning J30 0020 9 of isolated elements. Analysis in roleplaying is usually J30 0030 6 done for the purpose of understanding strong and weak J30 0040 4 points of an individual or as a process to eliminate J30 0050 2 weak parts and strengthen good parts. J30 0060 1 _IMPERSONAL PURPOSES_ J30 0060 1 Up to this point stress has been placed on roleplaying J30 0060 11 in terms of individuals. Roleplaying can be done for J30 0070 8 quite a different purpose: to evaluate procedures, J30 0080 4 regardless of individuals. For example: a sales presentation J30 0090 4 can be analyzed and evaluated through roleplaying. J30 0100 1 _EXAMPLES_ J30 0100 2 Let us now put some flesh on the theoretical bones J30 0110 1 we have assembled by giving illustrations of roleplaying J30 0110 9 used for evaluation and analysis. One should keep in J30 0120 7 mind that many of the exciting possiblities of roleplaying J30 0130 4 are largely unexplored and have not been used in industry J30 0140 4 to the extent that they have been in military and other J30 0150 1 areas. J30 0150 2 _EVALUATION_ J30 0150 3 The president of a small firm selling restaurant J30 0160 1 products, had considerable difficulty in finding suitable J30 0160 8 salesmen for his business. Interviewing, checking references, J30 0170 7 training the salesmen, having them go with more experienced J30 0180 8 salesmen was expensive- and the rate of attrition due J30 0190 9 to resignations or unsatisfactory performance was too J30 0200 4 high. It was his experience that only one good salesman J30 0210 1 was found out of every seven hired- and only one was J30 0210 12 hired out of every seven interviewed. J30 0220 5 Roleplaying was offered as a solution- and the procedure J30 0230 6 worked as follows: all candidates were invited to a J30 0240 3 hotel conference room, where the president explained J30 0240 10 the difficulty he had, and how unnecessary it seemed J30 0250 8 to him to hire people who just did not work out. In J30 0260 7 place of asking salesmen to fill questionnaires, checking J30 0270 2 their references, interviewing them, asking them to J30 0280 1 be tried out, he told them he would prefer to test J30 0280 12 them. Each person was to enter the testing room, carrying J30 0290 8 a suitcase of samples. Each salesman was to read a J30 0300 5 sheet containing a description of the product. In the J30 0310 2 testing room he was to make, successively, three presentations J30 0320 1 to three different people. J30 0320 5 In the testing room, three of the veteran salesmen J30 0330 2 served as antagonists. One handled the salesman in J30 0330 10 a friendly manner, another in a rough manner, and the J30 0340 10 third in a hesitating manner. Each was told to purchase J30 0350 7 material if he felt like it. The antagonists came in, J30 0360 4 one at a time, and did not see or hear the other presentations. J30 0370 2 After each presentation, the antagonist wrote his judgment J30 0380 1 of the salesmen; and so did the observers consisting J30 0380 10 of the president, three of his salesmen and a psychologist. J30 0390 9 Ten salesmen were tested in the morning and ten J30 0400 8 more in the afternoon. This procedure was repeated J30 0410 3 one day a month for four months. The batting average J30 0420 1 of one success out of seven increased to one out of J30 0420 12 three. The president of the firm, calculating expenses J30 0430 6 alone, felt his costs had dropped one-half while success J30 0440 5 in selection had improved over one hundred per cent. J30 0450 3 The reason for the value of this procedure was simply J30 0460 1 that the applicants were tested "at work" in different J30 0460 10 situations by the judgment of a number of experts who J30 0470 10 could see how the salesmen conducted themselves with J30 0480 4 different, but typical restaurant owners and managers. J30 0490 3 They were, in a sense, "tried out" in realistic situations. J30 0500 1 From the point of view of the applicants, less time J30 0510 1 was wasted in being evaluated- and they got a meal J30 0510 11 out of it as well as some insights into their performances. J30 0520 7 Another use of roleplaying for evaluation illustrates J30 0530 4 how this procedure can be used in real life situations J30 0540 4 without special equipment or special assistants during J30 0550 1 the daily course of work. J30 0550 6 The position of receptionist was opened in a large J30 0560 5 office and an announcement was made to the other girls J30 0570 2 already working that they could apply for this job J30 0570 11 which had higher prestige and slightly higher salary J30 0580 6 than typing and clerking positions. All applicants J30 0590 3 were generally familiar with the work of the receptionist. J30 0600 1 At the end of work one day, the personnel man took J30 0600 12 the applicants one at a time, asked them to sit behind J30 0610 10 the receptionist's desk and he then played the role J30 0620 7 of a number of people who might come to the receptionist J30 0630 3 with a number of queries and for a number of purposes. J30 0640 1 Each girl was independently "tested" by the personnel J30 0640 9 man, and he served not only as the director, but as J30 0650 10 the antagonist and the observer. J30 0660 1 Somewhat to his surprise he found that one girl, J30 0660 10 whom he would never have considered for the job since J30 0670 10 she had appeared somewhat mousy and also had been in J30 0680 7 the office a relatively short time, did the most outstanding J30 0690 4 job of playing the role of receptionist, showing wit, J30 0700 2 sparkle, and aplomb. She was hired and was found to J30 0700 12 be entirely satisfactory when she played the role eight J30 0710 8 hours a day. J30 0720 1 _ANALYSIS_ J30 0720 1 In considering roleplaying for analysis we enter J30 0720 8 a more complex area, since we are now no longer dealing J30 0730 8 with a simple over-all decision but rather with the J30 0740 5 examination and evaluation of many elements seen in J30 0750 2 dynamic functioning. Some cases in evidence of the J30 0750 10 use of roleplaying for analysis may help explain the J30 0760 7 procedure. J30 0760 8 An engineer had been made the works manager of a J30 0770 9 firm, supplanting a retired employee who had been considered J30 0780 5 outstandingly successful. The engineer had more than J30 0790 3 seven years of experience in the firm, was well trained, J30 0790 13 was considered a hard worker, was respected by his J30 0800 9 fellow engineers for his technical competence and was J30 0810 6 regarded as a "comer". However, he turned out to be J30 0820 6 a complete failure in his new position. He seemed to J30 0830 2 antagonize everyone. Turnover rates of personnel went J30 0830 9 up, production dropped, and morale was visibly reduced. J30 0840 7 Despite the fact that he was regarded as an outstanding J30 0850 6 engineer, he seemed to be a very poor administrator, J30 0860 2 although no one quite knew what was wrong with him. J30 0860 12 At the insistence of his own supervisor- the president J30 0870 9 of the firm, he enrolled in a course designed to develop J30 0880 8 leaders. J30 0880 9 He played a number of typical situations before J30 0890 7 observers, other supervisors who kept notes and then J30 0900 5 explained to him in detail what he did they thought J30 0910 1 was wrong. Entirely concerned with efficiency, he was J30 0910 9 merciless in criticizing people who made mistakes, J30 0920 6 condemning them to too great an extent. He did not J30 0930 5 really listen to others, had little interest in their J30 0940 1 ideas, and wanted to have his own way- which was the J30 0940 12 only right way. The entire group of managers explained, J30 0950 8 in great detail, a number of human relations errors J30 0960 5 that he made. J30 0960 8 One by one, these errors were discussed and one J30 0970 6 by one he rejected accepting them as errors. He admitted J30 0980 3 his behavior, and defended it. He refused to change J30 0990 1 his approach, and instead he attacked high and low- J30 0990 10 the officials for their not backing him, and subordinates J30 1000 7 for their laxness, stupidity, and stubbornness. After J30 1010 4 the diagnosing, he left the course, convinced that J30 1020 2 it could do him no good. J30 1020 8 We may say that his problem was diagnosed but that J30 1030 5 he refused treatment. The engineer turned works manager J30 1040 2 had a particular view of life- and refused to change J30 1040 12 it. We may say that his attitude was foolish, since J30 1050 9 he may have been a success had he learned some human J30 1060 6 relations skills; or we may say that his attitude was J30 1070 4 commendable, showing his independence of mind, in his J30 1080 1 refusal to adjust to the opinions of others. In any J30 1080 11 case, he refused to accept the implications of the J30 1090 7 analysis, that he needed to be made over. J30 1100 2 Another case may be given in illustration of a successful J30 1110 1 use of analysis, and also of the employment of a procedure J30 1110 12 for intensive analysis. In a course for supermarket J30 1120 7 operators, a district manager who had been recently J30 1130 5 appointed to his position after being outstandingly J30 1140 1 successful as a store manager, found that in supervising J30 1140 10 other managers he was having a difficult time. On playing J30 1150 10 some typical situations before a jury of his peers J30 1160 7 he showed some characteristics rated as unsatisfactory. J30 1170 3 He was told he displayed, for example, a sense of superiority- J30 1180 3 and he answered: "Well, I am supposed to know all the J30 1190 3 answers, aren't I"? He was criticized for his curtness J30 1200 1 and abruptness- and he answered: "I am not working J30 1200 10 to become popular". On being criticized for his arbitrary J30 1210 8 behavior- he answered: "I have to make decisions. That's J30 1220 7 my job". In short, as frequently happens in analyses, J30 1230 6 the individual feels threatened and defends himself. J30 1240 3 However, in this case the district manager was led J30 1250 1 to see the errors of his ways. The necessary step between J30 1250 12 diagnosis and training is acceptance of the validity J30 1260 7 of the criticisms. How this was accomplished may be J30 1270 5 described, since this sometimes is a crucial problem. J30 1280 2 The director helped tailor-make a check list of J30 1280 11 the district manager's errors by asking various observers J30 1290 7 to write out sentences commenting on the mistakes they J30 1300 6 felt he made. These errors were then collected and J30 1310 4 written on a blackboard, condensing similar ideas. J30 1320 1 Eighteen errors were located, and then the director J30 1320 9 asked each individual to vote whether or not they felt J30 1330 8 that this manager had made the particular errors. They J30 1340 4 were asked to vote "true" if they thought they had J30 1350 3 seen him make the error, "false" if they thought he J30 1350 13 had not; and "cannot say" if they were not certain. J30 1360 10 The manager sat behind the group so he could see J30 1370 9 and count the hands that went up, and the director J30 1380 5 wrote the numbers on the blackboard. No comments were J30 1390 2 made during the voting. The results looked as follows: J30 1390 11 **f. J30 1400 1 The first eight of these eighteen statements, which J30 1400 9 received at least one-half of the votes, were duplicated J30 1410 10 to form an analysis checklist for the particular manager, J30 1420 6 and when this particular manager roleplayed in other J30 1430 4 situations, the members checked any items that appeared. J30 1440 1 To prevent the manager from deliberately controlling J30 1440 8 himself only during the sessions, they were rather J30 1450 8 lengthy (about twenty minutes), the situations were J30 1460 4 imperfectly described to the manager so that he would J30 1470 3 not know what to expect, new antagonists were brought J30 1470 12 on the scene unexpectedly, and the antagonists were J30 1480 7 instructed to deliberately behave in such ways as to J30 1490 7 upset the manager and get him to operate in a manner J30 1500 3 for which he had been previously criticized. J30 1500 10 After every session, the check marks were totaled J30 1510 8 up and graphed, and in this way the supervisor's progress J30 1520 5 was charted. J30 1520 7 _SUMMARY_ J30 1520 8 In life we learn to play our roles and we "freeze" J30 1530 10 into patterns which become so habitual that we are J30 1540 6 not really aware of what we do. We can see others more J30 1550 3 clearly than we can see ourselves, and others can see J30 1550 13 us better than we see ourselves. To learn what we do J30 1560 11 is the first step for improvement. To accept the validity J30 1570 7 of the judgments of others is the second step. To want J30 1580 6 to change is the third step. To practice new procedures J30 1590 2 under guided supervision and with constant feedback J30 1590 9 is the fourth step. To use these new ways in daily J30 1600 10 life is the last step. Roleplaying used for analysis J30 1610 5 follows these general steps leading to training. J30 1620 2 When an evaluative situation is set up, and no concern J30 1630 1 is with the details that lead to an over-all estimate, J30 1630 12 we say that roleplaying is used for evaluation. Observers J30 1640 7 can see a person engaged in spontaneous behavior, and J30 1650 5 watch him operating in a totalistic fashion. This behavior J30 1660 3 is more "veridical"- or true than other testing behavior J30 1670 3 for some types of evaluation, and so can give quick J30 1670 13 and accurate estimates of complex functioning. J30 1680 6 While roleplaying for testing is not too well understood J30 1690 8 at the present time, it represents one of the major J30 1700 5 uses of this procedure. J30 1700 9 #CHAPTER /10, SPONTANEITY TRAINING# J30 1710 2 THE OBJECTIVE OF THIS CHAPTER is to clarify the distinctions J30 1720 3 between spontaneity theory and other training concepts. J30 1730 1 In addition, the basic approach utilized in applying J30 1730 9 roleplaying will be reviewed. The goal will be to provide J30 1740 9 the reader with an integrated rationale to aid him J30 1750 5 in applying roleplaying techniques in this unique training J30 1760 3 area. The reasons for extracting this particular roleplaying J30 1770 1 application from the previous discussion of training J30 1770 8 are twofold: J30 1780 1 _1._ J30 1780 2 Spontaneity training theory is unique and relatively J30 1780 9 new. J31 0010 1 It is not easy for the therapist to discern when, J31 0010 11 in the patient's communicating, an introject has appeared J31 0020 6 and is holding sway. One learns to become alert to J31 0030 6 changes in his vocal tone- to his voice's suddenly J31 0040 2 shifting to a quality not like his usual one, a quality J31 0050 1 which sounds somehow artificial or, in some instances, J31 0050 9 parrotlike. The content of his words may lapse back J31 0060 8 into monotonous repetition, as if a phonograph needle J31 0070 5 were stuck in one groove; only seldom is it so simple J31 0080 2 as to be a matter of his obviously parroting some timeworn J31 0080 13 axiom, common to our culture, which he has evidently J31 0090 9 heard, over and over, from a parent until he experiences J31 0100 7 it as part of him. J31 0100 12 One hebephrenic woman often became submerged in J31 0110 6 what felt to me like a somehow phony experience of J31 0120 4 pseudo-emotion, during which, despite her wracking J31 0130 1 sobs and streaming cheeks, I felt only a cold annoyance J31 0130 11 with her. Eventually such incidents became more sporadic, J31 0140 7 and more sharply demarcated from her day-after-day J31 0150 6 behavior, and in one particular session, after several J31 0160 3 minutes of such behavior- which, as usual, went on J31 0170 1 without any accompanying words from her- she asked, J31 0170 9 eagerly, "Did you see Granny"? At first I did not know J31 0180 10 what she meant; I thought she must be seeing me as J31 0190 8 some one who had just come from seeing her grandmother, J31 0210 3 in their distant home-city. Then I realized that she J31 0220 2 had been deliberately showing me, this time, what Granny J31 0220 11 was like; and when I replied in this spirit, she corroborated J31 0230 10 my hunch. J31 0240 1 At another phase in the therapy, when a pathogenic J31 0240 10 mother-introject began to emerge more and more upon J31 0250 8 the investigative scene, she muttered in a low but J31 0260 5 intense voice, to herself, "I hate that woman inside J31 0270 1 me"! I could evoke no further elaboration from her J31 0270 10 about this; but a few seconds later she was standing J31 0280 9 directly across the room from me, looking me in the J31 0290 7 eyes and saying in a scathingly condemnatory tone, J31 0300 2 "Your father despises you"! Again, I at first misconstrued J31 0320 1 this disconcertingly intense communication, and I quickly J31 0320 8 cast through my mind to account for her being able J31 0330 10 to speak, with such utter conviction, of an opinion J31 0340 5 held by my father, now several years deceased. Then J31 0350 2 I replied, coldly, "If you despise me, why don't you J31 0360 1 say so, directly"? She looked confused at this, and J31 0360 10 I felt sure it had been a wrong response for me to J31 0370 10 make. It then occurred to me to ask, "Is that what J31 0380 5 that woman told you"? She clearly agreed that this J31 0390 3 had been the case. I realized, now, that she had been J31 0390 14 showing me, in what impressed me as being a very accurate J31 0400 11 way, something her mother had once said to her; it J31 0410 8 was as if she was showing me one of the reasons why J31 0420 4 she hated that woman inside her. What had been an unmanageably J31 0430 1 powerful introject was now, despite its continuing J31 0430 8 charge of energy disconcerting to me, sufficiently J31 0440 7 within control of her ego that she could use it to J31 0450 7 show me what this introjected mother was like. J31 0460 1 Earlier, this woman had been so filled with a chaotic J31 0460 11 variety of introjects that at times, when she was in J31 0470 10 her room alone, it would sound to a passerby as though J31 0480 7 there were several different persons in the room, as J31 0490 4 she would vocalize in various kinds of voice. A somewhat J31 0500 1 less fragmented hebephrenic patient of mine, who used J31 0500 9 to often seclude herself in her room, often sounded J31 0510 7 through the closed door- as I would find on passing J31 0520 5 by, between our sessions- for all the world like two J31 0530 3 persons, a scolding mother and a defensive child. J31 0530 11 Particularly hard for the therapist to grasp are J31 0540 8 those instances in which the patient is manifesting J31 0550 5 an introject traceable to something in the therapist, J31 0560 2 some aspect of the therapist of which the latter is J31 0560 12 himself only poorly aware, and the recognition of which, J31 0570 9 as a part of himself, he finds distinctly unwelcome. J31 0580 5 I have found, time and again, that some bit of particularly J31 0590 5 annoying and intractable behavior on the part of a J31 0600 3 patient rests, in the final analysis, on this basis; J31 0600 12 and only when I can acknowledge this, to myself, as J31 0610 9 being indeed an aspect of my personality, does it cease J31 0620 6 to be a prominently troublesome aspect of the patient's J31 0630 3 behavior. For example, one hebephrenic man used to J31 0640 1 annoy me, month after month, by saying, whenever I J31 0640 10 got up to leave and made my fairly steoreotyped comment J31 0650 6 that I would be seeing him on the following day, or J31 0660 4 whenever, "You're welcome", in a notably condescending J31 0670 1 fashion- as though it were his due for me to thank J31 0670 11 him for the privilege of spending the hour with him, J31 0680 10 and he were thus pointing up my failure to utter a J31 0690 7 humbly grateful, "thank you" to him at the end of each J31 0700 6 session. Eventually it became clear to me, partly with J31 0710 2 the aid of another schizophrenic patient who could J31 0710 10 point out my condescension to me somewhat more directly, J31 0720 7 that this man, with his condescending, "You're welcome", J31 0730 3 was very accurately personifying an element of obnoxious J31 0740 5 condescension which had been present in my own demeanor, J31 0750 2 over these months, on each of these occasions when J31 0750 11 I had bid him good-bye with the consoling note, each J31 0760 10 time, that the healing Christ would be stooping to J31 0770 6 dispense this succor to the poor suffered again on J31 0780 3 the morrow. J31 0780 5 Another patient, a paranoid woman, for many months J31 0790 2 infuriated not only me but the ward-personnel and her J31 0790 12 fellow patients by arrogantly behaving as though she J31 0800 8 owned the whole building, as though she were the only J31 0810 7 person in it whose needs were to be met. This behavior J31 0820 3 on her part subsided only after I had come to see the J31 0830 1 uncomfortably close similarity between, on the one J31 0830 8 hand, her arranging the ventilation of the common living J31 0840 7 room to her own liking, or turning the television off J31 0850 4 or on without regard to the wishes of the others, and J31 0860 2 on the other hand, my own coming stolidly into her J31 0860 12 room despite her persistent and vociferous objections, J31 0870 6 bringing my big easy chair with me, usually shutting J31 0880 5 the windows of her room which she preferred to keep J31 0890 3 in a very cold state, and plunking myself down in my J31 0890 14 chair- in short, behaving as if I owned her room. J31 0900 12 #4. CONDENSATION:# J31 0900 14 Here a variety of meanings and emotions are concentrated, J31 0910 9 or reduced, in their communicative expression, to some J31 0920 7 comparatively simple-seeming verbal or nonverbal statement. J31 0930 5 One finds, for example, that a terse and stereotyped J31 0940 1 verbal expression, seeming at first to be a mere hollow J31 0950 4 convention, reveals itself over the months of therapy J31 0960 1 as the vehicle for expressing the most varied and intense J31 0960 11 feelings, and the most unconventional of meanings. J31 0970 6 More than anything, it is the therapist's intuitive J31 0980 3 sensing of these latent meanings in the stereotype J31 0990 1 which helps these meanings to become revealed, something J31 0990 9 like a spread-out deck of cards, on sporadic occasions J31 1000 7 over the passage of the patient's and his months of J31 1010 6 work together. one cannot assume, of course, that all J31 1020 3 these accumulated meanings were inherent in the stereotype J31 1030 1 at the beginning of the therapy, or at any one time J31 1030 12 later on when the stereotype was uttered; probably J31 1040 6 it is correct to think of it as a matter of a well-grooved, J31 1050 7 stereotyped mode of expression- and no, or but a few, J31 1060 5 other communicational grooves, as yet- being there, J31 1070 1 available for the patient's use, as newly-emerging J31 1070 9 emotions and ideas well up in him over the course of J31 1080 10 months. But it is true that the therapist can sense, J31 1090 4 when he hears this stereotype, that there are at this J31 1100 3 moment many emotional determinants at work in it, a J31 1100 12 blurred babel of indistinct voices which have yet to J31 1110 8 become clearly delineated from one another. J31 1120 3 Sometimes it is not a verbal stereotype- a "How J31 1130 2 are you now"? or an "I want to go home", or whatever- J31 1140 3 but a nonverbal one which reveals itself, gradually, J31 1140 11 as the condensed expression of more than one latent J31 1150 7 meaning. A hebephrenic man used to give a repetitious J31 1160 5 wave of his hand a number of times during his largely-silent J31 1170 1 hours with his therapist. When the therapist came to J31 1170 10 feel on sufficiently sure ground with him to ask him, J31 1180 10 "What is that, Bill- hello or farewell"?, the patient J31 1190 6 replied, "Both, Dearie- two in one". J31 1200 6 Of all the possible forms of nonverbal expression, J31 1210 1 that which seems best to give release, and communicational J31 1210 10 expression, to complex and undifferentiated feelings J31 1220 6 is laughter. It is no coincidence that the hebephrenic J31 1230 6 patient, the most severely dedifferentiated of all J31 1240 3 schizophrenic patients, shows, as one of his characteristic J31 1250 1 symptoms, laughter- laughter which now makes one feel J31 1250 9 scorned or hated, which now makes one feel like weeping, J31 1260 10 or which now gives one a glimpse of the bleak and empty J31 1270 9 expanse of man's despair; and which, more often than J31 1280 5 all these, conveys a welter of feelings which could J31 1290 2 in no way be conveyed by any number of words, words J31 1300 8 which are so unlike this welter in being formed and J31 1310 8 discrete from one another. To a much less full extent, J31 1320 6 the hebephrenic person's belching or flatus has a comparable J31 1330 4 communicative function; in working with these patients J31 1340 1 the therapist eventually gets to do some at least private J31 1340 11 mulling over of the possible meaning of a belch, or J31 1350 10 the passage of flatus, not only because he is reduced J31 1360 7 to this for lack of anything else to analyze, but also J31 1370 3 because he learns that even these animal-like sounds J31 1370 12 constitute forms of communication in which, from time J31 1380 8 to time, quite different things are being said, long J31 1390 6 before the patient can become sufficiently aware of J31 1400 3 these, as distinct feelings and concepts, to say them J31 1410 1 in words. J31 1410 3 As I have been intimating, in the schizophrenic- J31 1420 3 and perhaps also in the dreams of the neurotic; this J31 1420 13 is a question which I have no wish to take up- condensation J31 1430 10 is a phenomenon in which one finds not a condensed J31 1440 6 expression of various feelings and ideas which are, J31 1450 3 at an unconscious level, well sorted out, but rather J31 1450 12 a condensed expression of feelings and ideas which, J31 1460 7 even in the unconscious, have yet to become well differentiated J31 1470 7 from one another. Freeman, Cameron and McGhie, in their J31 1480 6 description of the disturbances of thinking found in J31 1490 3 chronic schizophrenic patients, say, in regard to condensation, J31 1500 1 that "**h the lack of adequate discrimination between J31 1500 9 the self and the environment, and the objects contained J31 1510 9 therein **h in itself is the prototypical condensation". J31 1520 5 In my experience, a great many of the patient's J31 1530 6 more puzzling verbal communications are so for the J31 1540 4 reason that concrete meanings have not become differentiated J31 1550 1 from figurative meanings in his subjective experience. J31 1550 8 Thus he may be referring to some concrete thing, or J31 1560 8 incident, in his immediate environment by some symbolic-sounding, J31 1570 5 hyperbolic reference to transcendental events on the J31 1580 4 global scene. Recently, for example, a paranoid woman's J31 1590 1 large-scale philosophizing, in the session, about the J31 1590 9 intrusive curiosity which has become, in her opinion, J31 1600 8 a deplorable characteristic of mid-twentieth-century J31 1610 5 human culture, developed itself, before the end of J31 1620 3 the session, into a suspicion that I was surreptitiously J31 1620 12 peeking at her partially exposed breast, as indeed J31 1630 8 I was. Or, equally often, a concretistic-seeming, J31 1640 5 particularistic-seeming J31 1640 7 statement may consist, with its mundane exterior, in J31 1650 6 a form of poetry- may be full of meaning and emotion J31 1660 5 when interpreted as a figurative expression: a metaphor, J31 1670 3 a smile, an allegory, or some other symbolic mode of J31 1670 13 speaking. J31 1680 1 Of such hidden meanings the patient himself is, J31 1680 9 more often than not, entirely unaware. His subjective J31 1690 7 experience may be a remarkably concretistic one. One J31 1700 4 hebephrenic women confided to me, "I live in a world J31 1710 5 of words", as if, to her, words were fully concrete J31 1720 1 objects; Burnham, in his excellent article (1955) concerning J31 1720 9 schizophrenic communication, includes mention of similar J31 1730 6 clinical material. A borderline schizophrenic young J31 1740 5 man told me that to him the various theoretical concepts J31 1750 3 about which he had been expounding, in a most articulate J31 1760 1 fashion, during session after session with me, were J31 1760 9 like great cubes of almost tangibly solid matter up J31 1770 8 in the air above him; as he spoke I was reminded of J31 1780 6 the great bales of cargo which are swung, high in the J31 1790 3 air, from a docked steamship. J32 0010 1 The many linguistic techniques for reducing the J32 0010 8 amount of dictionary information that have been proposed J32 0020 6 all organize the dictionary's contents around prefixes, J32 0030 4 stems, suffixes, etc&. A significant reduction in the J32 0050 3 voume of store information is thus realized, especially J32 0060 1 for a highly inflected language such as Russian. For J32 0060 10 English the reduction in size is less striking. This J32 0070 7 approach requires that: (1) each text word be separated J32 0080 6 into smaller elements to establish a correspondence J32 0090 1 between the occurrence and dictionary entries, and J32 0090 8 (2) the information retrieved from several entries J32 0100 5 in the dictionary be synthesized into a description J32 0110 4 of the particular word. The logical scheme used to J32 0120 2 accomplish the former influences the placement of information J32 0120 10 in the dictionary file. Implementation of the latter J32 0130 8 requires storage of information needed only for synthesis. J32 0140 6 We suggest the application of certain data-processing J32 0150 5 techniques as a solution to the problem. But first, J32 0160 3 we must define two terms so that their meaning will J32 0160 13 be clearly understood: J32 0170 3 _1._ J32 0170 4 form- any unique sequence of alphabetic characters J32 0180 2 that can appear in a language preceded and followed J32 0190 1 by a space. J32 0190 4 _2._ J32 0190 5 occurrence- an instance of a form in text. J32 0200 1 We propose a method for selecting only dictionary J32 0200 9 information required by the text being translated and J32 0210 8 a means for passing the information directly to the J32 0220 4 occurrences in text. We accomplish this by compiling J32 0230 1 a list of text forms as text is read by the computer. J32 0230 13 A random-storage scheme, based on the spelling of forms, J32 0240 8 provides an economical way to compile this text-form J32 0250 7 list. Dictionary forms found to match forms in the J32 0260 4 text list are marked. A location in the computer store J32 0270 1 is also named for each marked form; dictionary information J32 0270 10 about the form stored at this location can be retrieved J32 0280 9 directly by occurrences of the form in text. Finally, J32 0290 7 information is retrieved from the dictionary as required J32 0300 3 by stages of the translation process- the grammatic J32 0310 1 description for sentence-structure determination, J32 0310 6 equivalent-choice J32 0320 1 information for semantic analysis, and target-language J32 0320 8 equivalents for output construction. J32 0330 4 The dictionary is a form dictionary, at least in J32 0340 4 the sense that complete forms are used as the basis J32 0340 14 for matching text occurrences with dictionary entries. J32 0350 6 Also, the dictionary is divided into at least two parts: J32 0360 8 the list of dictionary forms and the file of information J32 0370 5 that pertains to these forms. A more detailed description J32 0380 2 of dictionary operations- text lookup and dictionary J32 0390 1 modification- give a clearer picture. J32 0390 5 Text lookup, as we will describe it, consists of J32 0400 5 three steps. The first is compiling a list of text J32 0410 3 forms, assigning an information cell to each, and replacing J32 0410 12 text occurrences with the information cell assigned J32 0420 7 to the form of each occurrence. For this step the computer J32 0430 7 memory is separated into three regions: cells in the J32 0440 5 ~W-region are used for storage of the forms in the J32 0450 3 text-form list; cells in the ~X-region and ~Y region J32 0460 1 are reserved as information cells for text forms. J32 0460 9 When an occurrence **f is isolated during text reading, J32 0470 7 a random memory address **f, the address of a cell J32 0480 6 in the ~X-region, is computed from the form of **f. J32 0490 3 Let **f denote the form of **f. If cell **f has not J32 0490 15 previously been assigned as the information cell of J32 0500 8 a form in the text-form list, it is now assigned as J32 0510 7 the information cell of **f. The form itself is stored J32 0520 3 in the next available cells of the ~W-region, beginning J32 0530 1 in cell **f. The address **f and the number of cells J32 0530 12 required to store the form are written in **f; the J32 0540 9 information cell **f is saved to represent the text J32 0550 5 occurrence. Text reading continues with the next occurrence. J32 0560 2 Let us assume that **f is identical to the form J32 0570 1 of an occurrence **f which preceded **f in the text. J32 0570 11 When this situation exists, the address **f will equal J32 0580 7 **f which was produced from **f. If **f was assigned J32 0590 5 as the information cell for **f, the routine can detect J32 0600 2 that **f is identical to **f by comparing **f with J32 0600 12 the form stored at location **f. The address **f is J32 0610 9 stored in the cell **f. When, as in this case, the J32 0620 6 two forms match, the address **f is saved to represent J32 0630 2 the occurrence **f. Text reading continues with the J32 0630 10 next occurrence. J32 0650 1 A third situation is possible. The formula for computing J32 0660 1 random addresses from the form of each occurrence will J32 0660 10 not give a distinct address for each distinct form. J32 0670 7 Thus, when more than one distinct form leads to a particular J32 0680 6 cell in the ~X-region, a chain of information cells J32 0690 3 must be created to accommodate the forms, one cell J32 0700 1 in the chain for each form. If **f leads to an address J32 0700 13 **f that is equal to the address computed from **f, J32 0710 7 even though **f does not match **f, the chain of information J32 0720 5 cells is extended from **f by storing the address of J32 0730 3 the next available cell in the ~Y-region, **f, in **f. J32 0731 1 The cell **f becomes the second information cell in J32 0740 9 the chain and is assigned as the information cell of J32 0750 6 **f. A third cell can be added by storing the address J32 0760 3 of another ~Y-cell in **f; similarly, as many cells J32 0770 1 are added as are required. Each information cell in J32 0770 10 the chain contains the address of the ~Y-cell where J32 0780 8 the form to which it is assigned is stored. Each cell J32 0790 5 except the last in the chain also contains the address J32 0800 3 of the ~Y-cell that is the next element of the chain; J32 0810 1 the absence of such a link in the last cell indicates J32 0810 12 the end of the chain. Hence, when the address **f is J32 0820 8 computed from **f, the cell **f and all ~Y-cells in J32 0830 5 its chain must be inspected to determine whether **f J32 0840 2 is already in the form list or whether it should be J32 0840 13 added to the form list and the chain. When the information J32 0850 8 cell for **f has been determined, it is saved as a J32 0860 6 representation of **f. Text reading continues with J32 0870 2 the next occurrence. J32 0870 5 Text reading is terminated when a pre-determined J32 0880 4 number of forms have been stored in the text-form list. J32 0890 1 This initiates the second step of glossary lookup- J32 0890 9 connecting the information cell of forms in the text-form J32 0900 9 list to dictionary forms. Each form represented by J32 0910 5 the dictionary is looked up in the text-form list. J32 0920 2 Each time a dictionary form matches a text form, the J32 0920 12 information cell of the matching text form is saved. J32 0930 9 The number of dictionary forms skipped since the last J32 0940 6 one matched is also saved. These two pieces of information J32 0950 3 for each dictionary form that is matched by a text J32 0960 1 form constitute the table of dictionary usage. If each J32 0960 10 text form is marked when matched with a dictionary J32 0970 7 form, the text forms not contained in the dictionary J32 0980 4 can be identified when all dictionary forms have been J32 0990 2 read. The appropriate action for handling these forms J32 0990 10 can be taken at that time. J32 1000 4 Each dictionary form is looked up in the text-form J32 1010 1 list by the same method used to look up a new text J32 1010 13 occurrence in the form list during text reading. A J32 1020 8 random address **f that lies within the ~X-region of J32 1030 5 memory mentioned earlier is computed from the ~i-th J32 1040 3 dictionary form. If cell **f is an information cell, J32 1040 12 it and any information cells in the ~Y-region that J32 1050 9 have been linked to **f each contain an address in J32 1060 6 the ~W-region where a potentially matching form is J32 1070 3 stored. The dictionary form is compared with each of J32 1070 12 these text forms. When a match is found, an entry is J32 1080 11 made in the table of dictionary usage. If cell **f J32 1090 6 is not an information cell we conclude that the ~i-th J32 1100 5 dictionary form is not in the text list. J32 1100 13 These two steps essentially complete the lookup J32 1110 7 operation. The final step merely uses the table of J32 1120 6 dictionary usage to select the dictionary information J32 1130 1 that pertains to each form matched in the text-form J32 1130 11 list, and uses the list of information cells recorded J32 1140 8 in text order to attach the appropriate information J32 1150 4 to each occurrence in text. The list of text forms J32 1160 3 in the ~W-region of memory and the contents of the J32 1160 14 information cells in the ~X and ~Y-regions are no longer J32 1170 11 required. Only the assignment of the information cells J32 1180 7 is important. J32 1180 9 The first stage of translation after glossary lookup J32 1190 8 is structural analysis of the input text. The grammatical J32 1200 7 description of each occurrence in the text must be J32 1210 5 retrieved from the dictionary to permit such an analysis. J32 1220 1 A description of this process will serve to illustrate J32 1220 10 how any type of information can be retrieved from the J32 1230 9 dictionary and attached to each text occurrence. J32 1240 5 The grammatic descriptions of all forms in the dictionary J32 1250 4 are recorded in a separate part of the dictionary file. J32 1260 2 The order is identical to the ordering of the forms J32 1260 12 they describe. When entries are being retrieved from J32 1270 7 this file, the table of dictionary usage indicates J32 1280 3 which entries to skip and which entries to store in J32 1290 2 the computer. This selection-rejection process takes J32 1290 9 place as the file is read. Each entry that is selected J32 1300 9 for storage is written into the next available cells J32 1310 5 of the ~W-region. The address of the first cell and J32 1320 4 the number of cells used is written in the information J32 1330 1 cell for the form. (The address of the information J32 1330 10 cell is also supplied by the table of dictionary usage.) J32 1340 7 When the complete file has been read, the grammatic J32 1350 4 descriptions for all text forms found in the dictionary J32 1360 1 have been stored in the ~W-region; the information J32 1360 10 cell assigned to each text form contains the address J32 1370 8 of the grammatic description of the form it represents. J32 1380 6 Hence, the description of each text occurrence can J32 1390 3 be retrieved by reading the list of text-ordered information-cell J32 1400 1 addresses and outputting the description indicated J32 1400 7 by the information cell for each occurrence. J32 1410 5 The only requirements on dictionary information J32 1420 3 made by the text-lookup operation are that each form J32 1430 2 represented by the dictionary be available for lookup J32 1430 10 in the text-form list and that information for each J32 1440 7 form be available in a sequence identical with the J32 1450 4 sequence of the forms. This leaves the ordering of J32 1460 2 entries variable. (Here an entry is a form plus the J32 1460 12 information that pertains to it.) J32 1470 5 Two very useful ways for modifying a form-dictionary J32 1480 1 are the addition to the dictionary of complete paradigms J32 1490 1 rather than single forms and the application of a single J32 1490 11 change to more than one dictionary form. The former J32 1500 7 is intended to decrease the amount of work necessary J32 1510 4 to extend dictionary coverage. The latter is useful J32 1520 1 for modifying information about some or all forms of J32 1520 10 a word, hence reducing the work required to improve J32 1530 7 dictionary contents. Applying the techniques developed J32 1540 4 at Harvard for generating a paradigm from a representative J32 1550 3 form and its classification, we can add all forms of J32 1560 1 a word to the dictionary at once. An extension of the J32 1560 12 principle would permit entering a grammatic description J32 1570 6 of each form. Equivalents could be assigned to the J32 1580 5 paradigm either at the time it is added to the dictionary J32 1590 2 or after the word has been studied in context. Thus, J32 1590 12 one can think of a dictionary entry as a word rather J32 1600 10 than a form. J32 1600 13 If all forms of a paradigm are grouped together J32 1610 9 within the dictionary, a considerable reduction in J32 1620 5 the amount of information required is possible. For J32 1630 2 example, the inflected forms of a word can be represented, J32 1640 1 insofar as regular inflection allows, by a stem and J32 1640 10 a set of endings to be attached. (Indeed, the set of J32 1650 7 endings can be replaced by the name of a set of endings.) J32 1660 6 The full forms can be derived from such information J32 1670 1 just prior to the lookup of the form in the text-form J32 1670 13 list. Similarly, if the equivalents for the forms of J32 1680 9 a word do not vary, the equivalents need be entered J32 1690 5 only once with an indication that they apply to each J32 1700 3 form. The dictionary system is in no way dependent J32 1700 12 upon such summarization or designed around it. When J32 1710 8 irregularity and variation prevent summarizing, information J32 1720 4 is written in complete detail. Entries are summarized J32 1730 3 only when by doing so the amount of information retained J32 1740 2 in the dictionary is reduced and the time required J32 1740 11 for dictionary operations is decreased. J33 0010 1 In sentences, patterns of stress are determined by J33 0010 9 complex combinations of influences that can only be J33 0020 7 suggested here. The tendency is toward putting dominant J33 0030 3 stress at the end. There is a parallel to this tendency J33 0040 1 in the assignment of time in long-known hymn tunes. J33 0040 11 Thus the first lines of one of Charles Wesley's hymns J33 0050 9 are as follows. "A charge to keep I have, A God to J33 0060 10 glorify". In the tune to which this hymn is most often J33 0070 9 sung, "Boylston", the syllables have and fy, ending J33 0080 5 their lines, have twice the time any other syllables J33 0090 3 have. Dominant stress is of course more than extended J33 0100 1 duration, and normally centers on syllables that would J33 0100 9 have primary stress or phrase stress if the words or J33 0110 8 longer units they are parts of were spoken alone: a J33 0120 5 dominant stress given to glorify would normally center J33 0130 2 on its first syllable rather than its last. But the J33 0130 12 parallel is significant. When the answer to what's J33 0140 8 wrong now? is Bill's broken a chair, dominant stress J33 0150 6 will usually be on the complement a chair. From the J33 0160 5 point of view of syntactic analysis the head word in J33 0170 4 the statement is the predicator has broken, and from J33 0180 1 the point of view of meaning it would seem that the J33 0180 12 trouble centers in the breaking; but dominant stress J33 0190 7 will be assigned to broken only in rather exceptional J33 0200 5 versions of the sentence. In I know one thing dominant J33 0210 3 stress will usually be on the complement one thing; J33 0220 1 in one thing I know it will usually be on the predicator J33 0220 13 know. In small-town people are very friendly dominant J33 0230 9 stress will generally be on the complement very friendly; J33 0240 8 in the double sentence the smaller the town, the friendlier J33 0250 7 the people it will generally be on the subjects the J33 0260 6 town and the people. In what's a linguist? dominant J33 0270 4 stress will generally be on the subject a linguist; J33 0280 3 in who's a linguist? it will generally be on the complement J33 0290 3 a linguist. Dominant stress is on her luggage both J33 0300 2 in that's her luggage, where her luggage is the complement, J33 0310 1 and in there's her luggage, where it is the subject. J33 0310 11 Adverbial second complements, however, are likely not J33 0320 7 to have dominant stress when they terminate sentences. J33 0330 5 If the answer to what was that noise? is George put J33 0340 4 the cat out, dominant stress will ordinarily be on J33 0350 3 the first complement, the cat, not the second complement J33 0360 1 out. Final adjuncts may or may not have dominant stress. J33 0360 11 If the answer to what was that noise? is George reads J33 0370 10 the news emotionally, dominant stress may or may not J33 0380 7 be on the adjunct emotionally. When prepositional complements J33 0390 4 are divided as in what are you looking for? they are J33 0400 5 likely to lose dominant stress. J33 0400 10 Context is of extreme importance. What is new in J33 0410 9 the context is likely to be made more prominent than J33 0420 7 what is not. Thus in a context in which there has been J33 0430 4 discussion of snow but mention of local conditions J33 0430 12 is new, dominant stress will probably be on here in J33 0440 10 it rarely snows here, but in a context in which there J33 0450 9 has been discussion of local weather but no mention J33 0460 5 of snow, dominant stress will probably be on snows. J33 0470 1 The personal pronouns and substitute one are normally J33 0470 9 unstressed because they refer to what is prominent J33 0480 8 in the immediate context. In I'll go with George dominant J33 0490 7 stress is probably on George; but if George has just J33 0500 6 been mentioned prominently (and the trip to be made J33 0510 6 has been under discussion), what is said is probably J33 0520 1 I'll go with him, and dominant stress is probably on J33 0520 11 the preposition with. When a gesture accompanies who's J33 0530 7 he? the personal pronoun has dominant stress because J33 0540 6 "he" has not been mentioned previously. If both George J33 0550 5 and a piece of information George does not have are J33 0560 5 prominent in the context, but the idea of telling George J33 0570 1 is new, then dominant stress will probably be on tell J33 0570 11 in why not tell George? But when what is new in a particular J33 0580 12 context is also fairly obvious, there is normally only J33 0590 9 light stress or no stress at all. Thus the unstressed J33 0600 6 it of it rarely snows here gets its significance from J33 0610 4 its use with snows: nothing can snow snow but "it". J33 0620 3 In there aren't many young people in the neighborhood J33 0630 1 the modifier young takes dominant stress away from J33 0630 9 its head people: the fact that the young creatures J33 0640 8 of interest are people seems rather obvious. If women J33 0650 6 replaced people, it would normally have dominant stress. J33 0660 4 In I have things to do the word things makes little J33 0670 3 real contribution to meaning and has weaker stress J33 0680 1 than do. If work is substituted for things (with more J33 0690 1 exact contribution to meaning), it will have dominant J33 0690 9 stress. In I know one thing dominant stress is likely J33 0700 8 to go to one rather than to semantically pale thing. J33 0710 5 In I knew you when you were a child, and you were pretty J33 0720 5 then dominant stress on then implies that the young J33 0730 3 woman spoken to is still pretty. Dominant stress on J33 0730 12 pretty would be almost insulting here. In the written J33 0740 9 language then can be underlined or italicized to guide J33 0750 8 the reader here, but much of the time the written language J33 0760 7 simply depends on the reader's alertness, and a careless J33 0770 4 reader will have to back up and reread. J33 0780 1 Often dominant stress simply indicates a centering J33 0780 8 of attention or emotion. Thus in it's incredible what J33 0790 6 that boy can eat dominant stress is likely to be on J33 0800 6 incredible, and eat will have strong stress also. In J33 0810 4 she has it in for George dominant stress will ordinarily J33 0820 1 be on in, where the notion of stored-up antipathy seems J33 0820 12 to center. In we're painting at our garage strong stress J33 0830 10 on at indicates that the job being done is not real J33 0840 10 painting but simply an effort at painting. Where there J33 0850 6 is comparison or contrast dominant stresses normally J33 0860 3 operate to center attention. Thus in his friends are J33 0870 2 stranger than his sisters' strong stresses are normal J33 0870 10 for his and sisters', but in his friends are stranger J33 0880 9 than his sisters strong stresses are normal for friends J33 0890 7 and sisters. In he's hurting himself more than he's J33 0900 7 hurting you both himself and you have stronger stress J33 0910 6 than they would ordinarily have if there were no contrast. J33 0920 5 In is she Chinese or Japanese? the desire to contrast J33 0930 4 the first parts of words which are alike in their last J33 0940 1 components produces an exceptional disregard of the J33 0940 8 normal patterns of stress of Chinese and Japanese. J33 0950 7 Sometimes strong stress serves to focus an important J33 0960 6 secondary relationship. Thus in Mary wrote an account J33 0970 4 of the trip first strong stress on Mary marks Mary J33 0980 2 as the first in a series of people who wrote accounts J33 0980 13 of the trip, strong stress on wrote marks the writing J33 0990 8 as the first of a series of actions of Mary's concerned J33 1000 6 with an account of her trip (about which she may later J33 1010 5 have made speeches, for example), and strong stress J33 1020 1 on trip makes the trip the first of a series of subjects J33 1020 13 about which Mary wrote accounts. In hunger stimulates J33 1030 8 man too the situation is very similar. Strong stress J33 1040 6 on hunger treats hunger as an additional stimulus, J33 1050 4 strong stress on stimulates treats stimulation as an J33 1060 3 additional effect of hunger, strong stress on man treats J33 1070 1 man as an additional creature who responds to the stimulation J33 1070 11 of hunger. Here again, in the written language it is J33 1080 9 possible to help the reader get his stresses right J33 1090 6 by using underlining or italics, but much of the time J33 1100 4 there is simply reliance on his understanding in the J33 1100 13 light of context. J33 1110 3 When a word represents a larger construction of J33 1120 1 which it is the only expressed part, it normally has J33 1120 11 more stress than it would have in fully expressed construction. J33 1130 8 Thus when yes, I have is the response to have you finished J33 1140 9 reading the paper? the stress on have, which here represents J33 1150 8 have finished reading the paper, is quite strong. In J33 1160 7 Mack's the leader at camp, but Jack is here the is J33 1170 6 of the second main declarative represents is the leader J33 1180 4 and therefore has stress. Mack's the leader at camp, J33 1190 2 but Jack's here, with this is deprived of stress, makes J33 1200 1 here the complement in the clause. In of all the suggestions J33 1200 12 that were made, his was the silliest the possessive J33 1210 9 his represents his suggestion and is stressed. When J33 1220 7 go represents itself and a complement (being equivalent, J33 1230 5 say, to go to Martinique) in which boat did Jack go J33 1240 5 on? it has strong stress; when it represents only itself J33 1250 3 and on which is its complement (so that go on is semantically J33 1260 3 equivalent to board), on has stronger stress than go J33 1270 3 does. Omission of a subordinator pronoun, however, J33 1270 10 does not result in an increase in stress on a prepositional J33 1280 11 adverb for which the subordinator pronoun would be J33 1290 6 object. Thus to has light stress both in that was the J33 1300 6 conclusion that I came to and in that was the conclusion J33 1310 4 I came to. But when to represents to consciousness J33 1320 1 in that was the moment that I came to, and similarly J33 1340 1 in that was the moment I came to, there is much stronger J33 1340 13 stress on to. In I wanted to tell him, but I was afraid J33 1350 13 to the final to is lightly stressed because it represents J33 1360 8 to tell him. In to tell him, of course, to is normally J33 1370 9 unstressed. When I have instructions to leave is equivalent J33 1371 7 in meaning to I have instructions that I am to leave J33 1380 8 this place, dominant stress is ordinarily on leave. J33 1390 5 When the same sequence is equivalent in meaning to J33 1400 3 I have instructions which I am to leave, dominant stress J33 1410 1 is ordinarily on instructions. J33 1410 5 It is clear that patterns of stress sometimes show J33 1420 2 construction unambiguously in the spoken language where J33 1430 1 without the help of context it would be ambiguous in J33 1430 11 the written. Other examples follow. "I'll come by Tuesday. J33 1440 8 I can't be happy long without drinking water". In the J33 1450 10 first of these sentences if by is the complement of J33 1460 8 come and Tuesday is an adjunct of time equivalent to J33 1470 7 on Tuesday, there will be strong stress on by in the J33 1480 6 spoken language; but if a complement for come is implied J33 1490 4 and by Tuesday is a prepositional unit used as an adjunct, J33 1500 3 by will be unstressed or lightly stressed at most. J33 1500 12 In the second sentence if drinking water is a gerundial J33 1510 10 clause and without drinking water is roughly equivalent J33 1520 7 in meaning to unless I drink water, there will be stronger J33 1530 8 stress on water than on drinking; but if drinking is J33 1540 6 a gerundial noun modifying water and without drinking J33 1550 4 water is equivalent to without water for drinking, J33 1560 3 there will be stronger stress on drinking than on water. J33 1570 2 But the use of stress in comparison and contrast, for J33 1570 12 example, can undermine distinctions such as these. J33 1580 7 And patterns of stress are not always unambiguous by J33 1590 6 any means. In the Steiners have busy lives without J33 1600 3 visiting relatives only context can indicate whether J33 1600 10 visiting relatives is equivalent in meaning to paying J33 1610 8 visits to relatives or to relatives who are visiting J33 1620 7 them, and in I looked up the number and I looked up J33 1630 8 the chimney only the meanings of number and chimney J33 1640 5 make it clear that up is syntactically a second complement J33 1650 4 in the first sentence and a preposition followed by J33 1660 2 its object in the second. J33 1660 7 #SYLLABIFICATION.# J33 1660 8 - Syllables are linguistic units centering in peaks J33 1670 6 which are usually vocalic but, as has been noted, are J33 1680 5 consonantal under certain circumstances, and which J33 1690 1 may or may not be combined with preceding and/or following J33 1690 11 consonants or combinations of consonants. Syllables J33 1700 6 are genuine units, but division of words and sentences J33 1710 5 into them presents great difficulties. Sometimes even J33 1720 2 the number of syllables is not clear. Doubt on this J33 1720 12 point is strongest before /l/ and /@/ or /r/. From J33 1730 10 the point of view of word formation real might be expected J33 1740 7 to have two syllables. Historically ~re is the formative J33 1750 5 that is employed also in republic, and ~al is the common J33 1760 6 suffix. When ~ity is added, real clearly has two syllables. J33 1770 6 But there is every reason to regard deal as a monosyllable, J33 1780 5 and because of the fact that /l/ commonly has the quality J33 1790 4 of /@/ when it follows vowel sounds, deal seems to J33 1800 2 be a perfectly satisfactory rhyme with real. J34 0010 1 It is obvious enough that linguists in general have J34 0010 10 been less successful in coping with tone systems than J34 0020 8 with consonants or vowels. No single explanation is J34 0030 5 adequate to account for this. Improvement, however, J34 0040 2 is urgent, and at least three things will be needed. J34 0050 1 The first is a wide-ranging sample of successful J34 0050 10 tonal analyses. Even beginning students in linguistics J34 0060 5 are made familiar with an appreciable variety of consonant J34 0070 4 systems, both in their general outlines and in many J34 0080 2 specific details. An advanced student has read a considerable J34 0090 1 number of descriptions of consonantal systems, including J34 0090 8 some of the more unusual types. By contrast, even experienced J34 0100 7 linguists commonly know no more of the range of possibilities J34 0110 8 in tone systems than the over-simple distinction between J34 0120 3 register and contour languages. This limited familiarity J34 0130 2 with the possible phenomena has severely hampered work J34 0140 1 with tone. Tone analysis will continue to be difficult J34 0140 10 and unsatisfactory until a more representative selection J34 0150 6 of systems is familar to every practicing field linguist. J34 0160 5 Papers like these four, if widely read, will contribute J34 0170 3 importantly to improvement of our analytic work. J34 0180 1 The second need is better field techniques. The J34 0180 9 great majority of present-day linguists fall into one J34 0190 8 or more of a number of overlapping types: those who J34 0210 4 are convinced that tone cannot be analysed, those who J34 0220 1 are personally scared of tone and tone languages generally, J34 0220 10 those who are convinced that tone is merely an unnecessary J34 0230 9 marginal feature in those languages where it occurs, J34 0240 6 those who have no idea how to proceed with tone analysis, J34 0250 4 those who take a simplistic view of the whole matter. J34 0260 2 The result has been neglect, fumbling efforts, or superficial J34 0270 1 treatment. As these maladies overlap, so must the cure. J34 0270 10 Analyses such as these four will simultaneously combat J34 0280 7 the assumptions that tone is impossible and that it J34 0290 6 is simple. They will give suggestions that can be worked J34 0300 4 up into field procedures. Good field techniques will J34 0300 12 not only equip linguists for better work, but also J34 0310 9 help them overcome negative attitudes. Actually, none J34 0320 4 of these papers says much directly about field techniques. J34 0330 3 But it is worth pondering that very little has been J34 0340 2 published on any phase of field techniques in linguistics. J34 0340 11 These things have been disseminated by other means, J34 0350 8 but always in the wake of extensive publication of J34 0360 5 analytic results. J34 0360 7 The third need is for better theory. We should expect J34 0370 8 that general phonologic theory should be as adequate J34 0380 5 for tone as for consonants and vowels, but it has not J34 0390 2 been. This can only be for one of two reasons: either J34 0390 13 the two are quite different and will require totally J34 0400 8 different theory (and hence techniques), or our existing J34 0410 5 theories are insufficiently general. If, as I suspect, J34 0420 5 the problem is largely of the second sort, then development J34 0430 1 of a theory better able to handle tone will result J34 0430 11 automatically in better theory for all phonologic subsystems. J34 0440 8 One issue that must be faced is the relative difficulty J34 0450 9 of analysis of different phonologic subsystems. Since J34 0460 4 tone systems typically comprise fewer units than either J34 0470 4 consonant or vowel systems, we might expect that they J34 0480 1 would be the easiest part of a phonologic analysis. J34 0480 10 Actual practice does not often work out this way. Tone J34 0490 9 systems are certainly more complex than the number J34 0500 4 of units would suggest, and often analytically more J34 0510 2 difficult than much larger consonantal systems. J34 0510 8 Welmers has suggested one explanation. Tone languages J34 0520 6 use for linguistic contrasts speech parameters which J34 0530 4 also function heavily in nonlinguistic use. This may J34 0540 3 both divert the attention of the uninitiate and cause J34 0540 12 confusion for the more knowledgeable. The problem is J34 0550 8 to disentangle the linguistic features of pitch from J34 0560 6 the co-occurring nonlinguistic features. Of course, J34 0570 3 something of the same sort occurs with other sectors J34 0570 12 of the phonology: consonantal articulations have both J34 0580 7 a linguistic and an individual component. But in general J34 0590 7 the individual variation is a small thing added onto J34 0600 6 basic linguistic features of greater magnitude. With J34 0610 2 tone, individual differences may be greater than the J34 0610 10 linguistic contrasts which are superimposed on them. J34 0620 7 Pitch differences from one speaker to another, or from J34 0630 7 one emotional state to another, may far exceed the J34 0640 3 small differences between tones. However, any such J34 0640 10 suggestion accounts for only some of the difficulties J34 0650 8 in hearing tone, or in developing a realistic attitude J34 0660 5 about tone, but not for the analytic difficulties that J34 0670 3 occur even when tone is meticulously recorded. J34 0680 1 A second explanation is suggested by the material J34 0680 9 described in Rowlands' paper. Tone and intonation often J34 0690 6 become seriously intermeshed. Neither can be adequately J34 0700 5 systematized until we are able to separate the two J34 0710 3 and assign the observed phenomena individually to one J34 0710 11 or the other. Other pairs of phonologic subsystems J34 0720 7 also interact or overlap in this way; for example, J34 0730 6 duration sometimes figures in both the vowel system J34 0740 3 and the intonation. Some phonetic features, for example J34 0750 1 glottal catch or murmur, are sometimes to be assigned J34 0750 10 to segmental phonemics and sometimes to accentual systems. J34 0760 6 But no other two phonologic systems are as difficult J34 0770 5 to disentangle as are tone and intonation in some languages. J34 0780 3 This explanation of tone difficulties, however, does J34 0790 1 not apply in all languages. In some (the Ewe type mentioned J34 0790 12 above) interaction of tone and intonation is restricted J34 0800 8 to the ends of intonation spans. In many of the syllables, J34 0810 7 intonation can be safely ignored, and much of the tonal J34 0820 6 analysis can be done without any study of intonation. J34 0830 1 Still, even in such languages tone analysis has not J34 0830 10 been as simple as one might expect. J34 0840 6 A third explanation is suggested by Richardson's J34 0850 3 analysis of Sukuma tone. There we see a basically simple J34 0860 2 phonemic system enmeshed in a very complex and puzzling J34 0860 11 morphophonemic system. While the phonemes can be very J34 0870 8 easily stated, no one is likely to be satisfied with J34 0880 7 the statement until phonemic occurrences can be related J34 0890 4 in some way to morphemic units, i&e& until the morphophonemics J34 0900 1 is worked out, or at least far enough that it seems J34 0900 12 reasonable to expect success. J34 0910 4 In the "typical tone language", tonal morphophonemics J34 0920 3 is of the same order of complexity as consonantal J34 0930 1 morphophonemics. J34 0930 2 The phonemic systems which must support these morphophonemic J34 0940 1 systems, however, are very different. The inventory J34 0940 8 of tones is much smaller, and commonly the contrasts J34 0950 8 range along one single dimension, pitch level. Consonantal J34 0960 5 systems are not merely larger, they are multidimensional. J34 0970 3 Morphophonemic rules may be thought of as joining certain J34 0980 2 points in the system. The possibilities in the consonantal J34 0990 1 system are very numerous, and only a small portion J34 0990 10 of them are actually used. Phonemes connected by a J34 1000 6 morphophonemic rule commonly show a good bit of phonetic J34 1010 6 similarity, possible because of the several dimensions J34 1020 1 of contrast in the system. Tonal morphophonemics, in J34 1020 9 a common case, can do nothing but either raise or lower J34 1030 10 the tone. The possibilities are few, and the total J34 1040 6 number of rules may be considerably greater. Often, J34 1050 2 therefore, there are a number of rules having the same J34 1060 1 effect, and commonly other sets of rules as well, having J34 1060 11 the opposite effect. Tonal morphophonemics is much J34 1070 6 more confusing to the beginning analyst than consonantal J34 1080 4 morphophonemics, even when the total number of rules J34 1090 3 is no greater. J34 1090 6 The difficulty of analysis of any subsystem in the J34 1100 3 phonology is an inverse function of the size- smaller J34 1100 12 systems are more troublesome- for any given degree J34 1110 8 of morphophonemic complexity. This hypothesis will J34 1120 5 account for a large part of the difficulties of tonal J34 1130 3 analysis, as well as the fact that vowel systems are J34 1140 1 often more puzzling than consonantal systems. The statement J34 1140 9 of the system is a different matter. Smaller systems J34 1150 7 can of course be stated much more succinctly. A phonemic J34 1160 6 system can be stated without reference to morphophonemics, J34 1170 3 but it cannot always be found without morphophonemics. J34 1180 1 And the more complex the morphophonemic system is in J34 1180 10 relation to the phonemic base, the less easily a phonemic J34 1190 10 system will be analysed without close attention to J34 1200 5 the morphophonemics- at least, the less satisfying J34 1210 2 will a phonemic statement be if it cannot be related J34 1210 12 through morphophonemic rules to grammatically meaningful J34 1220 6 structures. J34 1230 1 The design of orthographies has received much less J34 1230 9 attention from linguists than the problem deserves. J34 1240 6 There has been a tendency on the part of many American J34 1250 5 linguists to assume that a phonemic transcription will J34 1260 2 automatically be the best possible orthography and J34 1260 9 that the only real problem will then be the social J34 1270 8 one of securing acceptance. This seems naive. Most J34 1280 4 others have been content to give only the most general J34 1290 2 attention to the broadest and most obvious features J34 1290 10 of the phonology when designing orthographies. Apparently J34 1300 5 the feeling is that anything more would be involvement J34 1310 6 in technical abstrusenesses of possible pedantic interest J34 1320 3 but of no visible significance in practical affairs. J34 1330 1 The result of this attitude has been the domination J34 1330 10 of many orthography conferences by such considerations J34 1340 5 as typographic 'esthetics', which usually turns out J34 1350 5 to be nothing more than certain prejudices carried J34 1360 2 over from European languages. Many of the suggested J34 1360 10 systems seem to have only the most tenuous relationship J34 1370 9 to the language structures that they purport to represent. J34 1380 6 Linguists have not always been more enlightened than J34 1390 4 "practical people" and sometimes have insisted on incredibly J34 1400 3 trivial points while neglecting things of much greater J34 1410 1 significance. As a result, many people have been confirmed J34 1410 10 in their conviction that orthography design is not J34 1420 7 an activity to which experts can contribute anything J34 1430 4 but confusion. J34 1430 6 A& E& Sharp, in Vowel-Length and Syllabicity in J34 1440 7 Kikuyu, examines one set of related orthographic questions J34 1450 3 and its phonologic background in detail. His objective J34 1460 2 is merely to determine "what distinctions of length J34 1460 10 and syllabicity it may be desirable to make explicit J34 1470 9 in a Kikuyu orthography" (59). To do so, he finds it J34 1480 8 necessary to examine the relevant parts of the phonology J34 1490 5 thoroughly and in detail. In the process, he develops J34 1500 2 some very significant observations about problems of J34 1500 9 a sort that are often difficult. A few of his examples J34 1510 10 are of very great interest, and the whole discussion J34 1520 5 of some importance for theory. His orthographic recommendations J34 1530 2 are no simplistic acceptance of phonemics on the one J34 1540 3 hand or of superficiality on the other. Rather he weighs J34 1540 13 each phonologic fact in the light of its orthographic J34 1550 9 usefulness. He concludes that some changes can made J34 1560 6 in the current orthography which will appreciably improve J34 1570 3 its usefulness, but hesitates to suggest precise graphic J34 1580 2 devices to effect these changes. I hope his suggestions J34 1580 11 are given the consideration they deserve in Kikuyu J34 1590 8 circles. This, however, will not exhaust their practical J34 1600 6 usefulness, as they rather clearly indicate what thorough J34 1610 4 phonologic investigation can contribute to orthography J34 1620 1 design. We need many more studies of this sort if the J34 1620 12 design of written languages is to be put on a sound J34 1630 11 basis. J34 1630 12 One other paper deals with a phonologic problem: J34 1640 7 Vowel Harmony in Igbo, by J& Carnochan. This restates J34 1650 5 the already widely known facts in terms of prosodies. J34 1660 3 As a restatement it makes only a small contribution J34 1670 1 to knowledge of Igbo. But it would seem more intended J34 1670 11 as a tract advocating the prosodic theory than a paper J34 1680 7 directed to the specific problems of Igbo phonology. J34 1690 4 The paper has a certain value as a comparatively easy J34 1700 2 introduction to this approach, particularly since it J34 1700 9 treats a fairly simple and straightforward phenomenon J34 1710 7 where it is possible to compare it with a more traditional J34 1720 8 (though not structural) statement. It does show one J34 1730 5 feature of the system that has not been previously J34 1740 1 described. But it does not, as it claims, demonstrate J34 1740 10 that this could not be treated by traditional methods. J34 1750 7 It seems to me that it rather easily can. J34 1760 3 Five of the papers deal with grammatical problems. J34 1770 1 On the whole they maintain much the same high standard, J34 1770 11 but they are much more difficult to discuss in detail J34 1780 9 because of their wider variety of subject matter. My J34 1790 6 comments must be briefer than the papers deserve. J34 1800 2 W& H& Whiteley writes on The Verbal Radical in Iraqw. J34 1810 3 This must be considered primarily an amendment and J34 1810 11 supplement to his early A short Description of Item-Categories J34 1820 10 in Iraqw. It exhibits much the same descriptive technique J34 1830 8 and is open to much the same criticisms. The treatment J34 1840 6 seems unnecessarily loose-jointed and complex, largely J34 1850 4 because the method is lax and the analysis seems never J34 1860 2 to be pushed to a satisfactory or even a consistent J34 1860 12 stopping-point. J35 0010 1 There are more stems per item in Athabascan, which J35 0010 10 expresses the fact that the Athabascan languages have J35 0020 6 undergone somewhat more change in diverging from proto-Athabascan J35 0030 5 than the Yokuts languages from proto-Yokuts. This may J35 0040 3 be because the Athabascan divergence began earlier; J35 0050 1 or again because the Athabascan languages spread over J35 0050 9 a very much larger territory (including three wholly J35 0060 6 separated areas); or both. The differentiation however J35 0070 4 is not very much greater, as shown by the fact that J35 0080 4 Athabascan shows 3.46 stems per meaning slot as against J35 0090 1 2.75 for Yokuts, with a slightly greater number of J35 0090 10 languages represented in our sample: 24 as against J35 0100 7 21. (On deduction of one-eighth from 3.46, the stem/item J35 0110 4 rate becomes 3.03 against 2.75 in equivalent number J35 0120 1 of languages.) These general facts are mentioned to J35 0120 9 make clear that the total situation in the two families J35 0130 9 is similar enough to warrant comparison. J35 0140 2 The greatest difference in the two sets of figures J35 0150 1 is due to differences in the two sets of lists used. J35 0150 12 These differences in turn result from the fact that J35 0160 8 my Yokuts vocabularies were built up of terms selected J35 0170 6 mainly to insure unambiguity of English meaning between J35 0180 2 illiterate informants and myself, within a compact J35 0180 9 and uniform territorial area, but that Hoijer's vocabulary J35 0190 7 is based on Swadesh's second glottochronological list J35 0200 4 which aims at eliminating all items which might be J35 0210 6 culturally or geographically determined. Swadesh in J35 0220 2 short was trying to develop a basic list that was universal; J35 0230 1 I, one that was specifically adapted to the San Joaquin J35 0230 11 Valley. The result is that I included 70 animal names, J35 0240 9 but Swadesh only 4; and somewhat similarly for plants, J35 0250 6 16 as against 4. Swadesh, and therefore Hoijer, felt J35 0260 3 compelled to omit all terms denoting species or even J35 0270 1 genera (fox, vulture, salmon, yellow pine, manzanita); J35 0270 8 their classes of animal and plant terms are restricted J35 0280 9 to generalizations or recurrent parts (fish, bird, J35 0290 5 tree, grass, horn, tail, bark, root). The groups are J35 0300 4 therefore really non-comparable in content as well J35 0300 12 as in size. J35 0310 3 Other classes are included only by myself (interrogatives, J35 0320 1 adverbs) or only by Swadesh and Hoijer (pronouns, J35 0320 9 demonstratives). J35 0330 1 What we have left as reasonably comparable are four J35 0330 10 classes: (1) body parts and products, which with a J35 0340 9 proportionally nearly even representation (51 terms J35 0350 5 out of 253, 25 out of 100) come out with nearly even J35 0360 3 ratios; 2.6 and 2.7; (2) Nature (29 terms against 17), J35 0370 2 ratios 3.3 versus 4.1; (3) adjectives (16, 15 terms), J35 0370 11 ratios 3.9 versus 4.7; (4) verbs (9, 22 terms), ratios J35 0380 9 4.0 versus 3.4. J35 0390 1 It will be seen that where the scope is similar, J35 0390 10 the Athabascan ratios come out somewhat higher (as J35 0400 6 indeed they ought to with a total ratio of 2.8 as against J35 0410 5 3.5 or 4:5) except for verbs, where alone the Athabascan J35 0420 1 ratio is lower. This exception may be connected with J35 0420 10 Hoijer's use of a much higher percentage of verbs: J35 0430 9 22% of his total list as against 3.5% in mine. Or the J35 0440 9 exception may be due to a particular durability peculiar J35 0450 3 to the Athabascan verb. More word class ratios determined J35 0460 2 in more languages will no doubt ultimately answer the J35 0470 1 question. J35 0470 2 #5.# J35 0470 3 If word classes differ in their resistance or liability J35 0480 1 to stem replacement within meaning slot, it is conceivable J35 0480 10 that individual meanings also differ with fair consistence J35 0490 8 trans-lingually. Hoijer's Athabascan and my Yokuts J35 0500 6 share 71 identical meanings (with allowance for several J35 0510 4 near-synonyms like stomach-belly, big-large, long-far, J35 0520 3 many-much, die-dead, say-speak). For Yokuts, I tabulated J35 0530 3 these 71 items in five columns, according as they were J35 0530 13 expressed by 1, 2, 3, 4, and more than 4 stems. The J35 0540 12 totals for these five categories are not too uneven, J35 0550 7 namely 20, 15, 11, 16, 9 respectively. For Athabascan, J35 0560 3 with a greater range of stems, the first two of five J35 0570 3 corresponding columns were identical, 1 and 2 stems; J35 0570 11 the three others had to be spread somewhat, and are J35 0580 9 headed respectively **f; **f; and **f stems. While J35 0590 6 the particular limits of these groupings may seem artificially J35 0600 3 arbitrary; they do fairly express a corresponding grouping J35 0610 2 of more variable material, and they eventuate also J35 0610 10 in five classes, along a similar scale, containing J35 0620 7 approximately equal numbers of cases, namely 19, 14, J35 0630 6 15, 11, 12 in Athabascan. J35 0630 11 When now we count the frequency of the 71 items J35 0640 9 in the two language families appearing in the same J35 0650 4 column or grade, or one column or grade apart, or two J35 0660 2 or three or four, we find these differences: **f J35 0660 11 This distribution can be summarized by averaging J35 0670 6 the distance in grades apart: **f; which, divided by J35 0680 5 **f gives a mean of 1.07 grades apart. If the distribution J35 0690 3 of the 71 items were wholly concordant in the two families, J35 0700 1 the distance would of course be 0. If it were wholly J35 0700 12 random and unrelated, it would be 2.0, assuming the J35 0710 9 five classes were equal in ~n, which approximately J35 0720 4 they are. The actual mean of 1.07 being about halfway J35 0730 3 between 0 of complete correlation and 2.0 of no correlation, J35 0740 1 it is evident that there is a pretty fair degree of J35 0740 12 similarity in the behavior even of particular INDIVIDUAL J35 0750 8 items of meaning as regards long-term stem displacement. J35 0760 7 #6.# J35 0760 8 In 1960, David D& Thomas published Basic Vocabulary J35 0770 5 in some Mon-Khmer Languages ~AL 2, no& 3, pp& 7-11), J35 0780 8 which compares 8 Mon-Khmer languages with the ~I-E J35 0790 5 language data on which Swadesh based the revised retention J35 0800 1 rate (**f) in place of original (**f), and his revised J35 0800 11 100 word basic glottochronological list in Towards J35 0810 5 Greater Accuracy **h (~IJAL 21:121-137). Thomas' findings J35 0820 5 are, first, "that the individual items vary greatly J35 0830 4 and unpredictably in their persistence"; but, second, J35 0840 3 "that the semantic groups are surprisingly unvarying J35 0850 1 in their average persistence" (as between ~M-K and J35 0850 10 ~I-E. His first conclusion, on behavior of individual J35 0860 7 items, is negative, whereas mine (on Ath& and Yok&) J35 0870 6 was partially positive. His second conclusion, on semantic J35 0890 3 word classes, agrees with mine. This second conclusion, J35 0900 1 independently arrived at by independent study of material J35 0900 9 from two pairs of language families as different and J35 0910 8 remote from one another as these four are, cannot be J35 0920 7 ignored. J35 0920 8 Thomas also presents a simple equation for deriving J35 0930 5 an index of persistence, which weights not only the J35 0940 3 number of stems ('roots') per meaning, but their relative J35 0950 1 frequency. Thus his persistence values for some stem J35 0950 9 frequencies per meaning is: stem identical in 8 languages, J35 0960 8 100%; stem frequencies 7 and 1, 86%; stem frequencies J35 0970 7 4 and 4, 64%; stem frequencies 4, 3, and 1, 57%. His J35 0980 7 formula will have to be weighed, may be altered or J35 0990 3 improved, and it should be tested on additional bodies J35 0990 12 of material. But consideration of the frequency of J35 1000 8 stems per constant meaning seems to be established J35 1010 5 as having significance in comparative situations with J35 1020 2 diachronic and classificatory relevance; and Gleason J35 1030 1 presumably is on the way with a further contribution J35 1030 10 in this area. J35 1040 1 As to relative frequencies of competing roots (7-1 J35 1040 10 vs& 4-4, etc&), Thomas with his 'weighting' seems to J35 1050 7 be the first to have considered the significance this J35 1060 4 might have. The problem needs further exploration. J35 1070 2 I was at least conscious of the distinction in my full J35 1080 1 Yokuts presentation that awaits publication, in which, J35 1080 8 in listing 'Two-Stem Meanings', I set off by asterisks J35 1090 7 those forms in which ~n of stem ~B was **f of stem J35 1100 9 ~A/3, the unasterisked ones standing for **f; or under J35 1110 6 'Four Stems', I set off by asterisks cases where the J35 1120 4 combined ~n of stems **f was **f. J35 1120 11 #7.# J35 1120 12 These findings, and others which will in time be developed, J35 1130 10 will affect the method of glottochronological inquiry. J35 1140 6 If adjectival meanings show relatively low retentiveness J35 1150 4 of stems, as I am confident will prove to be the case J35 1160 5 in most languages of the world, why should our basic J35 1170 1 lists include 15 per cent of these unstable forms, J35 1170 10 but only 8 per cent of animals and plants which replace J35 1180 7 much more slowly? Had Hoijer substituted for his 15 J35 1190 5 adjectival slots 15 good animal and plant items, his J35 1200 2 rate of stem replacement would have been lower and J35 1200 11 the age of Athabascan language separation smaller. J35 1210 4 And irrespective of the outcome in centuries elapsed J35 1220 4 since splitting, calculations obviously carry more J35 1230 1 concordant and comparable meaning if they deal with J35 1230 9 the most stable units than with variously unstable J35 1240 5 ones. J35 1240 6 It is evident that Swadesh has not only had much J35 1250 6 experience with basic vocabulary in many languages J35 1260 1 but has acquired great tact and feeling for the expectable J35 1260 11 behavior of lexical items. Why then this urge to include J35 1270 10 unstable items in his basic list? It is the urge to J35 1280 10 obtain a list as free of geographical and cultural J35 1290 3 conditioning as possible. And why that insistence? J35 1300 1 It is the hope of attaining a list of items of UNIVERSAL J35 1300 13 occurrence. But it is becoming increasingly evident J35 1310 7 that such a hope is a snare. Not that such a list cannot J35 1320 9 be constructed; but the nearer it comes to attaining J35 1330 5 universality, the less significant will it be linguistically. J35 1340 2 Its terms will tend to be labile or vague, and they J35 1350 1 will fit actual languages more and more badly. J35 1350 9 The practical operational problem of lexicostatistics J35 1360 4 is the establishment of a basic list of items of meaning J35 1370 6 against which the particular forms or terms of languages J35 1380 3 can be matched as the medium of comparison. The most J35 1380 13 important quality of the meanings is that they should J35 1390 9 be as definable as possible. In proportion as meanings J35 1400 6 are concrete, we can better rely on their being insulated J35 1410 5 and distinctive. An elephant or a fox or a swan or J35 1420 2 a cocopalm or a banana possess in unusually high degree J35 1420 12 this quality of obvious, common-sense, indubitable J35 1430 6 IDENTITY, as do an eye or tooth or nail. They isolate J35 1440 7 out easily, naturally, and unambiguously from the continuum J35 1450 4 of nature and existence; and they should be given priority J35 1460 3 in the basic list as long as they continue to show J35 1460 14 these qualities. J35 1470 2 With the universal list as his weapon, Swadesh has J35 1480 1 extended his march of conquest farther and farther J35 1480 9 into the past, eight, ten, twelve millennia back. And J35 1490 6 he has proclaimed greater or less affiliation between J35 1500 3 all Western hemisphere languages. Some of this may J35 1510 2 prove to be true, or even considerable of it, whether J35 1510 12 by genetic ramification or by diffusion and coalescence. J35 1520 7 But the farther out he moves, the thinner will be his J35 1530 7 hold on conclusive evidence, and the larger the speculative J35 1540 3 component in his inferences. He has traversed provinces J35 1550 1 and kingdoms, but he has not consolidated them behind J35 1550 10 him, nor does he control them. He has announced results J35 1560 9 on Hokan, Penutian, Uto-Aztecan, and almost all other J35 1570 7 American families and phyla, and has diagrammed their J35 1580 4 degree of interrelation; but he has not worked out J35 1590 2 by lexicostatistics one comprehensively complete classification J35 1590 8 of even a single family other than Salish. That is J35 1600 10 his privilege. The remote, cloudy, possible has values J35 1610 6 of its own- values of scope, stimulus, potential, and J35 1620 4 imagination. But there is also a firm aspect to lexicostatistics: J35 1630 3 the aspect of learning the internal organization of J35 1640 2 obvious natural genetic groups of languages as well J35 1640 10 as their more remote and elusive external links; of J35 1650 7 classification first, with elapsed age merely a by-product; J35 1660 6 of acquiring evidential knowledge of what happened J35 1670 3 in Athabascan, in Yokuts, in Uto-Aztecan in the last J35 1680 1 few thousand years as well as forecasting what more J35 1680 10 anciently may have happened between them. This involves J35 1690 6 step-by-step progress, and such will have to be the J35 1700 6 day-by-day work of lexicostatistics as a growing body J35 1710 2 of scientific inquiry. If of the founders of glottochronology J35 1720 1 Swadesh has escaped our steady plodding, and Lees has J35 1720 10 repudiated his own share in the founding, that is no J35 1730 9 reason why we should swerve. J35 1740 1 #8.# J35 1740 1 There is no apparent reason why we should feel bound J35 1740 11 by Swadesh's rules and procedure since his predilections J35 1750 7 and aims have grown so vast. It seems time to consider J35 1760 8 a revision of operational procedures for lexicostatistic J35 1770 3 studies on a more humble, solid, and limited basis. J35 1780 1 I would propose, first, an abandonment of attempts J35 1780 9 at a universal lexical list, as intrinsically unachievable, J35 1790 7 and operationally inadequate in proportion as it is J35 1800 7 achieved. J35 1800 8 I would propose, next, as the prime requirement J35 1810 6 for constitution of new basic lists, items whose forms J35 1820 4 show as high an empirical retention rate as possible. J35 1830 1 There would be no conceivable sense in going to the J35 1830 11 opposite extreme of selecting items whose forms are J35 1840 7 the most unstable. An attempted middle course might J35 1850 4 lead to devices like a 5000-word alphabetized dictionary J35 1860 1 from which every fiftieth word was selected. J36 0010 1 Doubtless it was inevitable that differences of J36 0010 8 opinion should arise about the methods for applying J36 0020 7 these policies. It was nevertheless almost incredible J36 0030 3 that four years after Yalta there should be a complete J36 0040 2 split over Germany, with hot heads on both sides planning J36 0040 12 to use the Germans against their former allies, and J36 0050 9 with Nazi-minded Germans expecting to recover their J36 0060 5 power by fighting on one side or the other. J36 0070 2 #5. POLAND# J36 0070 4 _FRONTIERS._ J36 0070 5 When the Yalta Conference opened, the American policy J36 0080 5 of postponing all discussion of Russia's western boundaries J36 0090 3 until the peace conference had broken down. Starting J36 0100 1 in great force late in December, from a line stretching J36 0100 11 from East Prussia to Budapest, the Red armies had swept J36 0110 10 two hundred miles across Poland to the Oder, thirty J36 0120 7 miles from Berlin, and the Upper Danube region was J36 0130 4 being rapidly overrun, while the Western Allies had J36 0140 2 not yet occupied all of the left bank of the Rhine. J36 0140 13 The long delay in opening the Second Front was now J36 0150 9 working to Russia's advantage. J36 0160 1 The West was now glad to propose the 1919 Curzon J36 0160 11 Line, which was substantially Russia's 1941 border, J36 0170 7 as the boundary between Russia and Poland. When this J36 0180 6 proposal was made, Stalin spoke with stronger emotion J36 0190 4 than at any other time during the Conference. He stood J36 0200 3 up to emphasize his strong feeling on the subject. J36 0200 12 The bitter memory of Russia's exclusion from the Paris J36 0210 8 Peace Conference and of the West's effort to stamp J36 0220 8 out Bolshevism at its birth boiled up within him. "You J36 0230 5 would drive us into shame", he declared. The White J36 0240 3 Russians and the Ukrainians would say that Stalin and J36 0240 12 Molotov were far less reliable defenders of Russia J36 0250 8 than Curzon and Clemenceau. J36 0260 1 Yet after long and earnest discussion Stalin accepted J36 0270 1 the Curzon Line and even agreed voluntarily that there J36 0270 10 should be digressions from that line of five to eight J36 0280 9 kilometers in favor of Poland in some regions. He did J36 0290 6 not mind the Line itself, which Churchill declared J36 0300 2 in the House of Commons, on February 27, 1945, he had J36 0310 1 always believed to be "just and right", but he did J36 0310 11 not want it called by a hated name. The West had long J36 0320 9 since forgotten the events of 1919, but it was not J36 0330 7 so easy for the Red leaders, who felt that they had J36 0340 2 suffered great injustice in that period. J36 0340 8 In the Dunn-Atherton memorandum of February 4, 1942, J36 0350 6 the State Department had expected to be able to hold J36 0360 6 Russia in check by withholding agreement to her 1941 J36 0370 3 boundaries. Now Stalin made it clear that he meant J36 0370 12 to move Poland's western borders deep into Germany, J36 0380 7 back to the western Neisse-Oder River lines, taking J36 0390 6 not only East Prussia and all of Silesia but Pomerania J36 0400 4 and the tip of Brandenburg, back to and including Stettin. J36 0410 2 From six to nine million additional Germans would be J36 0420 1 evicted, though most would have fled, and Poland would J36 0420 10 receive far more from Germany than the poor territories, J36 0430 7 including the great Pripet Marshes, which she lost J36 0440 5 to Russia. Stalin declared that he preferred to continue J36 0450 3 the war a little longer, "although it costs us blood", J36 0460 1 in order to give Poland compensation in the West at J36 0460 11 the expense of the Germans. J36 0470 4 By this time Churchill was not so cordial toward J36 0480 1 moving Poland westward as he had been at Teheran, where J36 0480 11 he and Eden had both heartily approved the idea. After J36 0490 9 "a prolonged study of the Oder line on a map", at Teheran, J36 0500 10 Churchill "liked the picture". He would tell the Poles, J36 0510 7 he said, that they had been "given a fine place to J36 0520 5 live in, more than three hundred miles each way". At J36 0530 2 Yalta he thought more about the six million Germans J36 0530 11 who would have to leave, trying to find work in Germany, J36 0540 10 and Roosevelt objected to the Western Neisse River J36 0550 6 being chosen in the south, instead of the Eastern Neisse, J36 0560 5 both of which flow into the Oder. J36 0560 12 The issue was left in abeyance, presumably for the J36 0570 9 peace conference. However, there was no real question J36 0580 6 of the justice of creating a strong Poland, both industrially J36 0590 4 and agriculturally, and one unplagued by large minorities J36 0600 2 of Germans or Russians. The moving of millions of the J36 0610 1 German master-race, from the very heart of Junkerdom, J36 0610 10 to make room for the Polish Slavs whom they had enslaved J36 0620 9 and openly planned to exterminate was a drastic operation, J36 0630 5 but there was little doubt that it was historically J36 0640 3 justified. J36 0640 4 _GOVERNMENT._ J36 0640 5 Of more importance to the West than Poland's boundaries J36 0650 6 was the character of her government. At Yalta the West J36 0660 5 still believed that Eastern Europe could be kept in J36 0670 4 its orbit, in spite of the onrushing Soviet armies. J36 0670 13 Though little democracy had ever been practised in J36 0680 8 this region, and much of it was still ruled by feudalistic J36 0690 7 means, it was taken for granted that at least the forms J36 0700 5 of Western democracy would be established in this area J36 0710 2 and Western capitalism preserved within it. Believing J36 0710 9 devoutly as they did in Anglo-Saxon institutions, it J36 0720 9 was important to both Roosevelt and Churchill that J36 0730 5 the Poles should have them. J36 0730 10 The issue was acute because the exiled Polish Government J36 0740 9 in London, supported in the main by Britain, was still J36 0750 8 competing with the new Lublin Government formed behind J36 0760 4 the Red Army. More time was spent in trying to marry J36 0770 4 these imcompatibles than over any subject discussed J36 0770 11 at Yalta. The result was an agreement that the Lublin J36 0780 10 Government should be "reorganized on a broader democratic J36 0790 7 basis with the inclusion of democratic leaders from J36 0800 5 Poland itself and from the Poles abroad", and pledged J36 0810 3 to hold "free and unfettered elections as soon as possible J36 0820 1 on the basis of universal suffrage and secret ballot". J36 0820 10 All "democratic and anti-Nazi parties" were to have J36 0830 9 the right to campaign. J36 0840 1 Roosevelt acted as moderator of the long debate J36 0840 9 on this issue. It was a matter of principle with Churchill, J36 0850 10 since Britain had declared war in behalf of Poland. J36 0860 7 To Stalin it was a matter of life and death. He made J36 0870 6 this completely clear. Speaking with "great earnestness", J36 0880 2 he said: "For the Russian people, the question of Poland J36 0890 3 is not only a question of honor but also a question J36 0890 14 of security. Throughout history, Poland has been the J36 0900 7 corridor through which the enemy has passed into Russia. J36 0910 7 Twice in the last thirty years our enemies, the Germans, J36 0920 4 have passed through this corridor. It is in Russia's J36 0930 2 interest that Poland should be strong and powerful, J36 0930 10 in a position to shut the door of this corridor by J36 0940 10 her own force **h. It is necessary that Poland should J36 0950 6 be free, independent in power. Therefore, it is not J36 0960 4 only a question of honor but of life and death for J36 0960 15 the Soviet state". J36 0970 3 In other words, the Soviet Union was determined J36 0980 1 to create a Poland so strong as to be a powerful bulwark J36 0980 13 against Germany and so closely tied to Russia that J36 0990 9 there would never be any question of her serving as J36 1000 6 a cordon sanitaire against the Soviets or posing as J36 1010 4 an independent, balancing power in between Russia and J36 1020 1 Germany. Byrnes says that invariably thereafter the J36 1020 8 Soviets used the same security argument to justify J36 1030 7 their course in Poland. This reasoning was also as J36 1040 4 inevitable as anything could be. Any free elections J36 1050 1 that were to be held in Poland would have to produce J36 1050 12 a government in which Moscow had complete confidence, J36 1060 7 and all pressure from the West for free voting by anti-Soviet J36 1070 7 elements in Poland would be met by restrictions on J36 1080 3 voting by these elements. J36 1080 7 #6. LIBERATED EUROPE# J36 1090 1 In even greater degree the same rule applied to the J36 1090 11 remainder of Eastern Europe, where the upper classes J36 1100 6 had generally collaborated with the Nazis, even to J36 1110 5 the extent of sending millions of their peasants into J36 1120 1 Russia as a part of Hitler's armies. But at Yalta the J36 1120 12 conflicting expectations of East and West were merged J36 1130 8 into an agreement by the Big Three to assist all liberated J36 1140 8 countries in Europe "to create democratic institutions J36 1160 3 of their own choice". In any case "where in their judgment J36 1170 4 conditions require" [italics added] they would "form J36 1180 3 interim governmental authorities broadly representative J36 1190 1 of all democratic elements in the population and pledged J36 1190 10 to the earliest possible establishment through free J36 1200 5 elections of governments responsive to the will of J36 1210 5 the people". Other similar affirmations in the Declaration J36 1220 2 on Liberated Europe seemed to assure democratic institutions J36 1230 1 on the Western model. Later it developed that the Soviets J36 1230 11 had a very different interpretation of democracy, which J36 1240 8 will be discussed later, and their judgment never told J36 1250 7 them that the Big Three should unite in establishing J36 1260 4 democratic conditions, as we understand them, within J36 1270 2 their zone of influence. J36 1270 6 Professor McNeill thinks that at Yalta, Stalin did J36 1280 5 not fully realize the dilemma which faced him, that J36 1290 2 he thought the exclusion of the anti-Soviet voters J36 1290 11 from East European elections would not be greatly resented J36 1300 7 by his allies, while neither Roosevelt nor Churchill J36 1310 5 frankly faced "the fact that, in Poland at least, genuinely J36 1320 4 free democratic elections would return governments J36 1330 1 unfriendly to Russia", by any definition of international J36 1330 9 friendliness. Also war-time propaganda and cooperation J36 1340 7 had "obscured the differences between Russian and Western J36 1350 7 ideas of democracy", and it seemed better to have them J36 1360 8 covered by verbal formulae than to imperil the military J36 1370 3 victories over Germany and Japan. J36 1370 8 The application of these formulae could not please J36 1380 7 both sides, for they really attempted to marry the J36 1390 5 impossible to the inevitable. While obliged to concede J36 1400 3 governments in East Europe allied with the Soviet Union J36 1410 1 instead of opposed to it, we thought we had preserved J36 1410 11 our social and economic system in East Europe. J36 1420 6 This illusion was described in a far-sighted editorial J36 1430 6 in the New York Herald Tribune, on March 5, 1947, in J36 1440 5 connection with the submission of the satellite peace J36 1450 1 treaties to the Senate. In doing so Marshall and Byrnes J36 1450 11 were "asking for the ratification of a grim lesson J36 1460 8 in the facts of international life". We had entertained J36 1470 5 exaggerated ideas about our victory automatically establishing J36 1480 3 our system throughout the world. "We were troubled J36 1490 3 about the fate of the Baltic States. Yalta left us J36 1490 13 with comforting illusions of a Western capitalist-democratic J36 1500 8 political economy reigning supreme up to the Curzon J36 1510 8 line and the borders of Bessarabia". [Italics added.] J36 1520 3 This is a penetrating description of our post-war J36 1530 5 illusion, which applied to other areas than East Europe. J36 1540 2 The same editorial continued that "We expected to democratize J36 1550 1 Japan and Korea and to see a new China pattern itself J36 1550 12 easily on our institutions. We expected, in short, J36 1560 8 that most of the world would make itself over in our J36 1570 7 image and that it would be relatively simple, from J36 1580 2 such a position, to deal with the localized aberrations J36 1580 11 of the Soviet Union". Yet actually "the image corresponded J36 1590 9 in no way to the actualities of the post-war world. J36 1600 10 Neither our military, our economic nor our ideological J36 1610 5 power reached far enough" to determine the fate of J36 1620 4 East Europe. Then the editorial added prophetically: J36 1630 1 "how far they may reach in Asia is yet undetermined, J36 1630 11 but they fall far short of our dreams of the war conferences". J36 1640 10 Here is the best short explanation of the origins J36 1650 8 of the Cold War that has been written. Failing to heed J36 1660 5 the lesson so clearly contained in the satellite treaties, J36 1670 2 President Truman re-declared the Cold War on March J36 1680 1 12, 1947, in the Truman Doctrine, exactly one week J36 1680 10 after the Herald Tribune editorial was written, and J36 1690 6 a year after the Cold War had been announced by Churchill J36 1700 6 at Fulton, Missouri, in Truman's presence. Then China J36 1710 4 promptly went Communist, and Mr& Truman had to fight J36 1720 4 the interminable Korean war for the democratization J36 1720 11 of Korea before we learned how far our writ did "reach J36 1730 11 in Asia". J36 1740 1 Years of war, strain, and hatred; of heavy arms J36 1740 10 expenditures and constant danger of another world war J36 1750 8 had to ensue before the United States could bring itself J36 1760 5 to accept the two chief results of World War /2,- Communist J36 1770 4 control of East Europe and China. J36 1780 1 _A NEW BALANCE OF POWER._ J36 1780 5 While the Cold War raged it was easy to blame it J36 1790 2 all on Yalta. Yet, in summarizing a series of careful J36 1790 12 essays on the Yalta Conference, Forrest Pogue could J36 1800 8 find no basis for Yalta becoming "a symbol for betrayal J36 1810 6 and a shibboleth for the opponents of Roosevelt and J36 1820 4 international cooperation". When the Yalta Papers were J36 1830 2 finally published with great fanfare they had revealed J36 1830 10 no betrayal by anyone. J37 0010 1 An analysis of the election falls naturally in four J37 0010 10 parts. First is the long and still somewhat obscure J37 0020 8 process of preparation, planning and discussion. Preparation J37 0030 4 began slightly more than a year after independence J37 0040 2 with the first steps to organize rural communes. All J37 0050 1 political interests supported electoral planning, although J37 0050 7 there are some signs that the inherent uncertainties J37 0060 6 of a popular judgment led to some procrastination. J37 0070 3 The second major aspect of the election is the actual J37 0080 2 procedure of registration, nomination and voting. Considerable J37 0090 1 technical skill was used and the administration of J37 0090 9 the elections was generally above reproach. However, J37 0100 5 the regionally differentiated results, which appear J37 0110 3 below in tables, are interesting evidence of the problems J37 0120 1 of developing self-government under even the most favorable J37 0120 10 circumstances. A third aspect, and probably the one J37 0130 8 open to most controversy, is the results of the election. J37 0140 7 The electoral procedure prevented the ready identification J37 0150 4 of party affiliation, but all vitally interested parties, J37 0160 2 including the government itself, were busily engaged J37 0160 9 in determining the party identifications of all successful J37 0170 8 candidates the month following the elections. The fourth J37 0180 7 and concluding point will be to estimate the long-run J37 0190 7 significance of the elections and how they figure in J37 0200 3 the current pattern of internal politics. J37 0200 9 Elections have figured prominently in nearly every J37 0210 7 government program and official address since independence. J37 0220 4 They were stressed in the speeches of Si Mubarak Bekkai J37 0230 5 when the first Council of Ministers was formed and J37 0240 2 again when the Istiqlal took a leading role in the J37 0240 12 second Council. King Muhammad /5, was known to be most J37 0250 9 sympathetic to the formation of local self-government J37 0260 5 and made the first firm promise of elections on May J37 0270 3 Day, 1957. There followed a long and sometimes bitter J37 0280 1 discussion of the feasibility of elections for the J37 0280 9 fall of 1957, in which it appears that the Minister J37 0290 7 of the Interior took the most pessimistic view and J37 0300 3 that the Istiqlal was something less than enthusiastic. J37 0310 1 Since the complicated process of establishing new communes J37 0310 9 and reviewing the rudimentary plan left by the French J37 0320 9 did not even begin until the fall of 1957, this goal J37 0330 8 appears somewhat ambitious. J37 0340 1 From the very beginning the electoral discussions J37 0340 7 raised fundamental issues in Moroccan politics, precisely J37 0350 5 the type of questions that were most difficult to resolve J37 0360 5 in the new government. Until the Charter of Liberties J37 0370 3 was issued in the fall of 1958, there were no guarantees J37 0380 1 of the right to assemble or to organize for political J37 0380 11 purposes. The Istiqlal was still firmly united in 1957, J37 0390 8 but the P&D&I& (Parti Democratique de l'Independance), J37 0400 4 the most important minor party at the time, objected J37 0410 6 to the Istiqlal's predominance in the civil service J37 0420 3 and influence in Radio Maroc. There were rumors that J37 0430 1 the Ministry of the Interior favored an arbitrary, J37 0430 9 "non-political" process, which were indirectly affirmed J37 0440 6 when the King personally intervened in the planned J37 0450 4 meetings. The day following his intervention the palace J37 0460 3 issued a statement reassuring the citizens that "**h J37 0460 11 the possibility of introducing appeals concerning the J37 0470 7 establishment of electoral lists, lists of candidates J37 0480 5 and finally the holding of the consultation itself J37 0490 2 **h" would be supported by the King himself. J37 0500 1 The Ifni crisis in the fall of 1957 postponed further J37 0500 10 consideration of elections, but French consultants J37 0510 6 were called in and notices of further investigation J37 0520 2 appeared from time to time. In January, 1958, the Minister J37 0530 2 of the Interior announced that an election law was J37 0530 11 ready to be submitted to the King, the rumors of election J37 0540 11 dates appeared once again, first for spring of 1958 J37 0550 7 and later for the summer. Although the government was J37 0560 4 probably prepared for elections by mid-1958, the first J37 0570 2 decision was no doubt made more difficult as party J37 0570 11 strife multiplied. In late 1957 the M&P& (Mouvement J37 0580 7 Populaire) appeared and in the spring of 1958 the internal J37 0590 9 strains of the Istiqlal was revealed when the third J37 0600 5 Council of Government under Balafrej was formed without J37 0610 2 support from progressive elements in the party. The J37 0610 10 parties were on the whole unprepared for elections, J37 0620 8 while the people were still experiencing post-independence J37 0630 5 let-down and suffering the after effects of poor harvests J37 0640 5 in 1957. J37 0640 7 Despite the internal and international crises that J37 0650 3 harassed Morocco the elections remained a central issue. J37 0660 2 They figured prominently in the Balafrej government J37 0660 9 of May, 1958, which the King was reportedly determined J37 0670 8 to keep in office until elections could be held. But J37 0680 6 the eagerly sought "homogeneity" of the Balafrej Council J37 0690 5 of Government was never achieved as the Istiqlal quarreled J37 0700 2 over foreign policy, labor politics and economic development. J37 0710 1 By December, 1958, when 'Abdallah Ibrahim became President J37 0720 1 of the Council, elections had even greater importance. J37 0720 9 They were increasingly looked upon as a means of establishing J37 0730 9 the new rural communes as the focus of a new, constructive J37 0740 9 national effort. To minimize the chances of repeating J37 0750 5 the Balafrej debacle the Ibrahim government was formed J37 0760 3 a titre personnel and a special office was created J37 0770 1 in the Ministry of the Interior to plan and to conduct J37 0770 12 the elections. By this time there is little doubt but J37 0780 9 what election plans were complete. There remained only J37 0790 4 the delicate task of maneuvering the laws through the J37 0800 3 labyrinth of Palace politics and making a small number J37 0801 1 of policy decisions. J37 0810 3 From the rather tortuous history of electoral planning J37 0820 2 in Morocco an important point emerges concerning the J37 0820 10 first elections in a developing country and evaluating J37 0830 8 their results. In the new country the electoral process J37 0840 7 is considered as a means of resolving fundamental, J37 0850 2 and sometimes bitter, differences among leaders and J37 0860 1 also as a source of policy guidance. In the absence J37 0860 11 of a reservoir of political consensus each organized J37 0870 6 political group hopes that the elections will give J37 0880 3 them new prominence, but in a system where there is J37 0890 1 as yet no place for the less prominent. Lacking the J37 0890 11 respected and effective institutions that consensus J37 0900 4 helps provide, minority parties, such as the P&D&I& J37 0910 4 in 1957 and the progressive Istiqlal faction in 1958, J37 0920 3 clamor for elections when out of power, but are not J37 0920 13 at all certain they wish to be controlled by popular J37 0930 9 choice when in power. Those in power tend to procrastinate J37 0940 6 and even to repudiate the electoral process. The tendency J37 0950 4 to treat elections as an instrument of self-interest J37 0960 1 rather than an instrument of national interest had J37 0960 9 two important effects on electoral planning in Morocco. J37 0970 6 At the central level the scrutin uninominal voting J37 0980 5 system was selected over some form of the scrutin de J37 0990 5 liste system, even though the latter had been recommended J37 1000 2 by Duverger and favored by all political parties. The J37 1010 1 choice of the single member district was dictated to J37 1010 10 a certain extent by problems of communication and understanding J37 1020 7 in the more remote areas of the country, but it also J37 1030 7 served to minimize the national political value of J37 1040 3 the elections. Although the elections were for local J37 1040 11 officials, it was not necessary to conduct the elections J37 1050 9 so as to prevent parties from publicly identifying J37 1060 4 their candidates. With multiple member districts the J37 1070 3 still fragmentary local party organizations could have J37 1080 1 operated more effectively and parties might have been J37 1080 9 encouraged to state their positions more clearly. Both J37 1090 7 parties and the Ministry of the Interior were busily J37 1100 5 at work after the elections trying to unearth the political J37 1110 3 affiliations of the successful candidates and, thereby, J37 1120 1 give the elections a confidential but known degree J37 1120 9 of national political significance. Since a national J37 1130 5 interpretation cannot be avoided it is unfortunate J37 1140 4 that the elections were not held in a way to maximize J37 1150 1 party responsibility and the educational effect of J37 1150 8 mass political participation. J37 1160 1 The general setting of the Moroccan election may J37 1170 1 also encourage the deterioration of local party organization. J37 1170 9 The concentration of effective power in Rabat leads J37 1180 7 not only to party bickering, but to distraction from J37 1190 5 local activity that might have had many auxiliary benefits J37 1200 3 in addition to contributing to more meaningful elections. J37 1210 1 Interesting evidence can be found in the results of J37 1210 10 the Chamber of Commerce elections, which took place J37 1220 7 three weeks before national elections. The Istiqlal J37 1230 4 sponsored U&M&C&I&A& (L'Union Marocaine des Commercants, J37 1240 4 Industrialistes et Artisans) was opposed by candidates J37 1250 5 of the new U&N&F&P& (L'Union National des Forces Populaires) J37 1260 5 in nearly all urban centers. As the more conservative J37 1270 5 group with strong backing from wealthy businessmen, J37 1280 2 the U&M&C&I&A& was generally favored against the more J37 1290 4 progressive, labor-based U&N&F&P& The newer party campaigned J37 1300 4 heavily, while the older, more confident party expected J37 1310 2 the Moroccan merchants and small businessmen to support J37 1310 10 them as they had done for many years. The local Istiqlal J37 1320 11 and U&M&C&I&A& offices did not campaign and lost heavily. J37 1330 8 The value of the elections was lost, both as an experiment J37 1340 11 in increased political participation and as a reliable J37 1350 6 indicator of commercial interest, as shown in Table J37 1360 5 /1,. J37 1360 6 The chamber of Commerce elections were, of course, J37 1370 4 an important event in the preparation for rural commune J37 1380 1 elections. The U&N&F&P& learned that its urban organization, J37 1390 1 which depends heavily on U&M&T& support, was most effective. J37 1400 2 The Istiqlal found that the spontaneous solidarity J37 1400 9 of the independence struggle was not easily transposed J37 1410 8 to the more concrete, precise problems of internal J37 1420 5 politics. The overall effect was probably to stimulate J37 1430 3 more party activity in the communal elections than J37 1440 1 might have otherwise taken place. J37 1440 6 A second major point of this essay is to examine J37 1450 5 the formal arrangements for the elections. Although J37 1460 1 a somewhat technical subject, it has important political J37 1460 9 implications as the above discussion of the voting J37 1470 8 system indicated. Furthermore, the problems and solutions J37 1480 5 devised in the electoral experiences of the rapidly J37 1490 3 changing countries are often of comparative value and J37 1490 11 essential to evaluating election results. The sine J37 1500 7 qua non of the elections was naturally an impartial J37 1510 5 and standardized procedure. As the background discussion J37 1520 3 indicated there were frequently expressed doubts that J37 1530 2 a government dominated by either party could fairly J37 1530 10 administer elections. The P&D&I& and later the Popular J37 1540 8 Movement protected the Istiqlal's "privileged position" J37 1550 5 until the fall of Balafrej, and then the Istiqlal used J37 1560 7 the same argument, which it had previously ignored, J37 1570 3 against the pro-U&N&F&P& tendencies of the Ibrahim J37 1580 4 government. J37 1580 5 The bulk of the preparation had, of course, proceeded J37 1590 4 under the supervision of the Ministry of the Interior, J37 1600 1 whose officials are barred from party activity and J37 1600 9 probably generally disinterested in party politics. J37 1610 5 Apart from some areas of recurring trouble, like Bani J37 1620 4 Mellal, where inexperienced officials had been appointed, J37 1630 3 there is little evidence that local officials intervened J37 1640 1 in the electoral process. Centrally, however, the administrative J37 1650 1 problem was more complex and the sheer prestige of J37 1650 10 office was very likely an unfair advantage. The King J37 1660 6 decided to remove Ibrahim a week before elections and J37 1670 4 to institute a non-party Council of Government under J37 1680 2 his personal direction. Although the monarch had frequently J37 1680 10 asserted that the elections were to be without party J37 1690 9 significance, his action was an implicit admission J37 1700 5 that party identifications were a factor. The new Council J37 1710 4 was itself inescapably of political meaning, which J37 1720 1 was most clearly revealed in the absence of any U&N&F&P& J37 1730 1 members and the presence of several Istiqlal leaders. J37 1730 9 Since the details of the elections were settled the J37 1740 8 change of government had no direct effect on the technical J37 1750 6 aspects of the elections, and may have been more important J37 1760 3 as an indication of royal displeasure with the U&N&F&P& J37 1770 1 Voting preparations began in the fall of 1959, although J37 1780 2 the actual demarcation and planning for the rural communes J37 1790 1 was completed in 1958. There were three major administrative J37 1790 10 tasks: the fixing of electoral districts, the registration J37 1800 8 of voters and the registration of candidates. Voter J37 1810 5 registration began in late November 1959 and continued J37 1820 4 until early January, 1960. The government was most J37 1830 2 anxious that there be a respectable response. Periodic J37 1830 10 bulletins of the accomplishment in each province made J37 1840 8 the registration process into a kind of competition J37 1850 6 among provincial officials. A goal was fixed, as given J37 1860 3 in Table 2, and attention focused on its fulfillment. J37 1860 12 The qualifications to vote were kept very simple. Both J37 1870 9 men and women of twenty-one years of age could register J37 1880 8 and vote upon presenting proof of residence and identification. J37 1890 5 There were liberal provisions for dispensation where J37 1900 3 documents or records were lacking. The police were J37 1910 1 disqualified along with certain categories of naturalized J37 1910 8 citizens, criminals and those punished for Protectorate J37 1920 6 activities. J37 1920 7 The registration figures given in Table 2 must be J37 1930 9 interpreted with caution since the estimate for eligible J37 1940 6 electors were made without the benefit of a reliable J37 1950 4 census. J38 0010 1 Unemployed older workers who have no expectation J38 0010 8 of securing employment in the occupation in which they J38 0020 7 are skilled should be able to secure counseling and J38 0030 4 retraining in an occupation with a future. Some vocational J38 0040 2 training schools provide such training, but the current J38 0050 1 need exceeds the facilities. J38 0050 5 _CURRENT PROGRAMS_ J38 0050 7 The present Federal program of vocational education J38 0060 5 began in 1917 with the passage of the Smith-Hughes J38 0070 4 Act, which provided a continuing annual appropriation J38 0080 1 of $7 million to support, on a matching basis, state-administered J38 0090 1 programs of vocational education in agriculture, trades, J38 0090 8 industrial skills and home economics. Since 1917 some J38 0100 7 thirteen supplementary and related acts have extended J38 0110 4 this Federal program. The George-Barden Act of 1946 J38 0120 4 raised the previous increases in annual authorizations J38 0120 11 to $29 million in addition to the $7 million under J38 0130 10 the Smith Act. The Health Amendment Act of 1956 added J38 0140 7 $5 million for practical nurse training. J38 0150 2 The latest major change in this program was introduced J38 0160 1 by the National Defense Education Act of 1958, Title J38 0160 10 /8, of which amended the George-Barden Act. Annual J38 0170 8 authorizations of $15 million were added for area vocational J38 0180 7 education programs that meet national defense needs J38 0190 3 for highly skilled technicians. J38 0190 7 The Federal program of vocational education merely J38 0200 6 provides financial aid to encourage the establishment J38 0210 3 of vocational education programs in public schools. J38 0220 2 The initiative, administration and control remain primarily J38 0230 1 with the local school districts. Even the states remain J38 0230 10 primarily in an assisting role, providing leadership J38 0240 6 and teacher training. J38 0250 1 Federal assistance is limited to half of the total J38 0250 9 expenditure, and the state or local districts must J38 0260 6 pay at least half. The state may decide to encourage J38 0270 3 local programs by paying half of the cost, or the state J38 0280 1 may require the local district to bear this half or J38 0280 11 some part of it. Throughout the history of the program, J38 0290 7 state government expenditures in the aggregate have J38 0300 5 usually matched or exceeded the Federal expenditures, J38 0310 1 while local districts all together have spent more J38 0310 9 than either Federal or state governments. Today, Federal J38 0320 7 funds account for only one-fifth of the nation's expenditures J38 0330 7 for vocational education. The greatest impact of the J38 0340 5 matching-fund principle has been in initially encouraging J38 0350 2 the poorest states and school districts to spend enough J38 0360 1 to obtain their full allocation of outside funds. J38 0360 9 National defense considerations have been the major J38 0370 6 reason behind most Federal training expenditures in J38 0380 4 recent decades. During World War /2, about 7.5 million J38 0390 3 persons were enrolled in courses organized under two J38 0390 11 special programs administered by state and local school J38 0400 8 authorities: (1) Vocational Education for National J38 0410 5 Defense, and (2) War Production Training. The total J38 0420 4 cost of the five-year program was $297 million. For J38 0430 2 the Smith-Hughes, George-Barden, and National Defense J38 0440 1 Act of 1958, the cumulative total of Federal expenditures J38 0440 10 in 42 years was only about $740 million. J38 0450 6 No comparable measures are available of enrollments J38 0460 3 and expenditures for private vocational education training. J38 0470 2 There are a great number and variety of private commercial J38 0480 1 schools, trade schools and technical schools. In addition, J38 0480 9 many large corporations operate their own formal training J38 0490 7 programs. A recent study indicated that 85 per cent J38 0500 6 of the nation's largest corporations conducted educational J38 0510 3 programs involving some class meetings and examinations. J38 0520 1 Most skilled industrial workers, nevertheless, still J38 0530 1 acquire their skills outside of formal training institutions. J38 0530 9 The National Manpower Council of Columbia University J38 0540 6 has estimated that three out of five skilled workers J38 0550 7 and one out of five technicians have not been formally J38 0560 4 trained. J38 0560 5 There is little doubt that the students benefit J38 0570 2 from vocational education. Employers prefer to hire J38 0570 9 youth with such training rather than those without, J38 0580 8 and most graduates of vocational training go to work J38 0590 6 in jobs related to their training. Vocational educators J38 0600 2 do not claim that school training alone makes skilled J38 0610 1 workers, but it provides the essential groundwork for J38 0610 9 developing skills. J38 0620 1 In most states, trade and industrial training is J38 0620 9 provided in a minority of the high schools, usually J38 0630 9 located in the larger cities. In Arkansas fewer than J38 0640 5 6 per cent of the high schools offer trade and industrial J38 0650 3 courses. In Illinois about 13 per cent of the schools J38 0660 1 have programs, and in Pennsylvania 11 per cent. J38 0660 9 An important recent trend is the development of J38 0670 7 area vocational schools. For a number of years Kentucky, J38 0680 6 Louisiana and several other states have been building J38 0690 3 state-sponsored vocational education schools that serve J38 0700 1 nearby school districts in several counties. These J38 0700 8 schools are intended to provide the facilities and J38 0710 6 specialized curriculum that would not be possible for J38 0720 4 very small school districts. Transportation may be J38 0730 1 provided from nearby school districts. Courses are J38 0730 8 provided mainly for post high school day programs; J38 0740 6 but sometimes arrangements also are made for high school J38 0750 5 students to attend, and evening extension courses also J38 0760 2 may be conducted. J38 0760 5 The Title /8, program of the National Defense Education J38 0770 3 Act of 1958 was a great spur to this trend toward area J38 0780 2 schools. By 1960 there were such schools in all but J38 0780 12 4 states. They were operating in 10 of the 17 major J38 0790 10 areas of chronic labor surplus and in 10 of the minor J38 0800 8 areas. An extension of this program into the other J38 0810 3 distressed areas should be undertaken. J38 0820 1 _RELATION TO NEW INDUSTRY_ J38 0820 2 Some of this trend toward area vocational schools J38 0820 10 has been related to the problems of persistent labor J38 0830 8 surplus areas and their desire to attract new industry. J38 0840 6 The major training need of a new industrial plant J38 0850 3 is a short period of pre-employment training for a J38 0860 1 large number of semi-skilled machine operators. A few J38 0860 10 key skilled workers experienced in the company's type J38 0870 6 of work usually must be brought in with the plant manager, J38 0880 6 or hired away from a similar plant elsewhere. A prospective J38 0890 3 industry also may be interested in the long-run advantages J38 0900 2 of training programs in the area to supply future skilled J38 0900 12 workers and provide supplementary extension courses J38 0910 6 for its employees. J38 0920 1 The existence of a public school vocational training J38 0920 9 program in trade and industry provides a base from J38 0930 8 which such needs can be filled. Additional courses J38 0940 3 can readily be added and special cooperative programs J38 0950 1 worked out with any new industry if the basic facilities, J38 0950 11 staff and program are in being. Thus, besides the training J38 0960 10 provided to youth in school, the existence of the school J38 0970 8 program can have supplementary benefits to industry J38 0980 4 which make it an asset to industrial development efforts. J38 0990 2 Few states make effective use of their existing J38 0990 10 vocational education programs or funds for the purpose J38 1000 8 of attracting new industry. The opportunity exists J38 1010 5 for states to reserve some of their vocational education J38 1020 3 funds to apply on an ad hoc flexible basis to subsidize J38 1030 3 any local preemployment training programs that my be J38 1030 11 quickly set up in a community to aid a new industrial J38 1040 11 plant. J38 1050 1 _LOCAL FOCUS OF PROGRAMS_ J38 1050 3 The major weakness of vocational training programs J38 1050 10 in labor surplus areas is their focus on serving solely J38 1060 10 local job demands. This weakness is not unique to labor J38 1070 8 surplus areas, for it is inherent in the system of J38 1080 5 local school districts in this country. J38 1090 1 Planning of vocational education programs and courses J38 1090 8 is oriented to local employer needs for trained workers. J38 1100 7 All the manuals for setting up vocational courses stress J38 1110 5 the importance of first making a local survey of skill J38 1120 4 needs, of estimating the growth of local jobs, and J38 1130 2 of consulting with local employers on the types of J38 1130 11 courses and their content. J38 1140 3 Furthermore, there is a cautious conservatism on J38 1150 2 the part of those making local skill surveys. Local J38 1150 11 jobs can be seen and counted, while opportunities elsewhere J38 1160 6 are regarded as more hypothetical. J38 1170 1 While the U& S& Department of Labor has a program J38 1180 2 of projecting industry and occupational employment J38 1180 8 trends and publishing current outlook statements, there J38 1190 6 is little tangible evidence that these projections J38 1200 4 have been used extensively in local curriculum planning. J38 1210 2 The U& S& Office of Education continues to stress local J38 1220 2 surveys rather than national surveys. J38 1220 7 This procedure is extremely shortsighted in chronic J38 1230 5 labor surplus areas with a long history of declining J38 1240 3 employment. Elaborate studies have been made in labor J38 1250 1 surplus areas in order to identify sufficient numbers J38 1250 9 of local job vacancies and future replacement needs J38 1260 6 for certain skills to justify training programs for J38 1270 4 those skills. No effort is made in the same studies J38 1280 1 to present information on regional or national demand J38 1280 9 trends in these skills or to consider whether regional J38 1290 7 or national demands for other skills might provide J38 1300 4 much better opportunities for the youth to be trained. J38 1310 2 Moreover, the current information on what types J38 1310 9 of training are needed and possible is too limited J38 1320 8 and fragmentary. There simply is not enough material J38 1330 6 available on the types of job skills that are in demand J38 1340 4 and the types of training programs that are required J38 1350 1 or most suitable. Much of the available information J38 1350 9 comes not from the Federal government but from an exchange J38 1360 7 of experiences among states. J38 1370 1 _PROPOSALS_ J38 1370 2 State and local agencies in the vocational education J38 1380 1 field must be encouraged to adopt a wider outlook on J38 1380 11 future job opportunities. There is a need for an expanded J38 1390 8 Federal effort to provide research and information J38 1400 4 to help guide state education departments and local J38 1410 2 school boards in existing programs. J38 1410 7 A related question is whether unemployed workers J38 1420 5 can be motivated to take the training provided. There J38 1430 2 is little evidence that existing public or private J38 1430 10 training programs have any great difficulty getting J38 1440 7 students to enroll in their programs, even though they J38 1450 6 must pay tuition, receive no subsistence payments, J38 1460 2 and are not guaranteed a job. However, there always J38 1460 11 is some limit to the numbers who will spend the time J38 1470 11 and effort to acquire training. Again, one major difficulty J38 1480 6 is the local focus. J38 1490 1 A training program in a depressed area may have J38 1490 9 few enrollees unless there is some apparent prospect J38 1500 5 for better employment opportunities afterwards, and J38 1510 2 the prospect may be poor if the training is aimed solely J38 1520 1 at jobs in the local community. If there is adequate J38 1520 11 information on job opportunities for skilled jobs elsewhere, J38 1530 6 many more workers can be expected to respond. J38 1540 4 Another problem is who will pay for the training. J38 1550 1 Local school districts are hard pressed financially J38 1550 8 and unenthusiastic about vocational training. Programs J38 1560 5 usually are expanded only when outside funds are available J38 1570 6 or local business leaders demand it. Even industrial J38 1580 4 development leaders find it hard to win local support J38 1590 1 for training unless a new industry is in sight and J38 1590 11 requests it. State governments have been taking the J38 1600 6 lead in establishing area vocational schools, but their J38 1610 4 focus is still on area job opportunities. Only the J38 1620 2 Federal government is likely to be able to take a long-run J38 1620 14 and nation-wide view and to pay for training to meet J38 1630 11 national skilled manpower needs. J38 1640 2 If only state funds were used to pay for the vocational J38 1650 1 education, it could be argued that the state should J38 1650 10 not have to bear the cost of vocational training which J38 1660 8 would benefit employers in other states. However, if J38 1670 5 Federal funds are used, it would be entirely appropriate J38 1680 2 to train workers for jobs which could be obtained elsewhere J38 1690 1 as well as for jobs in the area of chronic unemployment. J38 1690 12 Such training would increase the tendency of workers J38 1700 7 to leave the area and find jobs in other localities. J38 1710 5 A further possibility is suggested by the example J38 1720 4 of the G& I& bills and also by some recent trends in J38 1730 2 attitudes toward improving college education: that J38 1730 8 is to provide financial assistance to individuals for J38 1740 6 vocational training when local facilities are inadequate. J38 1750 4 This probably would require some support for subsistence J38 1760 3 as well as for tuition, but the total would be no greater J38 1770 2 than for the proposals of unemployment compensation J38 1770 9 or a Youth Conservation Corps. A maximum of $600 per J38 1780 8 year per student would enable many to take training J38 1790 6 away from home. J38 1790 9 A program of financial assistance would permit placing J38 1800 5 emphasis on the national interest in training highly J38 1810 4 skilled labor. Instead of being limited to the poor J38 1820 1 training facilities in remote areas, the student would J38 1820 9 be able to move to large institutions of concentrated J38 1830 7 specialized training. Such specialized training institutions J38 1840 4 could be located near the most rapidly growing industries, J38 1850 3 where the equipment and job experience exist and where J38 1870 2 the future employment opportunities are located. This J38 1870 9 would heighten possibilities for part-time cooperative, J38 1880 6 on-the-job and extension training. J38 1890 2 Personal financial assistance would enable more J38 1900 1 emphasis to be placed on the interests of the individual. J38 1900 11 His aptitudes and preferences could be given more weight J38 1910 8 in selecting the proper training. J39 0010 1 But briefly, the topping configuration must be examined J39 0010 9 for its inferences. Then the fact that the lower channel J39 0020 9 line was pierced had further forecasting significance. J39 0030 4 And then the application of the count rules to the J39 0040 5 width (horizontally) of the configuration give us an J39 0050 1 intial estimate of the probable depth of the decline. J39 0050 10 The very idea of their being "count rules" implies J39 0060 7 that there is some sort of proportion to be expected J39 0070 4 between the amount of congestive activity and the extent J39 0080 3 of the breakaway (run up or run down) movement. This J39 0080 13 expectation is what really "sold" point and figure. J39 0090 8 But there is no positive and consistently demonstrable J39 0100 4 relationship in the strictest sense. Experience will J39 0110 3 show that only the vaguest generalities apply, and J39 0120 1 in fine, these merely dwell upon a relationship between J39 0120 10 the durations and intensities of events. After all, J39 0130 7 too much does not happen too suddenly, nor does very J39 0140 5 little take long. J39 0140 8 The advantages and disadvantages of these two types J39 0150 5 of charting, bar charting and point and figure charting, J39 0160 3 remain the subject of fairly good natured litigation J39 0170 1 among their respective professional advocates, with J39 0170 7 both methods enjoying in common, one irrevocable merit. J39 0180 6 They are both trend-following methods. Even if we strip J39 0190 6 their respective claims to the barest minimum, the J39 0200 2 "odds" still favor them both, for the trend in effect J39 0200 12 is always more likely to continue than to reverse. J39 0210 8 Of course, many more things are charted besides J39 0220 6 prices. The foregoing have been methods of charting J39 0230 3 prices, but now let us look at some of the other indices J39 0240 1 that are customarily charted, and which are looked J39 0240 9 to for their forecasting abilities. J39 0250 2 _THE QUEST FOR METHODS_ J39 0250 6 The search for forecasting formulae is ceaseless. J39 0260 4 Correlations have been worked up between the loading J39 0270 3 of freight cars and the course of stock price. The J39 0270 13 theory behind this is, of course, fundamentalist in J39 0280 8 character. As the number of reported freight car loadings J39 0290 6 increased, this was taken to indicate increased industrial J39 0300 3 activity, and consequently increased stock earnings, J39 0310 1 implying fatter dividends, and implying therefore increased J39 0310 8 stock market prices. We now know that things rarely J39 0320 9 ever work out in such cut-and-dried fashion, and that J39 0330 7 car loadings, while perhaps interesting enough, are J39 0340 3 nevertheless not the magic formula that will always J39 0340 11 turn before stock prices turn. J39 0350 5 But the quest for such an index goes on ceaselessly, J39 0360 4 with all manner of investors and speculators participating, J39 0370 1 ranging from the sedate institutional type virtually J39 0370 8 to the proverbial shoe-string operator, all seeking J39 0380 7 doggedly, studiously, daily- and often nightly- for J39 0390 7 the enchanting index that will foretell the eternal J39 0400 3 secret: Which way will the market move; up or down? J39 0410 1 It recalls to mind the quest of olden times for the J39 0410 12 fountain of youth, a quest heavily invested in, during J39 0420 7 the days of wooden ships. Just as heavily invested J39 0430 4 are the endeavors of multitudes of modern men who carry J39 0440 2 on the quest for the enchanting index. The quest offers J39 0440 12 careers. Much of this goes on in offices high up in J39 0450 11 Wall Street's lofty wind-swept towers. J39 0460 4 There sit men who make moving averages of weekly J39 0470 2 volume, monthly averages of price-earnings ratios, J39 0470 9 ratios of the number of advances to the number of declines, J39 0480 10 ratios of an individual stock's performance to overall J39 0490 5 market performance, ratios of rising price volume to J39 0500 4 falling price volume, odd-lot indices, and what not. J39 0510 1 They are concerned with all things traded in, securities, J39 0510 10 bonds, cocao, coffee, soybeans, cotton, tin, oats, J39 0520 6 etc&. J39 0520 7 And along Chicago's West Jackson Boulevard, La Salle J39 0530 6 Street, and around the Merchandise Mart Plaza there J39 0540 5 sit men who chart crop reports, who divide the number J39 0550 3 of reported lady-bugs by the number of reported green-bugs, J39 0560 1 and the number of hogs by the amount of corn. They J39 0560 12 plot the open interest curves, rainfall curves, and J39 0570 6 they even divide Democratic congressmen by Republican J39 0580 4 congressmen. All these things and countless more enter J39 0590 3 into their calculations, and yet, the enchanting index J39 0590 11 remains non-forthcoming. Not, at any rate, in the fuller J39 0600 10 sense of the word. J39 0610 1 The markets are far too subtle, and the last word J39 0610 11 in these endeavors will doubtless never be written, J39 0620 7 for the enchanting index is about as nebulous as the J39 0630 7 fountain of youth. J39 0630 10 But whereas civilized men no longer pursue the fountain, J39 0640 7 they never abandoned their pursuit of the enchanting J39 0650 4 index. J39 0650 5 We mentioned odd-lot indices a few paragraphs ago. J39 0660 4 In the stock market, the normal trading package is J39 0670 2 a hundred shares, just as 5,000 bushels is the standard J39 0670 12 grain contract package. A stock transaction for less J39 0680 7 than a hundred shares is executed via a special odd-lot J39 0690 6 broker on the floor of the exchange. This results in J39 0700 3 a separate record being made, distinguishing these J39 0700 10 trades from the overall volume of trading. J39 0710 7 According to the theory underlying odd-lot indices, J39 0720 4 the trader who trades odd lots is most likely a small J39 0730 3 trader, one who can't afford to trade round lots. Or, J39 0730 13 to use the cynical phraseology of one odd-lot index J39 0740 10 enthusiast, they represent a sampling of the least J39 0750 6 sophisticated echelon of traders. Falling most easily J39 0760 3 prey to an adverse market movement, for this rank of J39 0760 13 traders can least afford to lose, virtually anything J39 0770 8 the odd-lot traders do, marketwise, is taken to exemplify J39 0780 7 the "wrong" thing to do. J39 0790 1 Figures reporting the volume of odd-lot purchases J39 0790 9 and odd-lot sales are released by the stock exchange J39 0800 7 and carried in the newspapers. Odd-lot index observers J39 0810 5 then make graphs of the data according to their particular J39 0820 2 statistical recipe. They might, for example, plot it J39 0820 10 exactly as is, or they might make ten day moving averages J39 0830 11 of it, or longer moving averages, or they might simply J39 0840 7 plot the ratio of odd-lot purchases to odd-lot sales. J39 0850 5 The particular recipe is a matter of individual taste. J39 0860 2 The data is now interpreted in conjunction with a price J39 0870 1 chart, usually of a popular stock average. J39 0870 8 Towards the end of an intermediate or major rise, J39 0880 6 while the top is forming on the price chart, it is J39 0890 4 frequently observed that the odd-lot buying increases J39 0890 12 sharply. This warns the chartist that the formation J39 0900 8 in progress is quite likely to be a top. Similarly, J39 0910 7 at the opposite end of the market cycle, towards the J39 0920 3 end of an intermediate or major decline, usually while J39 0930 1 the bottom is being formed on the price chart, it is J39 0930 12 characteristic that an increase is noticed in odd-lot J39 0940 9 selling again alerting the chartist that a bottom is J39 0950 5 becoming a greater likelihood. Thus, in the aggregate, J39 0960 1 the odd-lot trader is one who buys at the tops and J39 0960 13 sells at the bottoms, notwithstanding occasional individual J39 0970 5 exceptions. J39 0970 6 While it had long been known in general, that "the J39 0980 10 public is always wrong", the use of odd-lot indices J39 0990 7 now puts the adage on a statistical basis. J39 1000 2 One might well wonder why the "public is always J39 1000 11 wrong" and the question raised is about as awkward J39 1010 9 as the one concerned with the chicken and the egg. J39 1020 7 Which came first? Is it really that the "public" buys J39 1030 4 at the tops, and not that the market tops out when J39 1040 1 the "public" buys? And the converse at bottoms. Does J39 1040 10 the "public" usually sell at bottoms, or does the market J39 1050 9 usually bottom out when the "public" sells? J39 1060 6 We have been using the word "public" in quotation J39 1070 4 marks, that is, in its vernacular connotation with J39 1080 2 reference to the odd-lot index theory. Obviously someone J39 1080 11 has to sell in order for someone to buy, and vice versa. J39 1090 12 And while all concerned are members of the literal J39 1100 6 public, somewhat less than all concerned, although J39 1110 2 still a majority, form the quotation marked "public". J39 1120 1 And the public minus the "public" leaves the so-called J39 1120 11 "sophisticated" element- the element on the other end J39 1130 7 of the "public's" transactions. J39 1140 2 This element is often called "strong hands". Strong J39 1150 3 hands differ from "weak hands" in that their operations J39 1160 1 are the primary movers. They initiate campaigns, so J39 1160 9 to speak, even if this initiation is diffused among J39 1170 8 them, and their concerted action only psychologically J39 1180 3 organized. Strong hands act; weak hands react. Strong J39 1190 3 hands move first; weak hands ask, What is going on? J39 1200 1 When strong hands buy, they are able to buy more, and J39 1200 12 they do it even in the face of bearish news reports. J39 1210 8 They are able to sit more patiently with what they J39 1220 4 have bought. Needless to say, strong hands are not J39 1230 2 eager to be joined by weak hands, for this increases J39 1230 12 the risk that they will have to absorb what these weak J39 1240 9 hands unload on the way up, at higher prices, during J39 1250 5 the run-up phase of the campaign. J39 1250 12 Certain badly disillusioned market critics are often J39 1260 7 apt to feel that there is something somehow unfair, J39 1270 5 dirty, or even thoroughly criminal about this interplay J39 1280 3 of competitive forces. But after all, can anyone imagine J39 1290 1 a market wherein the reverse of these things were true? J39 1290 11 Try to imagine a market in which only a minority of J39 1300 10 traders would lose, and the majority would make consistent J39 1310 6 profits. How much and how many profits could a majority J39 1320 4 take out of the losses of a few? J39 1320 12 Moreover, the taunt concerning the "sophisticated" J39 1330 6 echelon and its alleged erudition is put to test during J39 1340 7 every campaign, and accrues only upon results; not J39 1350 4 before. It quite often happens that campaigns go askew, J39 1360 2 resulting in a most unflattering deterioration of strong J39 1360 10 hands into played-out hands, just as a member of a J39 1370 11 former campaign's "public" may emerge flatteringly J39 1380 4 "right" the next time. Membership in the echelons fluctuates J39 1390 5 too. J39 1390 6 The study of odd-lot indices is somehow akin to J39 1400 5 the spectacle of a man trying to outfox his own shadow, J39 1410 1 what with all observers trying to get on the side of J39 1410 12 the "few" at the same time. The usefulness of this J39 1420 9 study and of configuration analysis as well, declines J39 1430 5 in direct proportion to the dissemination of its use. J39 1440 4 It has to, by virtue of the very dictionary definition J39 1440 14 of the word "few". J39 1450 4 Diametric opposition must persist as to the future J39 1460 3 course of prices, if there is to persist a market at J39 1460 14 all. And the few must win what the many lose, for the J39 1470 11 opposite arrangement would not support markets as we J39 1480 7 know them at all, and is, in fact, unimaginable. There J39 1490 2 need be no squeamishness about admitting this. Anyone J39 1500 1 still doubting that this is the only way markets can J39 1500 11 be is invited to try to imagine a market wherein the J39 1510 9 majority consistently wins what the minority loses. J39 1520 4 Mr& John Magee, whose work has been discussed in J39 1530 2 this chapter, was quoted in a New Yorker magazine profile J39 1540 1 as saying- "**h Of course, you have to remember it's J39 1540 11 a good thing for us chartists that there aren't more J39 1550 8 of us. If you got too many people investing by this J39 1560 6 method, their operations would begin to affect stock J39 1570 3 prices, and thus throw the charts off. The method would J39 1580 1 become self-defeating". J39 1580 4 Mr& Alexander H& Wheelan's Study Helps in Point J39 1590 5 and Figure Technique tells the readers- "We assure J39 1600 2 you that the total number of people using this method J39 1600 12 of market analysis is a very small portion of the sum J39 1610 11 total of those operating in the securities and commodities J39 1620 6 markets". J39 1620 7 What with traders trading for so many different J39 1630 7 objectives, and what with there being so many unique J39 1640 5 and individualized market theories and trading techniques J39 1650 2 in use, and more coming into use all the time, it is J39 1650 14 hard to imagine how any particular theory or technique J39 1660 8 could acquire enough "fans" to invalidate itself. Nevertheless, J39 1670 6 all theories and techniques lead but to one of two J39 1680 7 possible modes of expression, if they lead to a market J39 1690 4 committment at all. In the final analysis, then, the J39 1690 13 user becomes either a bull or a bear in a given instance, J39 1700 12 notwithstanding any amount of forethought and calculation, J39 1710 7 however elaborate. Thus while his theory or technique J39 1720 6 may not be oversubscribed, it is commonplace for bullish J39 1730 3 and bearish positions to become temporarily over-subscribed. J39 1740 1 Though the methods of deciding may be profound and J39 1740 10 diverse, the possible conclusions remain but two. J39 1750 6 #CHAPTER /6, MORE METHODS# J39 1760 1 _THE HOAXES_ J39 1760 3 The purpose set forth at the beginning of this book J39 1770 1 was first to introduce the reader to a general background J39 1770 11 knowledge of the various types and capabilities of J39 1780 8 the forecasting methods already in use, so that he J39 1790 6 might then be in a position to evaluate for himself J39 1800 1 the validity of the rather astonishing empirical correlation J39 1800 9 that is to follow, and to appraise the forecast that J39 1810 10 its interpretation suggests for the future of farm J39 1820 6 prices over the years immediately ahead. J40 0010 1 IN assessing the outlook for interest rates in 1961, J40 0010 10 the question, as always, is the prospect for general J40 0020 9 business activity. By and large, what happens to business J40 0040 7 as a whole will govern the relationship between demand J40 0050 3 and supply conditions in the capital markets and will J40 0060 2 thus determine interest rates. Moreover, the trend J40 0060 9 of general business activity in 1961 will exert a decisive J40 0070 8 influence on fiscal, monetary, and other Federal policies J40 0080 5 which affect interest rates. J40 0090 1 Nineteen-sixty has been a baffling year for analysts J40 0090 10 of general business activity. During much of the year J40 0100 7 the general level of business activity has moved along J40 0110 5 on a record-high plateau, but there have been persistent J40 0120 2 signs of slack in the economy. The tendency for general J40 0130 1 business activity to soften somewhat is becoming more J40 0130 9 evident. J40 0140 1 Although the pause in the advance of general business J40 0140 10 activity this year has thus far been quite modest, J40 0150 7 it is hard to escape the conclusion that the softening J40 0160 4 process will continue into the first quarter of 1961 J40 0170 1 and possibly somewhat longer. It is difficult to see J40 0170 10 any powerful sources of strength on the horizon at J40 0180 8 this time which would give the economy a new upward J40 0190 5 thrust. The rate of plant and equipment spending by J40 0200 2 business and industry now seems to be topping out and J40 0200 12 facing some decline. In earlier business cycles, when J40 0210 7 this occurred the country usually experienced a sharp J40 0220 4 upturn in residential construction as mortgage financing J40 0230 2 became easier to obtain. At this time, however, there J40 0230 11 are signs that increased availability of mortgage credit J40 0240 8 will not act with the usual speed to stimulate a sharp J40 0250 8 rise in residential construction. These signs are the J40 0260 5 inventories of unsold houses in some areas of the country J40 0270 3 and the moderate rise in vacancy rates for apartments J40 0270 12 (7.6% in September). On the other hand, in a more favorable J40 0280 11 vein, general business activity should receive some J40 0290 6 stimulus from rising Federal spending, and the reduction J40 0300 5 in business inventories has probably run a good part J40 0310 5 of its course. The 2% increase in retail sales in October J40 0320 1 to a 4-month high is encouraging in this connection J40 0320 11 as well as the most recent consumer survey by the National J40 0330 10 Industrial Conference Board, which shows a decided J40 0340 6 pickup in consumer spending plans. J40 0350 1 The pattern of general business activity which probably J40 0350 9 lies ahead of us is a further moderate softening through J40 0360 10 the spring of 1961 before a new rise in economic activity J40 0370 8 gets under way. The recovery will probably be sparked J40 0380 5 by a rising rate of housing starts next spring in response J40 0390 3 to more readily available mortgage credit, as well J40 0390 11 as by an expansion of Government spending, well sustained J40 0400 8 consumer spending, and some rebuilding of business J40 0410 6 inventories. J40 0410 7 #SLIGHT DOWNWARD PRESSURE# J40 0420 1 What does the general business outlook suggest about J40 0420 9 the trend of long-term rates in 1961? It suggests that J40 0430 10 during the next several months, through the spring J40 0440 5 of 1961, the demand for long-term capital funds may J40 0450 3 be moderately lower and that interest rates may tend J40 0450 12 to move a little lower, especially the rates on Federal, J40 0460 10 state, and local bonds, as well as those on publicly J40 0470 8 offered corporate bonds. However, as witnessed by the J40 0480 5 large corporate bond calendar at present, as well as J40 0490 2 the record amount of municipal bond issues approved J40 0490 10 by voters, the over-all demands for capital funds seem J40 0500 8 likely to remain high, so that any downward pressure J40 0510 4 on rates from reduced demand should not be great. It J40 0520 2 seems likely, moreover, that with an increase in the J40 0530 8 rate of saving in mortgage lending institutions, interest J40 0540 7 rates on residential mortgages may move somewhat lower J40 0550 6 through the spring of next year, although the increased J40 0560 3 ease in residential mortgage lending may occur primarily J40 0570 1 in other terms than interest rate, e&g&, easier downpayment J40 0580 1 and amortization terms. J40 0580 4 If the trend of general business activity follows J40 0590 2 the pattern suggested here, we are likely to see additional J40 0600 1 steps by the Federal Reserve authorities to ease the J40 0600 10 availability of credit. Certainly a further reduction J40 0610 7 in the discount rate would be a strong possibility, J40 0620 5 as well as an easier reserve position for the banking J40 0630 2 system. However, the monetary authorities will continue J40 0630 9 to be required to pay attention to the consequences J40 0640 9 of their actions with respect to our international J40 0650 5 balance of payments position and the outflow of gold, J40 0660 3 as well as with regard to avoiding the creation of J40 0660 13 excessive liquidity in the economy, which would delay J40 0670 8 the effectiveness of monetary policy measures in the J40 0680 6 next expansion phase of the business cycle. J40 0690 1 #OPEN MARKET POLICY# J40 0690 4 One of the most intriguing questions is whether the J40 0700 3 recent departures of the Federal Reserve authorities J40 0700 10 from confining their open market operations to Treasury J40 0710 8 bills will spread into longer-term Government securities J40 0720 6 in the next few months. To the extent that the new J40 0730 6 Administration has its wishes, the Federal Reserve J40 0740 2 would conduct its open market operations throughout J40 0740 9 the entire maturity range of Government securities J40 0750 6 and aggressively seek to force down long-term interest J40 0760 5 rates. The principle of "bills only", or "bills preferably", J40 0770 4 seems so strongly accepted by the Federal Reserve that J40 0780 3 it is difficult to envision conditions which would J40 0780 11 persuade the authorities to depart radically from it J40 0790 8 by extending their open market purchases regularly J40 0800 4 into long-term Government securities. However, to the J40 0810 4 extent that the monetary authorities, in their effort J40 0820 1 to ease credit in the next several months, conduct J40 0820 10 their open market operations in longer-term Government J40 0830 6 bonds, they will certainly act to accentuate any tendency J40 0840 4 for long-term interest rates to ease as a result of J40 0850 2 market forces. J40 0850 4 By the end of the spring of 1961, assuming that J40 0860 2 a general business recovery gets under way, interest J40 0860 10 rates should begin to edge upward again, depending J40 0870 7 upon the vigor of the recovery and the determination J40 0880 4 with which the monetary authorities move to restrain J40 0890 2 credit availability. My guess would be that interest J40 0890 10 rates will decline moderately into the spring of 1961 J40 0900 8 and during the second half of the year will turn up J40 0910 7 gradually to recover the ground lost during the downturn. J40 0920 3 It is pertinent to ask the question: Has the long J40 0930 2 upswing of interest rates during the past 15 years J40 0930 11 just about run its course, and are we now entering J40 0940 9 a period in which both capital market forces and Federal J40 0950 5 policies will produce a prolonged decline of interest J40 0960 3 rates? My answer is in the negative because I believe J40 0970 1 that total capital demands during the Sixties will J40 0970 9 continue to press against available supplies, and interest J40 0980 6 rates will generally tend to be firm at high levels. J40 0990 6 #FIVE BASIC FORCES# J40 0990 9 This view is based upon several basic economic forces J40 1000 5 which I believe will be operating in the Sixties, as J40 1010 4 follows: J40 1010 5 _(1)_ J40 1010 6 Recent events in the General Assembly of the United J40 1020 5 Nations confirm that the cold war will remain with J40 1030 2 us, and probably intensify, for the foreseeable future. J40 1030 10 This makes it certain that Federal expenditures for J40 1040 7 military preparedness and foreign economic aid are J40 1050 5 likely to rise further in the next several years. We J40 1060 3 are just beginning the task of trying to win or maintain J40 1060 14 the friendship of the new African nations against the J40 1070 9 ruthless competition of the Communist bloc. Our efforts J40 1080 7 to overcome the lead of the Russians in space are bound J40 1090 6 to mean accelerated Federal spending. Moreover, it J40 1100 2 is likely that Federal policies aimed at stimulating J40 1100 10 a faster rate of economic growth of the country, to J40 1110 9 keep ahead of the Communist countries and to demonstrate J40 1120 5 that our free economic system is better than theirs, J40 1130 3 will lead to rising Federal spending in certain areas J40 1140 1 such as education, housing, medical aid, and the like. J40 1140 10 There are serious dangers involved in this trend toward J40 1150 8 rising Federal expenditures, of which I take a dim J40 1160 7 view, but it seems very likely to occur. J40 1170 1 _(2)_ J40 1170 2 During the Sixties we have the prospect of a significant J40 1170 12 stepping up in the rate of household formations, which J40 1180 9 should contribute to a rising volume of consumer expenditures J40 1190 8 and home building. According to the latest projections J40 1210 2 of the Bureau of the Census, the annual rate of household J40 1220 4 formations will increase for the next 20 years. Under J40 1230 1 the most favorable assumptions for increase, the Bureau J40 1230 9 of the Census projects that the annual rate of household J40 1240 9 formations will rise from about 883,000 in the last J40 1250 7 two years of the Fifties to an annual rate of about J40 1260 4 1,018,000 in the first five years of the Sixties, and J40 1270 1 to a slightly higher annual rate of 1,083,000 in the J40 1270 11 second half of the decade. During the Seventies the J40 1280 6 projections show a more pronounced rise to an annual J40 1290 5 rate of 1,338,000 in the second half of that decade. J40 1300 1 Accordingly, the expanding markets for consumer goods J40 1300 8 and housing occasioned by the higher rate of household J40 1310 8 formation should enhance the general economic prospects J40 1320 4 of the Sixties. However, the impact of a rising rate J40 1330 4 of household formation this decade should not be exaggerated. J40 1340 1 The average annual rate of 1,083,000 in the second J40 1340 10 half of the Sixties is still considerably below the J40 1350 7 annual rate of 1,525,000 in the three-year period from J40 1360 6 April 1947 to March 1950. J40 1360 11 _(3)_ J40 1360 12 With the expansion of family formation in the Sixties, J40 1370 9 a continued substantial rise in expenditures by state J40 1380 6 and local government units seems to be indicated. This J40 1390 5 is an area in which there is still a large backlog J40 1400 1 of demand. State and local expenditures (in real terms) J40 1400 10 increased persistently from $26.5-billion in 1949 to J40 1410 8 $44.3-billion in 1959, and it would not be surprising J40 1420 6 if they showed a comparable increase in this decade, J40 1430 2 which would carry them to the neighborhood of $75-billion J40 1440 1 by 1970. Here would be a powerful force for raising J40 1440 11 business activity. J40 1450 1 _(4)_ J40 1450 2 It seems likely that with the three preceding forces J40 1450 11 at play, the rate of business and industrial plant J40 1460 8 and equipment expenditures should continue to move J40 1480 5 upward from the levels of the Fifties. Spurred by keen J40 1490 3 competition in our industrial system, and still further J40 1500 1 increases in the funds devoted to industrial research, J40 1500 9 plant and equipment expenditures by business and industry J40 1510 6 should rise during the decade. J40 1520 1 _(5)_ J40 1520 2 In a more pessimistic vein about the economic outlook, J40 1530 1 I suspect that the reservoir of demand for consumer J40 1530 10 goods and housing which was dammed-up during the Thirties J40 1540 8 and World War /2, is finally in the process of running J40 1550 6 dry. There is some clear-cut evidence of this. For J40 1560 4 example, the huge postwar demand on the part of veterans J40 1570 1 for housing under the ~VA home loan guaranty program J40 1570 10 seems to have largely exhausted itself. Indeed, the J40 1580 6 failure of home-building as a whole to respond this J40 1590 5 year to somewhat greater availability of mortgage financing, J40 1600 2 and the increasing reports of pockets of unsold homes J40 1600 11 and rising vacancy rates in apartment buildings, may J40 1610 8 also signal in part that the lush days of big backlog J40 1620 8 demand for housing are reaching an end. In a way, we J40 1630 6 may be witnessing the same thing in the sales of automobiles J40 1640 1 today as the public no longer is willing to purchase J40 1640 11 any car coming on the market but is more insistent J40 1650 9 on compact cars free of the frills which were accepted J40 1660 6 in the Fifties. The huge backlog of demand which was J40 1670 3 evident in the first decade and a half after the War J40 1680 1 was fed by liquid assets accumulated by the public J40 1680 10 during the War, and even more so by the easier and J40 1690 8 easier credit in the consumer loan and home loan fields. J40 1700 4 The consuming public has used up a good part of these J40 1710 1 liquid assets, or they have been drained by the rising J40 1710 11 price level, and we have apparently gotten to the end J40 1720 9 of the line in making consumer or home mortgage terms J40 1730 5 easier. This is not to say that the level of consumer J40 1740 3 expenditures will not continue to rise in the Sixties. J40 1740 12 I am confident that it will, but consumer spending J40 1750 9 in the Sixties will not be fortified by the great backlog J40 1760 8 of wants and desires which characterized most of the J40 1770 4 Fifties. Markets should become more competitive as J40 1780 2 consumers become more selective. J40 1780 6 #SIXTIES' CAPITAL REQUIREMENTS# J40 1790 1 Accordingly, during the Sixties our national economy J40 1790 8 is likely to grow at as fast a rate as in the Fifties J40 1800 12 and, in the process, to require enormous amounts of J40 1810 5 capital funds. J41 0010 1 Wage-price policies of industry are the result of J41 0010 10 a complex of forces- no single explanation has been J41 0020 6 found which applies to all cases. The purpose of this J41 0030 5 paper is to analyze one possible force which has not J41 0040 3 been treated in the literature, but which we believe J41 0040 12 makes a significant contribution to explaining the J41 0050 6 wage-price behavior of a few very important industries. J41 0060 4 While there may be several such industries to which J41 0070 3 the model of this paper is applicable, the authors J41 0070 12 make particular claim of relevance to the explanation J41 0080 7 of the course of wages and prices in the steel industry J41 0090 7 of the United States since World War /2,. Indeed, the J41 0100 5 apparent stiffening of the industry's attitude in the J41 0110 3 recent steel strike has a direct explanation in terms J41 0110 12 of the model here presented. J41 0120 4 The model of this paper considers an industry which J41 0130 2 is not characterized by vigorous price competition, J41 0130 9 but which is so basic that its wage-price policies J41 0140 10 are held in check by continuous critical public scrutiny. J41 0150 4 Where the industry's product price has been kept below J41 0160 5 the "profit-maximizing" and "entry-limiting" prices J41 0170 2 due to fears of public reaction, the profit seeking J41 0170 11 producers have an interest in offering little real J41 0180 8 resistance to wage demands. The contribution of this J41 0190 5 paper is a demonstration of this proposition, and an J41 0200 3 exploration of some of its implications. J41 0200 9 In order to focus clearly upon the operation of J41 0210 8 this one force, which we may call the effect of "public-limit J41 0220 6 pricing" on "key" wage bargains, we deliberately simplify J41 0230 4 the model by abstracting from other forces, such as J41 0240 3 union power, which may be relevant in an actual situation. J41 0240 13 For expository purposes, this is best treated as a J41 0250 9 model which spells out the conditions under which an J41 0260 7 important industry affected with the public interest J41 0270 3 would find it profitable to raise wages even in the J41 0270 13 absence of union pressures for higher wages. J41 0280 7 Part /1, below describes this abstract model by J41 0290 5 spelling out its assumptions. Part /2, discusses the J41 0300 3 operation of the model and derives some significant J41 0310 1 conclusions. Part /3, discusses the empirical relevance J41 0310 8 and policy implications of the conclusions. Part /4, J41 0320 7 is a brief summary. The Mathematical Appendix presents J41 0330 4 the rigorous argument, but is best read after Part J41 0340 3 /1, in order that the assumptions underlying the equations J41 0350 1 may be explicit. J41 0350 4 #/1, THE ASSUMPTIONS OF THE MODEL# J41 0360 1 _A. THE INDUSTRY_ J41 0360 3 The industry with which this model is concerned J41 0360 11 is a basic industry, producing a substantial share J41 0370 7 of gross national product. Price competition is lacking. J41 0380 5 For the purposes of setting the product price, the J41 0390 3 industry behaves as a single entity. In wage negotiations, J41 0400 1 the industry bargains as a unit with a single union. J41 0410 1 _B. THE DEMAND FOR THE INDUSTRY'S PRODUCT_ J41 0410 5 We are concerned with aggregate demand for the industry's J41 0420 5 product. The manner in which this is shared among firms J41 0430 3 is taken as given. In any given time period, the aggregate J41 0440 1 demand for the industry's product is determined by J41 0440 9 two things: the price charged by the industry, and J41 0450 8 the level of ~GNP. For the purposes of this discussion, J41 0460 6 the problem of relative prices is encompassed in these J41 0470 3 two variables, since ~GNP includes other prices. (We J41 0480 2 abstract here from technological progress and assume J41 0480 9 that prices of all other products change proportionately.) J41 0490 7 The form of the industry demand function is one J41 0500 7 which makes quantity demanded vary inversely with the J41 0510 4 product price, and vary directly with the level of J41 0520 1 ~GNP. J41 0520 2 _C. INDUSTRY PRODUCT PRICE POLICY_ J41 0520 7 The industry of this model is so important that J41 0530 7 its wage and price policies are affected with a public J41 0540 4 interest. Because of its importance, and because the J41 0550 1 lack of price competition is well recognized, the industry J41 0550 10 is under considerable public pressure not to raise J41 0560 6 its price any more than could be justified by cost J41 0570 5 increases. The threat of effective anti-trust action, J41 0580 1 provoked by "gouging the public" through price increases J41 0580 9 not justified by cost increases, and fears of endangering J41 0590 9 relations with customers, Congress, the general public J41 0600 6 and the press, all operate to keep price increases J41 0610 5 in some relation to cost increases. For the industry J41 0620 2 of this model, the effect of such public pressures J41 0620 11 in the past has been to hold the price well below the J41 0630 11 short-run profit-maximizing price (given the wage rate J41 0640 6 and the level of ~GNP), and even below the entry-limited J41 0650 5 price (but not below average cost). J41 0650 11 For such an industry, it is only "safe" to raise J41 0660 10 its price if such an increase is manifestly "justified" J41 0670 5 by rising costs (due to rising wages, etc&). Thus, J41 0680 4 if public pressure sets the effective limit to the J41 0690 2 price that the industry may charge, this pressure is J41 0690 11 itself a function of the wage rate. In this model, J41 0700 8 we abstract from all non-wage sources of cost changes, J41 0710 5 so that the "public-limit price" only rises as the J41 0720 4 wage rate rises. In such circumstances, it may well J41 0720 13 be to the advantage of the industry to allow an increase J41 0730 11 in the basic wage rate. J41 0740 2 Since marginal costs rise when the wage rate rises, J41 0740 11 the profit-maximizing price also rises when the public-limit J41 0750 10 price is elevated, and is likely to remain well above J41 0760 8 the latter. The entry-limiting price will also be raised J41 0770 6 for potential domestic competition, but unless general J41 0780 3 inflation permits profit margins to increase proportionately J41 0790 1 throughout the economy, we might expect the public-limit J41 0790 10 price to approach the entry-limit price. The foreign-entry-limit J41 0800 11 price would be approached more rapidly, since domestic J41 0810 7 wage-rates do not enter foreign costs directly. Where J41 0820 4 this approach becomes critical, the industry can be J41 0830 3 expected to put much emphasis on this as evidence of J41 0830 13 its sincerity in "resisting" the wage pressures of J41 0840 8 a powerful union, requesting tariff relief after it J41 0850 5 has "reluctantly" acceded to the union pressure. J41 0860 2 Whether or not it is in the industry's interest J41 0870 1 to allow the basic wage rate to rise obviously depends J41 0870 11 upon the extent to which the public-limit price rises J41 0880 8 in response to a basic wage increase, and the relation J41 0890 5 of this response to the increase in costs accompanying J41 0900 1 the wage increase. The extent to which the public-limit J41 0900 11 price is raised by a given increase in the basic wage J41 0910 11 rate is itself a function of three things: the passage J41 0920 7 of time, the level of ~GNP, and the size of the wage J41 0930 7 increase. J41 0930 8 We are abstracting from the fact of strikes here, J41 0940 6 but it should be obvious that the extent to which the J41 0950 3 public-limit price is raised by a given increase in J41 0950 13 the basic wage rate is also a function of the show J41 0960 10 of resistance put up by the industry. The industry J41 0970 4 may deliberately take a strike, not to put pressure J41 0980 1 on the union, but in order to "educate" the government J41 0980 11 and the customers of the industry. As a strike continues, J41 0990 10 these parties increase their pressure on the industry J41 1000 6 to reach an agreement. They become increasingly willing J41 1010 3 to accept the price increase that the industry claims J41 1020 2 the wage bargain would entail. J41 1020 7 Public indignation and resistance to wage-price J41 1030 5 increases is obviously much less when the increases J41 1040 1 are on the order of 3% per annum than when the increases J41 1040 13 are on the order of 3% per month. The simple passage J41 1050 11 of an additional eleven months' time makes the second J41 1060 7 3% boost more acceptable. Thus, the public-limit price J41 1070 5 is raised further by a given wage increase the longer J41 1080 3 it has been since the previous price increase. Notice, J41 1080 12 however, that the passage of time does not permit the J41 1090 10 raising of prices per se, without an accompanying wage J41 1100 7 increase. Similarly, higher levels of ~GNP do not, J41 1110 6 in themselves, provide grounds for raising prices, J41 1120 2 but they do relax some of the pressure on the industry J41 1120 13 so that it can raise prices higher for a given wage J41 1130 10 increase. This is not extended to anticipated levels J41 1140 5 of ~GNP, however- only the current level of ~GNP affects J41 1150 5 the public pressure against wage-price increases. Finally, J41 1160 2 since the public requires some restraint on the part J41 1170 1 of the companies, larger wage increases call for less J41 1170 10 than proportionately larger price increases (e&g&, J41 1180 5 if a wage increase of 5% allows a price increase of J41 1190 5 7%, a wage increase of 10% allows a price increase J41 1200 2 of something less than 14%). J41 1200 7 _D. INDUSTRY COSTS_ J41 1200 10 We assume that average total unit cost in the relevant J41 1210 10 region of operation is constant with respect to quantity J41 1220 7 produced (the average cost curve is horizontal, and J41 1230 4 therefore is identical with the marginal cost curve), J41 1240 1 and is the same for every firm (and therefore for the J41 1240 12 industry). The level of this average cost is determined J41 1250 9 by factor prices, technology, and so forth. As we have J41 1260 7 noted, however, we are abstracting from changes in J41 1270 4 all determinants of this level except for changes in J41 1280 1 the wage rate. The level of average cost (equal to J41 1280 11 marginal cost) is thus strictly a function of the wage J41 1290 8 rate. J41 1300 1 _E. UNION POLICIES AND COLLECTIVE BARGAINING ISSUES_ J41 1300 3 The single union which faces the industry does not J41 1310 3 restrict its membership, and there is an adequate supply J41 1320 1 of labor available to the firms of the industry at J41 1320 11 the going wage rate. The union does not regard unemployment J41 1330 7 of its own members as a matter of concern when setting J41 1340 5 its own wage policy- its concern with employment makes J41 1350 2 itself felt in pressure upon the government to maintain J41 1360 1 full employment. J41 1360 3 The union vigorously demands wage increases from J41 1370 1 productivity increases, and wage increases to offset J41 1370 8 cost-of-living increases, but we abstract from these J41 1380 7 forces here. For our present purposes we assume that J41 1390 5 the sole subject of bargaining is the basic wage rate J41 1400 2 (not including productivity improvement factors or J41 1400 8 cost-of-living adjustments), and it is this basic wage J41 1410 8 rate which determines the level of costs. Productivity J41 1420 5 is something of an amorphous concept and the amount J41 1430 3 of productivity increase in a given time period is J41 1430 12 not even well known to the industry, much less to the J41 1440 10 union or to the public. Disagreement on the amount J41 1450 5 of productivity increase exacerbates the problem of J41 1460 3 agreeing how an increase in profit margins related J41 1460 11 to a productivity increase should be shared. The existence J41 1470 7 of conflict and of vigorous union demand for an increase J41 1480 7 in money wages does not contradict the assumption that J41 1490 4 the union is willing to settle for cost-of-living and J41 1500 2 productivity-share increases as distinct from a cost-raising J41 1500 11 increase in the basic wage rate. J41 1510 6 We assume further that the union recognizes the J41 1520 3 possibility that price-level increases may offset wage-rate J41 1530 1 increases, and it does not entirely disregard the effect J41 1530 10 of price increases arising from its own wage increases J41 1540 8 upon the "real" wage rate. For internal political reasons, J41 1550 7 the union asks for (and accepts) increases in the basic J41 1560 5 wage rate, and would vigorously oppose a reduction J41 1570 3 in this rate, but the adjustment of the basic wage J41 1570 13 rate upwards is essentially up to the discretion of J41 1580 9 the companies of the industry. J41 1590 1 Changes in the basic wage rate are cost-raising, J41 1590 10 and they constitute an argument for raising prices. J41 1600 8 However, it is not known to either the union or the J41 1610 7 public precisely how much of a cost increase is caused J41 1620 3 by a given change in the basic wage rate, although J41 1620 13 the companies are presumed to have reliable estimates J41 1630 8 of this magnitude. J41 1640 1 In this model, then, the industry is presumed to J41 1640 10 realize that they could successfully resist a change J41 1650 7 in the basic wage rate, but since such a change is J41 1660 5 the only effective means to raising prices they may, J41 1670 1 in circumstances to be spelled out in Part /2, below, J41 1670 11 find it to their advantage to allow the wage rise. J41 1680 8 Thus, for non-negative changes in the basic wage rate, J41 1690 6 the industry becomes the active wage-setter, since J41 1700 2 any increase in the basic wage rate can occur only J41 1700 12 by reason of industry acquiescence. The presumption J41 1710 6 in the literature would appear to be that the basic J41 1720 6 wage rate would be unchanged in this case, on the grounds J41 1730 3 that it is "clearly" not in the interest of the industry J41 1740 1 to raise wages gratuitously. From this presumption J41 1740 8 it is an easy step to the conclusion that any observed J41 1750 8 increases in the basic wage rate must be due to union J41 1760 6 behavior different and more aggressive than assumed J41 1770 1 in our model. It is this conclusion that we challenge; J41 1770 11 we do so by disproving the presumption on which it J41 1780 9 is based. J41 1780 11 #/2, THE OPERATION OF THE MODEL# J41 1790 4 It is convenient to assume that the union-industry J41 1800 1 contract is of one year's duration. J42 0010 1 In the century from 1815 to 1914 the law of nations J42 0010 12 became international law. Several factors contributed J42 0020 5 to this change. J42 0020 8 The Congress of Vienna is a convenient starting J42 0030 8 point because it both epitomized and symbolized what J42 0040 5 was to follow. Here in 1815 the great nations assembled J42 0050 3 to legislate not merely for Europe, but for the world. J42 0060 1 Thus the Congress marks a formal recognition of the J42 0060 10 political system that was central to world politics J42 0070 7 for a century. International law had to fit the conditions J42 0080 7 of Europe, and nothing that could not fit this system, J42 0090 2 or the interests of the great European nations collectively, J42 0100 1 could possibly emerge as law in any meaningful sense. J42 0100 10 Essentially this imposed two conditions: First, international J42 0110 7 law had to recognize and be compatible with an international J42 0120 7 political system in which a number of states were competitive, J42 0130 7 suspicious, and opportunistic in their political alignments J42 0140 5 with one another; second, it had to be compatible with J42 0150 4 the value system that they shared. In both respects, J42 0160 1 international law was Europeanized. J42 0160 5 It was not always easy to develop theory and doctrine J42 0170 6 which would square the two conditions. On the one hand, J42 0180 5 the major European nations had to maintain vis-a-vis J42 0190 1 each other an emphasis upon sovereignty, independence, J42 0190 8 formal equality- thus insuring for themselves individually J42 0200 8 an optimal freedom of action to maintain the "flexibility J42 0210 6 of alignment" that the system required and to avoid J42 0220 5 anything approaching a repetition of the disastrous J42 0230 1 Napoleonic experience. But there was no pressing need J42 0230 9 to maintain these same standards with regard to most J42 0240 8 of the rest of the world. Thus, theory and doctrine J42 0250 5 applicable among the great nations and the smaller J42 0260 2 European states did not really comfortably fit less J42 0260 10 developed and less powerful societies elsewhere. Political J42 0270 7 interference in Africa and Asia and even in Latin America J42 0280 8 (though limited in Latin America by the special interest J42 0290 5 of the United States as expressed in the Monroe Doctrine, J42 0300 4 itself from the outset related to European politics J42 0310 1 and long dependent upon the "balance of power" system J42 0310 10 in Europe) was necessary in order to preserve both J42 0320 8 common economic values and the European "balance" itself. J42 0330 6 A nation such as Switzerland could be neutralized by J42 0340 5 agreement and could be relied upon to protect its neutrality; J42 0350 3 more doubtful, but possible, (with an assist from the J42 0360 1 North) was the neutralization of the Latin American J42 0360 9 countries; out of the question was the neutralization J42 0370 8 of Asia and Africa. J42 0380 1 This Europeanization of the law was made explicit J42 0380 9 by a number of 19th century scholars. More emphasis J42 0390 6 was put upon the fact that international law was the J42 0400 4 law of "civilized nations"; Kent and Story, the great J42 0410 3 early American scholars, repeatedly made use of this J42 0410 11 phrase, or of "Christian nations", which is a substantial J42 0420 9 equivalent. Wheaton stated that the public law was J42 0430 8 essentially "limited to the civilized and Christian J42 0440 4 peoples of Europe or to those of European origin". J42 0450 2 Of course it had always been of European origin in J42 0450 12 fact, but it had maintained a universal outlook under J42 0460 9 the natural law theory. Now, with virtually every writer, J42 0470 6 not only was the European origin of public law acknowledged J42 0480 5 as a historical phenomenon, but the rules thus established J42 0490 3 by the advanced civilizations of Europe were to be J42 0490 12 imposed on others. The European customs on which international J42 0500 9 law was based were to become, by force and fiat, the J42 0510 10 customs that others were to accept as law if they were J42 0520 8 to join this community as sovereign states. Hall, for J42 0530 3 example, was quite explicit on this point when he said J42 0540 1 "states outside European civilization must formally J42 0540 7 enter into the circle of law-governed countries. They J42 0550 7 must do something with the acquiescence of the latter, J42 0560 5 or some of them, which amounts to an acceptance of J42 0570 2 the law in its entirety beyond all possibility of J42 0570 11 misconstruction". J42 0580 1 During the nineteenth century these views were protested J42 0580 9 by virtually all the Latin American writers, though J42 0590 8 ineffectively, just as the new nations of Africa and J42 0600 8 Asia protest them, with more effect, today. J42 0610 2 A number of other nineteenth-century developments J42 0611 1 contributed to the transmutation of the law of nations J42 0620 9 into international law; that is, from aspects of a J42 0630 8 universal system of Justice into particular rules governing J42 0640 4 the relations of sovereign states. The difference is J42 0650 2 important, for although the older law of nations did J42 0650 11 cover relationships among sovereigns, this was by no J42 0660 8 means its exclusive domain. The law of nature governed J42 0670 6 sovereigns in their relationship to their own citizens, J42 0680 4 to foreigners, and to each other in a conceptually J42 0690 1 unified system. The theory of international law, which J42 0690 9 in the nineteenth century became common to virtually J42 0700 6 all writers in Europe and America, broke this unity J42 0710 4 and this universality. It lost sight of the individual J42 0720 2 almost entirely and confined itself to rules limiting J42 0720 10 the exercise of state power for reasons essentially J42 0730 7 unconnected with justice or morality save as these J42 0740 6 values might affect international relations. No longer J42 0750 3 did the sovereign look to the law of nations to determine J42 0760 1 what he ought to do; his search was merely for rules J42 0760 12 that might limit his freedom of action. J42 0770 5 To appreciate this development, we must relate it J42 0780 4 to other aspects of nineteenth-century philosophy. J42 0780 11 First, and most obvious, was the growing nationalism J42 0790 8 and the tendency to regard the state, and the individual's J42 0800 7 identification with the state, as transcending other J42 0810 4 ties of social solidarity. National identification J42 0820 1 was not new, but it was accelerating in intensity and J42 0820 11 scope throughout Europe as new unifications occurred. J42 0830 6 It reached its ultimate philosophical statement in J42 0840 4 notions of "state will" put forward by the Germans, J42 0850 3 especially by Hegel, although political philosophers J42 0850 9 will recognize its origins in the rejected doctrines J42 0860 8 of Hobbes. National identification was reflected J42 0870 4 jurisprudentially J42 0870 5 in law theories which incorporated this Hegelian abstraction J42 0880 5 and saw law, domestic and international, simply as J42 0890 3 its formal reflection. In the international community J42 0900 1 this reduced law to Jellinek's auto-limitation. A state, J42 0900 10 the highest form of human organization in fact and J42 0910 9 theory, could be subjected to Law only by a manifestation J42 0920 7 of self-will, or consent. According to the new theories, J42 0930 5 the nineteenth century corporate sovereign was "sovereign" J42 0940 3 in a quite new and different sense from his historical J42 0950 1 predecessors. He no longer sought to find the law; J42 0950 10 he made it; he could be subjected to law only because J42 0960 9 he agreed to be. There was no law, domestic or international, J42 0970 6 except that willed by, acknowledged by, or consented J42 0980 4 to by states. J42 0980 7 Hidden behind Hegelian abstractions were more practical J42 0990 4 reasons for a changing jurisprudence. Related to, but J42 1000 3 distinguishable from, nationalism was the growth of J42 1000 10 democracy in one form or another. Increased participation J42 1010 8 in politics and the demands of various groups for status J42 1020 8 and recognition had dramatic effects upon law institutions. J42 1030 5 The efforts of various interest groups to control or J42 1040 4 influence governmental decisions, particularly when J42 1050 1 taken in conjunction with the impact of industralization, J42 1050 9 led to a concentration of attention on the legislative J42 1060 6 power and the means whereby policy could be formulated J42 1070 5 and enforced as law through bureaucratic institutions. J42 1080 1 Law became a conscious process, something more than J42 1080 9 simply doing justice and looking to local customs and J42 1090 9 a common morality for applicable norms. Particularly J42 1100 4 was this true when the norms previously applied were J42 1110 3 no longer satisfactory to many, when customs were rapidly J42 1120 1 changing as the forces of the new productivity were J42 1120 10 harnessed. The old way of doing things, which depended J42 1130 8 on a relatively stable community with stable ideas J42 1140 4 dealing with familiar situations, was no longer adequate J42 1150 2 to the task. First was the period of codification of J42 1150 12 existing law: the Code Napoleon in France and the peculiar J42 1160 10 codification that, in fact, resulted from Austin's J42 1170 7 restatement and ordering of the Common Law in England. J42 1180 6 Codification was followed in all countries by a growing J42 1190 4 amount of legislation, some changing and adjusting J42 1200 1 the older law, much dealing with entirely new situations. J42 1200 10 The legislative mills have been grinding ever since, J42 1210 7 and when its cumbersome processes were no longer adequate J42 1220 5 to the task, a limited legislative authority was delegated J42 1230 3 in one form or another, to the executive. Whereas the J42 1240 2 eighteenth century had been a time in which man sought J42 1240 12 justice, the nineteenth and twentieth have been centuries J42 1250 7 in which men are satisfied with law. Indeed, with developed J42 1260 6 positivism, the separation of law from justice, or J42 1270 4 from morality generally, became quite specific. J42 1280 1 In municipal systems we tend to view what is called J42 1280 11 positivism as fundamentally a movement to democratize J42 1290 6 policy by increasing the power of parliament- the elected J42 1300 5 representatives- at the expense of the more conservative J42 1310 3 judiciary. When the power of the latter was made both J42 1320 2 limited and explicit- when norms were clarified and J42 1320 10 made more precise and the creation of new norms was J42 1330 8 placed exclusively in parliamentary hands- two purposes J42 1340 3 were served: Government was made subservient to an J42 1350 3 institutionalized popular will, and law became a rational J42 1360 1 system for implementing that will, for serving conscious J42 1360 9 goals, for embodying the "public policy". It is true J42 1370 7 that, initially, the task was to remove restrictions J42 1380 5 that, it was thought, inhibited the free flow of money, J42 1390 4 goods, and labor; but even laissez-faire was a conscious J42 1400 1 policy. Law was seen as an emanation of the "sovereign J42 1400 11 will". However, the sovereign was not Hobbes' absolute J42 1410 8 monarch but rather the parliamentary sovereign of Austin. J42 1420 6 It was, too, an optimistic philosophy, and, though J42 1430 4 it separated law from morality, it was by no means J42 1440 1 an immoral or amoral one. Man, through democratic institutions J42 1450 1 of government and economic freedom, was master of his J42 1450 10 destiny. The theory did not require, though it unfortunately J42 1460 7 might acquire, a Hegelian mystique. It was merely a J42 1470 6 rationalization and ordering of new institutions of J42 1480 2 popular government. It was not opposed to either justice J42 1490 1 or morality; it merely wished to minimize subjective J42 1490 9 views of officials who wielded public authority. J42 1500 5 Particularly was this true as laissez-faire capitalism J42 1510 4 became the dominant credo of Western society. To free J42 1520 3 the factors of production was a major objective of J42 1520 12 the rising bourgeoisie, and this objective required J42 1530 6 that governmental authority- administrative officials J42 1540 5 and judges- be limited as precisely and explicitly J42 1550 3 as possible; that old customs which inhibited trade J42 1550 11 be abrogated; that business be free from governmental J42 1560 8 supervision and notions of morality which might clog J42 1570 7 the automatic adjustments of the free market; that J42 1580 4 obligations of status that were inconsistent with the J42 1590 2 new politics and the new economics be done away with. J42 1590 12 Contract- conceived as the free bargain of formal equals- J42 1600 11 replaced the implied obligations of a more static and J42 1610 7 status-conscious society. Indeed, contract was the J42 1620 4 dominant legal theme of the century, the touchstone J42 1630 1 of the free society. Government itself was based upon J42 1630 10 contract; business organization- the corporation- was J42 1640 4 analyzed in contractual terms; trade was based on freedom J42 1650 6 of contract, and money was lent and borrowed on contractual J42 1660 4 terms; even marriage and the family was seen as a contractual J42 1670 4 arrangement. It is not surprising that the international J42 1680 1 obligations of states were also viewed in terms of J42 1680 10 contract. In fact, some- Anzilotti is the principle J42 1690 7 example- went so far as to say that all international J42 1700 6 law could be traced to the single legal norm, Pacta J42 1710 3 sunt Servanda. J42 1710 5 The displacement (at least to a considerable extent) J42 1720 4 of the ethical jurisprudence of the seventeenth and J42 1730 2 eighteenth centuries by positivism reshaped both international J42 1730 9 law theory and doctrine. In the first place the new J42 1740 10 doctrine brought a formal separation of international J42 1760 5 from municipal law, rejecting the earlier view that J42 1770 3 both were parts of a universal legal system. One result J42 1780 1 was to nationalize much that had been regarded as the J42 1780 11 law of nations. Admiralty law, the law merchant, and J42 1790 7 the host of problems which arise in private litigation J42 1800 4 because of some contact with a foreign country were J42 1810 2 all severed from the older Law of Nations and made J42 1810 12 dependent on the several national laws. Private international J42 1820 8 law (which Americans call the "conflict of laws") was J42 1830 7 thus segregated from international law proper, or, J42 1840 4 as it is often called, public international law. States J42 1850 2 were free to enact, within broad though (perhaps) determinate J42 1860 1 limits, their own rules as to the application of foreign J42 1860 11 law by their courts, to vary the law merchant, and J42 1870 8 to enact legislation with regard to many claims arising J42 1880 5 on the high seas. The change was not quite so dramatic J42 1890 3 as it sounds because in fact common norms continued J42 1890 12 to be invoked by municipal courts and were only gradually J42 1900 9 changed by legislation, and then largely in marginal J42 1910 6 situations. J43 0010 1 Mr& Justice Black was one of the minority that rested J43 0010 11 on the Article /1, power. In this view, supported by J43 0020 8 only three members of the Court, a power denied by J43 0030 6 the specific provisions of Article /3, was granted J43 0040 3 by the generality of Article /1,. If this seems arbitrary, J43 0050 1 its effect was to treat citizens of the District of J43 0050 11 Columbia equally with citizens of the states- at the J43 0060 8 expense of expanding a troublesome jurisdiction. J43 0070 2 #FEDERAL QUESTION JURISDICTION# J43 0070 5 For almost a hundred years we relied upon state courts J43 0080 9 (subject to review by the Supreme Court) for the protection J43 0090 6 of most rights arising under national law. Then in J43 0100 4 1875, apparently in response to the nationalizing influence J43 0110 2 of the Civil War, Congress first gave the lower federal J43 0110 12 courts general authority- concurrently with state tribunals- J43 0120 7 to decide cases involving federal-right questions. J43 0130 6 One purpose of the change was to attain sympathetic J43 0140 5 enforcement of rights insured by the Civil War amendments J43 0150 3 against state interference. Serious difficulty arose J43 0160 1 with the advent of Substantive Due Process. An amendment, J43 0160 10 presumably designed to deal with the problems of newly J43 0170 9 freed slaves, became a "laissez-faire" limitation upon J43 0180 6 state economic policy. A flood of federal lower court J43 0190 5 injunctions seriously impeded the processes of local J43 0200 2 government. Congress reacted with a series of measures J43 0200 10 modifying in various ways what it had granted in 1875. J43 0210 10 In 1910 it required the convening of a special three-judge J43 0220 7 court for the issuance of certain injunctions and allowed J43 0230 4 direct appeals to the Supreme Court. Such legislation J43 0240 2 was clarified and extended from time to time thereafter. J43 0250 1 In 1913 an abortive provision was made for the stay J43 0250 11 of federal injunction proceedings upon institution J43 0260 4 of state court test cases. The essential ineffectiveness J43 0270 2 of these measures resulted in 1934 in substantial elimination J43 0280 2 of federal jurisdiction to enjoin state public utility J43 0280 10 rate orders. Three years later similar restraints were J43 0290 8 imposed upon injunctions against collection of state J43 0300 5 taxes. This saved for state adjudication, in the first J43 0310 4 instance, the two major areas where federal injunctions J43 0320 1 had been most obnoxious, but other areas remained vulnerable. J43 0330 1 Meanwhile, the Supreme Court, like Congress, showed J43 0330 8 misgivings concerning this aspect of government by J43 0340 7 injunction. Drawing upon the traditional discretion J43 0350 4 of the chancellor, Mr& Justice Holmes introduced a J43 0360 3 series of self-imposed judicial restraints that culminated J43 0370 1 in Mr& Justice Frankfurter's famous doctrine of abstention. J43 0380 1 Whereas the earlier cases turned rather narrowly upon J43 0380 9 the availability of adequate state remedies, the new J43 0390 7 emphasis is upon the nature of the state policy at J43 0400 5 issue. The classic case is Railroad Commission v& Pullman. J43 0410 3 The commission had issued an administrative order which J43 0420 2 was challenged as discriminatory against Negroes. Its J43 0420 9 enforcement was enjoined by a federal trial court. J43 0430 8 On review the Supreme Court, via Mr& Justice Frankfurter, J43 0440 6 found southern racial problems "a sensitive area of J43 0450 5 social policy on which the federal courts ought not J43 0460 2 to enter unless no alternative to **h adjudication J43 0460 10 is open". An alternative was found in the vagueness J43 0470 8 of state law as to whether the offending order had J43 0480 5 in fact been authorized. Reluctant, as usual, to interpret J43 0490 3 state legislation- such interpretation can only be J43 0500 1 a "forecast rather than a determination"- Mr& Justice J43 0500 9 Frankfurter led a unanimous Court to vacate the injunction. J43 0510 9 But it is crucial that here, unlike Burford, the trial J43 0520 7 court was ordered to retain the case until the state J43 0530 6 courts had had a reasonable opportunity to settle the J43 0540 4 state-law question. "The resources of equity are equal J43 0550 1 to an adjustment that will avoid the waste of a tentative J43 0550 12 decision as well as the friction of a premature constitutional J43 0560 9 adjudication". J43 0570 1 Temporary abstention, i&e&, postponement, is one J43 0570 7 thing; refusal to adjudicate is another. To the extent J43 0580 9 that the jurisdictional principle of 1875 stands unmodified J43 0590 6 by subsequent legislation, federal equitable relief J43 0600 3 against state action must be available- or so it seems J43 0610 3 to Mr& Justice Frankfurter. In Alabama Public Service J43 0620 1 Commission v& Southern Ry& Co&, the commission had J43 0630 1 refused to permit abandonment of certain "uneconomic" J43 0630 8 train facilities. The railroad, claiming deprivation J43 0640 5 of property without due process of law, sought injunctive J43 0650 5 relief. The Court held that federal jurisdiction should J43 0660 3 not be exercised lest the domestic policy of the state J43 0670 1 be obstructed; this in the name of equitable discretion. J43 0680 1 Justices Frankfurter and Jackson concurred in the J43 0680 7 Court's result, for they found no merit in the railroad's J43 0690 9 claim. But they objected vigorously to the proposition J43 0700 5 that federal courts may refuse to exercise jurisdiction J43 0710 2 conferred in a valid act of Congress: J43 0720 1 "By one fell swoop the Court now finds that Congress J43 0720 10 indulged in needless legislation in the acts of 1910, J43 0730 7 1913, 1925, 1934 and 1937. By these measures, Congress, J43 0740 4 so the Court [in effect] now decides, gave not only J43 0750 3 needless but inadequate relief, since it now appears J43 0750 11 that the federal courts have inherent power to sterilize J43 0770 9 the Act of 1875 against all proceedings challenging J43 0780 4 local regulation". J43 0780 6 A most revealing recent case is Textile Workers J43 0790 7 Union v& Lincoln Mills. The Taft-Hartley Act gave the J43 0800 8 federal courts jurisdiction over "suits for violation J43 0810 5 of contracts between an employer and a labor organization J43 0820 3 representing employees in an industry affecting commerce". J43 0830 1 On its face this merely provides a federal forum; it J43 0830 11 does not establish any law (rights) for the federal J43 0840 9 judges to enforce. How can judges exercise jurisdiction J43 0850 5 to enforce national rights when Congress has created J43 0860 3 none? The Court held that Congress had intended the J43 0870 2 federal judiciary to "fashion" an appropriate law of J43 0870 10 labor-management contracts. In short, congressional J43 0880 5 power to grant federal-question authority to federal J43 0890 4 courts is now apparently so broad that Congress need J43 0900 2 not create, or specify, the right to be enforced. J43 0910 1 The Lincoln Mills decision authorizes a whole new J43 0910 8 body of federal "common law" which, as Mr& Justice J43 0920 7 Frankfurter pointed out in dissent, leads to one of J43 0930 7 the following "incongruities": "(1) conflict in federal J43 0940 4 and state court interpretations of collective bargaining J43 0950 2 agreements; (2) displacement of state law by federal J43 0950 10 law in state courts **h in all actions regarding collective J43 0960 10 bargaining agreements; or (3) exclusion of state court J43 0970 7 jurisdiction over these matters". The Justice's elaborate J43 0980 4 examination of the legislative history of the provision J43 0990 4 in question suggests that Congress' purpose was merely J43 1000 3 to make unions suable. With a few exceptions, the lawmakers J43 1010 1 seemed unaware of the technical problems of federal J43 1010 9 jurisdiction involved- to say nothing of the delegation J43 1020 7 of lawmaking power to judges. To avoid these constitutional J43 1030 5 difficulties, Mr& Justice Frankfurter was prepared J43 1040 3 to read the Taft-Hartley provision as concerned with J43 1050 2 diversity, rather than federal question, jurisdiction. J43 1050 8 This would satisfy what presumably was Congress' major J43 1060 8 purpose- the suability of unions. It would also leave J43 1070 7 intact the states' traditional authority in the realm J43 1080 5 of contract law. (As we have seen, the Erie and York J43 1090 3 decisions require federal courts in diversity cases J43 1100 1 to follow state decisional rules.) Here again Mr& Justice J43 1100 10 Frankfurter could not lightly accept the principle J43 1110 7 of wholesale judicial legislation. If Congress wants J43 1120 5 to displace the states from areas which they have customarily J43 1130 5 occupied, let it do so knowingly and explicitly. And J43 1140 2 let it do its own lawmaking and not leave that to federal J43 1180 1 judges. Does Lincoln Mills suggest that if Congress J43 1180 9 granted jurisdiction over interstate divorce cases, J43 1190 5 the federal courts would be authorized to fashion a J43 1200 5 national law for the dissolution of marriages? J43 1210 1 There is a common problem behind most of these federal J43 1210 11 question and diversity cases. Congress has not clearly J43 1220 8 defined the bounds between state and federal court J43 1230 6 competence. It has the power to do so but for the most J43 1240 6 part has left the matter for solution by judges on J43 1250 1 a case-by-case basis. A careful student has suggested J43 1250 11 that "In any new revision [of the Judicial Code] the J43 1260 8 legislators would do well to remember that the allocation J43 1270 6 of power to the federal courts should be limited to J43 1280 4 those matters in which their expertise in federal law J43 1290 1 might be used, leaving to the state judiciaries the J43 1290 10 primary obligation of pronouncing state law". Obviously, J43 1300 6 the goal here proposed is the guiding principle in J43 1310 4 Mr& Justice Frankfurter's opinions- to the extent that J43 1320 4 Congress leaves the problem to judicial discretion. J43 1330 1 The same rule of specialization and division of labor J43 1330 10 guides him in the ~FELA certiorari cases, in the administrative J43 1340 8 law area, and indeed in the whole realm of judicial J43 1350 9 review. Mr& Justice Black no doubt concurs in principle J43 1360 6 but is more apt to make exceptions to achieve a generous J43 1370 4 and "just" result. He will not be "fooled by technicalities". J43 1380 3 #FEDERAL REVIEW OF STATE DECISIONS# J43 1380 8 With few exceptions, Congress has not given federal J43 1390 7 courts exclusive authority to enforce rights arising J43 1400 5 under federal law. To put it differently, state and J43 1410 3 federal courts have concurrent jurisdiction with respect J43 1420 1 to most claims of federal right. To insure uniformity J43 1420 10 in the meaning of national law, however, state interpretations J43 1430 7 are subject to Supreme Court review. It may be noted, J43 1440 7 parenthetically, that to evade "desegregation" an ex-Justice J43 1450 4 and former southern governor has urged Congress to J43 1460 3 abolish this reviewing authority. The result, of course, J43 1470 1 would be that federal law inevitably would mean different J43 1470 10 things in different states. It would also probably J43 1480 7 mean different things within the same state- depending J43 1482 5 upon what court (state or federal) rendered decision. J43 1490 2 We consider here only a few of many problems involved J43 1500 1 in this crucial federal-state relationship. The first J43 1500 9 is that enforcement of national law in state litigation J43 1510 7 raises in reverse the old diversity puzzle of the relation J43 1520 6 of procedure to substance. Subject to certain constitutional J43 1530 3 restraints in favor of fair trials, each level of government J43 1540 3 is free to devise its own judicial procedures. Litigants J43 1550 1 who choose to assert federal claims in a state court J43 1550 11 go into that court subject to its rules of procedure. J43 1560 8 A similar canon applies to those who press state claims J43 1561 5 in federal tribunals, e&g&, in diversity cases. In J43 1562 3 an ~FELA controversy the state court followed established J43 1570 7 state procedure by construing a vague complaint "most J43 1580 7 strongly against" the complainant. In other words the J43 1590 5 burden of pleading clearly rested upon the pleader J43 1600 3 by state law. The result was that the plaintiff's case J43 1610 1 was dismissed. Mr& Justice Black led a reversing majority: J43 1610 10 "Strict local rules of pleading cannot be used to impose J43 1620 10 unnecessary burdens upon rights of recovery authorized J43 1630 6 by federal law". Here, as in the Byrd case, another J43 1640 6 element of state procedure was subsumed to federal J43 1650 3 judge-made law. Justices Frankfurter and Jackson dissented: J43 1660 1 "One State may cherish formalities more than another, J43 1660 9 one State may be more responsive than another to procedural J43 1670 10 reforms. If a litigant chooses to enforce a Federal J43 1680 8 right in a State court, he cannot be heard to object J43 1690 6 if he is treated exactly as are plaintiffs who press J43 1700 2 like claims arising under State law with regard to J43 1700 11 the form in which the claim must be stated- the particularity, J43 1710 10 for instance, with which a cause of action must be J43 1720 9 described. Federal law, though invoked in a State court, J43 1730 5 delimits the Federal claim- defines what gives a right J43 1740 4 to recovery and what goes to prove it. But the form J43 1740 15 in which the claim must be stated need not be different J43 1750 11 from what the State exacts in the enforcement of like J43 1760 7 obligations created by it, so long as a requirement J43 1770 4 does not add to, or diminish, the right as defined J43 1780 1 by Federal law, nor burden the realization of this J43 1780 10 right in the actualities of litigation". J43 1790 3 Another problem in the area of federal-state relationships J43 1800 2 is this: what constitutes reversible error in a state J43 1810 3 decision? Terminiello v& Chicago involved a conviction J43 1820 1 for disorderly conduct under a local ordinance. The J43 1820 9 conduct in question was a speech. The accused did not J43 1830 10 object to the trial court's charge to the jury that J43 1840 6 discourse "may constitute a breach of the peace if J43 1850 4 it stirs the public to anger, invites dispute, brings J43 1850 13 about a condition of unrest **h". For present purposes J43 1860 9 it may be assumed that this charge so narrowly limited J43 1870 7 speech as to violate the federal Constitution. Though J43 1880 3 the accused raised many other objections, he did not J43 1890 3 object on this crucial point at any stage of the proceedings. J43 1900 1 That is, he did not claim in any of the four courts J43 1900 13 through which his case progressed that the jury charge J43 1910 7 had denied him any federal right. J44 0010 1 How else can one explain, for example, allowing the J44 0010 10 survival of the right to amortize bond discount and J44 0020 6 premium (section 381(c)(9)), but not the right to amortize J44 0030 5 bond issue expenses; or allowing a deduction for payment J44 0040 3 of certain obligations of a transferor assumed in the J44 0040 12 reorganization (section 381(c)(16)), but not a deduction J44 0050 7 for theft losses sustained by a transferor prior to J44 0060 7 a reorganization but discovered after it; or requiring J44 0070 5 a transferor to carry over its method of depeciation J44 0080 1 (section 381(c)(6)), but not allowing rapid amortization J44 0080 8 of emergency facilities transferred in a reorganization; J44 0090 7 or allowing survival of a dividend carryover to a personal J44 0100 8 holding company (section 381(c)(14)), but not carryover J44 0110 5 of excess tax credits for foreign taxes? J44 0120 1 These items, and most of the others listed above, J44 0120 10 seem quite comparable to items whose right of survival J44 0130 9 is provided for in section 381. There does not seem J44 0140 6 to be any reasonable basis for distinction either in J44 0150 3 terms of the nature of the tax attribute or in terms J44 0150 14 of tax-avoidance possibilities. With respect to items J44 0160 8 such as these the provisions of section 381(c), viewed J44 0170 6 in historical perspective, suggest a rule requiring J44 0180 4 survival, whether the items are beneficial or detrimental J44 0190 1 to the surviving corporation. To this extent some stretching J44 0200 1 of the literal meaning of the Committee Report seems J44 0200 10 justified, since the literal meaning conflicts with J44 0210 6 the clear implication, if not the language, of the J44 0220 4 statute. J44 0220 5 It is not contended that section 381 should prescribe J44 0230 4 the survival of all of the transferor's tax attributes. J44 0240 1 Such an interpretation could not be justified by a J44 0240 10 construction of the statute alone; it would certainly J44 0250 8 violate the intention of Congress as expressed in the J44 0260 6 Committee Report; and in at least one instance, involving J44 0270 4 refund claims, it might be contrary to another provision J44 0280 2 of the United States Code. J44 0280 7 #REFUND CLAIMS# J44 0280 9 Section 203 of the United States Code voids an assignment J44 0290 10 of a claim against the Government unless made after J44 0300 6 it has been allowed, the amount due has been ascertained, J44 0310 4 and a warrant for its payment has been issued. If it J44 0320 3 were not for judicial development of certain exceptions, J44 0320 11 this section would prohibit a suit for refund by an J44 0330 10 acquiring corporation for taxes paid by a transferor J44 0340 6 corporation, even though the reorganization meets the J44 0350 3 requirements of section 381(a). J44 0350 7 A clearly recognized exception is a statutory merger J44 0360 6 or consolidation. The leading case, Seaboard Air Line J44 0370 4 Railway v& United States, held that the transferee J44 0380 3 could sue for a refund of taxes paid by the transferor, J44 0390 1 and it has been consistently followed. The Court said J44 0390 10 the purpose of the section was principally to spare J44 0400 8 the Government the embarrassment and trouble of dealing J44 0410 5 with several parties, one of them a stranger to the J44 0420 3 claim, and to prevent traffic in claims, particularly J44 0420 11 tenuous claims, against the Government. Neither reason, J44 0430 7 said the Court, applied to the case at hand; furthermore, J44 0440 7 Congress could not be presumed to have intended to J44 0450 5 obstruct mergers approved by the states. Other exceptions J44 0460 2 are assignments for the benefit of creditors, corporate J44 0460 10 dissolutions, transfers by descent, or transfers by J44 0470 7 subrogation. Exceptions are often classified as transfers J44 0480 6 by "operation of law". J44 0490 1 A tax-free reorganization not complying with the J44 0490 9 merger or consolidation statutes of the states involved J44 0500 6 is difficult to fit into an "operation of law" mold. J44 0510 4 Although it is in some ways comparable to a voluntary J44 0520 3 sale of assets for cash, to which section 203 quite J44 0520 13 clearly applies, the courts and Treasury have held J44 0530 8 that acquiring corporations in several types of non-taxable J44 0540 7 reorganizations may sue for refund of taxes paid by J44 0550 5 transferors. A recent case in point is Mitchell Canneries J44 0560 2 v& United States, in which a claim against the Government J44 0570 1 was transferred first from a corporation to a partnership, J44 0570 10 whose partners were former stockholders, and then to J44 0580 8 another corporation formed by the partners. Holding J44 0590 5 the final corporation entitled to sue on the claim, J44 0600 3 the Court cited the Seaboard, Novo Trading, and Roomberg J44 0610 1 cases for the proposition that "**h transfers by operation J44 0620 1 of law or in conjunction with changes of corporate J44 0620 10 structure are not assignments prohibited by the statute". J44 0630 6 In an earlier case, Kingan + Co& v& United States, J44 0640 7 an American corporation was formed for the purpose J44 0650 6 of acquiring the stock of a British corporation in J44 0660 2 exchange for its own stock and then liquidating the J44 0660 11 British corporation. The anti-assignment statute was J44 0670 7 held not to prevent the American corporation from suing J44 0680 5 for a refund of taxes paid by the British corporation. J44 0690 2 The transaction presumably would have qualified under J44 0700 1 section 368(a)(1)(B) as a contractual reorganization, J44 0700 7 followed by a section 332 liquidation, but not under J44 0710 9 section 368(a)(1)(A) as a statutory merger of consolidation. J44 0720 7 The Court, nevertheless, relied on the Seaboard case J44 0730 5 and also mentioned that the shareholders of the two J44 0740 4 corporations were the same. In substance, said the J44 0740 12 Court, there was no transfer of equitable title. J44 0750 8 The Treasury arrives at substantially the same conclusion, J44 0760 6 but skirts the problem of section 203 of the United J44 0770 5 States Code. Revenue Ruling 54-17 provides that if J44 0780 3 the corporation against which a tax was assessed has J44 0780 12 since been liquidated by merger with a successor corporation, J44 0790 8 a claim for refund should be filed by the successor J44 0800 7 in the name and on behalf of the corporation which J44 0810 3 paid the tax, followed by the name of the successor J44 0820 1 corporation. Proper evidence of the liquidation and J44 0820 8 succession must also be filed. If the succession is J44 0830 7 a matter of public record, certificates of the Secretaries J44 0840 4 of State or other public officials having custody of J44 0850 2 the documents will suffice; if the succession is not J44 0850 11 of record, all documents relating to such succession, J44 0860 7 properly certified, are required. The former proof J44 0870 5 seems applicable to a statutory merger or consolidation, J44 0880 3 the latter to a contractual acquisition. The Ruling J44 0890 1 would not, however, apply to an acquisition of assets J44 0890 10 for cash. A recent Ruling, although rather confusing, J44 0900 5 cites and follows Rev& Rul& 54-17. The Ruling suggests J44 0910 6 also that it applies to either a statutory or contractual J44 0920 3 reorganization. Hence, a successor corporation in a J44 0930 3 ~C reorganization appears entitled to sue for a refund J44 0930 12 of taxes paid by the merged corporation despite section J44 0940 8 203. J44 0940 9 In a ~B reorganization, followed by a section 332 J44 0950 7 liquidation, those cases which hold that section 203 J44 0960 6 is inapplicable to transfers in liquidation appear J44 0970 2 to permit the successor corporation to sue for refund J44 0970 11 of taxes paid by the transferor. In fact, a cash purchase J44 0980 10 of a corporation's stock followed by liquidation might J44 0990 6 also be an effective way to transfer a claim for refund J44 1000 5 if the Kimbell-Diamond doctrine is not applied to eliminate J44 1010 4 the intermediate step. J44 1010 7 These results appear sound. As stated in Seaboard J44 1020 6 and numerous other cases, the two primary reasons for J44 1030 4 the enactment of section 203 of the United States Code J44 1040 2 were to prevent the Government from having to deal J44 1040 11 with more than one claimant and to prevent the assignment J44 1050 9 of meretricious claims on a contingent-fee basis. The J44 1060 7 cases have allowed transfer of claims if beneficial J44 1070 3 ownership is not changed. The first reason would never J44 1080 1 apply to a reorganization transfer which meets the J44 1080 9 conditions of section 381(a), which is the only type J44 1090 7 presently under discussion. Section 381(a) applies J44 1100 3 only to a transfer by liquidation of a subsidiary owned J44 1110 2 to the extent of at least 80 per cent, a statutory J44 1110 13 merger or consolidation, an acquisition of substantially J44 1120 5 all a corporation's assets solely in exchange for voting J44 1130 6 stock, or a change of identity, form, or place of organization. J44 1140 5 In virtually every case the transferor corporation J44 1150 1 is liquidated, and its former stockholders either own J44 1150 9 outright, or have a continuing stock interest in, the J44 1160 9 assets which gave rise to the tax. In these circumstances J44 1170 7 the possibility of multiple or conflicting claims is J44 1180 3 exceedingly remote. Furthermore, in a ~C reorganization J44 1190 1 the continuing interest of stockholders of the corporation J44 1200 1 which paid the tax must be greater than is necessary J44 1200 11 in a statutory merger, to which the statute is clearly J44 1210 7 inapplicable. J44 1210 8 Nor is it at all likely that a "desperate" claim J44 1220 8 against the Government will be assigned on a contingent-fee J44 1230 7 basis in the guise of a tax-free reorganization. If J44 1240 2 the transferor has substantial assets other than the J44 1250 1 claim, it seems reasonable to assume no corporation J44 1250 9 would be willing to acquire all of its properties in J44 1260 7 the dim hope of collecting a claim for refund of taxes. J44 1270 5 If such an unlikely transaction were to take place, J44 1280 1 it would more logically be accomplished by a stock J44 1280 10 purchase, followed by the prosecution of the claim J44 1290 7 by the wholly-owned subsidiary, followed by liquidation. J44 1300 3 In the rare case where a corporation's only substantial J44 1310 2 asset, or its most important one, is a claim for refund, J44 1310 13 perhaps its transfer should not be permitted, whether J44 1320 8 the reorganization takes the form of a statutory merger J44 1330 8 or of the acquisition of assets for stock. J44 1340 3 It appears, then, that although the matter is not J44 1350 1 dealt with in section 381(c), a successor corporation J44 1350 9 in a reorganization of a type specified in section J44 1360 7 381(a) is entitled to sue for refund of taxes paid J44 1370 4 by a transferor corporation. Section 203 of the United J44 1380 1 States Code has been interpreted as not applying to J44 1380 10 claims against the Government transferred in tax-free J44 1390 7 reorganizations. The successor corporations have been J44 1400 4 held entitled to sue on such claims. J44 1400 11 #OTHER TAX ATTRIBUTES OF THE TRANSFEROR# J44 1410 6 There are certain tax attributes of a corporation whose J44 1420 5 nature and effect might depend on the facts of the J44 1430 3 particular reorganization involved. For example, property J44 1430 9 "used in the trade or business" of a transferor corporation, J44 1440 10 as defined in section 1231, presumably would not retain J44 1450 8 its special status following a non-taxable reorganization J44 1460 5 if it is not so used in the business of the acquiring J44 1470 4 corporation. The parent of a group filing consolidated J44 1480 1 returns might be treated as the same corporation following J44 1480 10 a reorganization defined in section 368(a)(1)(F), but J44 1490 6 as a different corporation for this purpose after a J44 1500 6 tax-free acquisition by another corporation which had J44 1510 3 not, for example, elected to file consolidated returns J44 1520 1 with its own subsidiaries. Similar considerations presumably J44 1520 8 made it difficult to prescribe a general rule where J44 1530 9 the acquired and acquiring corporations have different J44 1540 4 methods of accounting (section 381(c)(4)) or depreciation J44 1550 3 (section 381(c)(6)). J44 1550 5 Other sections of the 1954 Internal Revenue Code J44 1560 7 provide for survival of certain of a transferor's tax J44 1570 4 attributes following a tax-free reorganization. Section J44 1580 2 362 requires carryover of the transferor corporation's J44 1580 9 basis for property transferred, and section 1223 provides J44 1590 8 for tacking on the transferor's holding period for J44 1600 6 such property to that of the transferee. Section 169 J44 1610 3 permits a person acquiring grain-storage facilities J44 1620 1 to elect to continue amortization over a 60-month period. J44 1620 11 However, a similar privilege was not specifically provided J44 1630 8 in section 168 for a person acquiring emergency facilities. J44 1650 1 _ATTRIBUTES SIMILAR TO A LOSS CARRYOVER._ J44 1650 2 There may be certain items which are quite similar J44 1660 1 to a net operating loss carryover or operating deficit J44 1660 10 and whose right to survive a reorganization should J44 1670 6 perhaps be subject to the conditions applicable to J44 1680 3 those items. For example, suppose another excess profits J44 1690 1 tax similar to prior laws is enacted, providing for J44 1690 10 carryover of excess profits credits. This carryover J44 1700 6 right has a number of things in common with a net operating J44 1710 6 loss carryover. It is an averaging device intended J44 1720 2 to ease the tax burden of fluctuating income; it is J44 1720 12 a tax benefit which might be of substantial value to J44 1730 9 a corporation which expects to have a high excess profits J44 1740 7 tax. Under the 1939 Code this item was permitted to J44 1750 4 survive a tax-free reorganization in the Stanton Brewery J44 1760 2 case, but only over the dissent of Judge Learned Hand, J44 1770 1 who wrote the majority opinion in the Sansome case, J44 1770 10 a leading case requiring carryover of earnings and J44 1780 6 profits in a non-taxable reorganization. J44 1790 1 Since this type of item was not in the statute when J44 1800 1 section 381 was enacted in 1954, one cannot say with J44 1800 11 certainty what effect the enactment of that section J44 1810 6 should have. With respect to this type of item, one J44 1820 5 might properly apply the language of the Committee J44 1830 1 Report, quoted above, which cautions against using J44 1830 8 section 381 as a basis for treating other tax attributes J44 1840 7 not mentioned therein. J44 1850 1 Actually, there do not presently appear to be items J44 1850 10 in the statute comparable to a net operating loss carryover. J44 1860 7 Probably the primary reason for special treatment of J44 1870 5 a net operating loss carryover is the unique opportunity J44 1880 2 it presents for tax avoidance. J45 0010 1 #A. REASONS FOR SELECTING MAIL QUESTIONNAIRE METHOD# J45 0010 8 There were two methods that could have been used for J45 0020 8 conducting the study within the resources available: J45 0030 3 (1) interviews in depth with a few selected companies, J45 0040 2 and (2) the more limited interrogation of a large number J45 0040 12 of companies by means of a mail questionnaire. J45 0050 8 While the method of interviewing a small number J45 0060 6 of companies was appealing because of the opportunity J45 0070 2 it might have furnished to probe fully the reasons J45 0070 11 and circumstances of a company's practices and opinions, J45 0080 8 it also involved the risk of paying undue attention J45 0090 7 to the unique and peculiar problems of just a few individual J45 0100 6 companies. As a result, it was decided that a mail J45 0110 3 questionnaire sent to a large number of companies would J45 0110 12 be more effective in determining the general practices J45 0120 7 and opinions of small firms and in highlighting some J45 0140 6 of the fundamental and recurring problems of defense J45 0150 3 procurement that concern both industry and government. J45 0160 1 It was also hoped that responses to a mail questionnaire J45 0160 11 would suggest fruitful inquiries that might be made J45 0170 7 in subsequent studies of a more detailed nature. J45 0180 3 It is recognized that a mail questionnaire has inherent J45 0190 3 limitations. There is the danger that the questions J45 0190 11 will mean different things to different respondents. J45 0200 7 Simple "yes" or "no" answers do not reveal the different J45 0210 8 shades of opinion that the various respondents may J45 0220 4 have. A respondent may want to make alternative answers J45 0230 2 because he does not know the precise circumstances J45 0230 10 assumed in the question. There is also the problem J45 0240 9 of the respondent's frame of reference. Is the respondent J45 0250 6 making a recommendation for his own benefit, for the J45 0260 4 benefit of his industry, for the benefit of a specific J45 0270 1 government department or service, for the benefit of J45 0270 9 the defense program, for the benefit of small business, J45 0280 8 or for the benefit of the taxpayers? J45 0290 2 There is also the question of whether the respondent J45 0300 1 based his answers on factual information and carefully J45 0300 9 considered judgment, or whether his answers were casual J45 0310 8 guesses. Finally, there is the question of how strongly J45 0320 7 an expressed opinion is held- whether it is a firm J45 0330 5 opinion or one that the respondent favors only slightly J45 0340 1 over the alternatives. J45 0340 4 The research team was very mindful of these dangers J45 0350 3 and limitations of a mail questionnaire. Under the J45 0350 11 circumstances, however, the team considered it would J45 0360 7 provide the most useful information at this point. J45 0370 5 In the preparation of the questionnaire the problems J45 0380 3 noted above were carefully considered, and the structure J45 0390 1 and phraseology used were designed to minimize the J45 0390 9 effects of these limitations. J45 0400 2 #B. DESIGN OF THE QUESTIONNAIRE# J45 0400 7 The questionnaire was designed to elicit three types J45 0410 6 of information: (1) the facts regarding certain characteristics J45 0420 3 of the respondents, including their experience with, J45 0430 2 and interest in, securing defense business; (2) the J45 0430 10 actual selling and buying practices of the respondents; J45 0440 8 and (3) the attitudes and opinions of the respondents J45 0450 6 concerning bidding procedures and the methods of awarding J45 0460 5 defense contracts. It was hoped that the facts concerning J45 0470 2 the characteristics and practices of the respondents J45 0470 9 would offer clues to the reasons why they took the J45 0480 10 positions and made the recommendations which they did. J45 0490 5 The major sections of the questionnaire (see Appendix J45 0500 3 ~B) are devoted to the following: J45 0510 1 _1._ J45 0520 1 Information for classifying respondents (Part ~A J45 0520 7 of the questionnaire) J45 0530 1 _2._ J45 0530 2 Characteristics of defense sales activities (Part J45 0530 8 ~B of the questionnaire) J45 0540 4 _3._ J45 0540 5 Respondents' practices in participating in advertised J45 0550 3 bidding for defense business (Part ~C of the questionnaire) J45 0560 2 _4._ J45 0560 3 Respondents' practices in participating in negotiated J45 0570 2 bidding for defense purposes (Part ~D of the questionnaire) J45 0580 1 _5._ J45 0580 2 Respondents' opinions regarding advertised bidding J45 0590 1 (Part ~E of the questionnaire) J45 0590 6 _6._ J45 0590 7 Respondents' opinions regarding negotiated bidding J45 0600 3 (Part ~F of the questionnaire) J45 0610 1 _7._ J45 0610 1 Respondents' preferences regarding the methods of J45 0610 7 awarding defense contracts (Part ~G of the questionnaire) J45 0620 7 The questionnaire provided a place for the name J45 0630 7 of the respondent but stated that identification of J45 0640 2 the respondent was optional. The questionnaire also J45 0640 9 stated that, in any event, all replies would be treated J45 0650 10 confidentially. It is interesting to note that 75 per J45 0660 9 cent of those who returned the questionnaire identified J45 0670 3 themselves. J45 0670 4 #C. PREPARATION AND PRETEST OF THE QUESTIONNAIRE# J45 0690 1 The research team prepared and then revised the questionnaire J45 0700 1 over a period of six months. In June, 1960, an early J45 0700 12 draft of the questionnaire, along with a cover letter, J45 0710 9 was mailed to fourteen companies in the state of Washington. J45 0720 7 Several days after the companies had received the questionnaire, J45 0730 5 members of the research team contacted the presidents J45 0740 3 of eleven of these companies in person or by phone J45 0750 1 to discuss any ambiguities or difficulties the addressees J45 0750 9 might have experienced in completing the questionnaire. J45 0760 6 This test resulted in further revisions of the questionnaire. J45 0770 6 The research team was concerned that responses from J45 0780 5 firms in the state of Washington might not be typical J45 0790 4 of those throughout the country, or that the results J45 0790 13 might be different when no phone or personal follow-up J45 0800 10 was made. Accordingly, another test of the questionaire J45 0810 6 was made. The revised draft was mailed in July, 1960, J45 0820 6 to 100 firms throughout the United States. Fifty of J45 0830 3 the 100 firms were selected on a random basis from J45 0830 13 3,500 names submitted by member companies of the Aerospace J45 0840 8 Industries Association (~AIA list) and fifty were selected J45 0850 7 in a similar manner from a list of 1,500 names compiled J45 0860 7 by the research team from the Thomas Register (~TR J45 0870 3 list). The method of compiling the ~AIA and ~TR lists J45 0880 3 will be described later. J45 0880 7 Ten days after the questionnaires were mailed, follow-up J45 0890 5 airmail postcards were sent urging those companies J45 0900 3 which had not yet returned their questionnaires to J45 0900 11 do so at once. Twenty-eight returns in all were received. J45 0910 11 The responses were carefully checked for obvious errors J45 0920 7 in the answers or for questions that were apparently J45 0930 4 not understood by the respondent. The cover letter, J45 0940 2 questionnaire, and follow-up postcard were then revised J45 0940 10 into final form (see Appendixes ~A, ~B, and ~C. J45 0950 9 #D. COMPILATION OF MAILING LISTS# J45 0960 4 The objective of the study was to determine the opinions J45 0970 2 and practices of small firms selling to defense programs. J45 0970 11 The firms to receive the questionnaires were selected J45 0980 8 with this objective in mind. J45 0990 3 Three lists of companies were made and used in the J45 1000 1 study. J45 1000 2 The first was a list of fourteen manufacturing companies J45 1010 1 located in the state of Washington which were personally J45 1010 10 known to the research team to be active in defense J45 1020 9 work. The primary consideration in the compilation J45 1030 4 of this list was convenience in discussing the questionnaire J45 1040 2 with company officers. J45 1040 5 The second list was derived from a group of approximately J45 1050 6 8,000 names supplied to the research team by the Aerospace J45 1060 5 Industries Association. These names were secured from J45 1070 2 member companies by the Association from the forty-four J45 1070 11 sources listed in Appendix ~F. Each source selected J45 1080 8 from its approved bidders list about 200 firms which J45 1090 7 it believed to be small businesses that participated J45 1100 3 in the production of weapons and weapon support systems. J45 1110 1 Where possible, the name of an executive was supplied J45 1110 10 along with the company name and address. J45 1120 6 The forty-four lists supplied by the ~AIA member J45 1130 5 companies were merged and duplicate names were eliminated. J45 1140 2 There was further elimination of all companies that J45 1140 10 were not accompanied by the name of a responsible company J45 1150 10 executive. The remaining names were then checked against J45 1160 7 the Thomas Register list (see below) and duplicate J45 1170 5 names were removed from the ~AIA lists. By these steps J45 1180 4 the final ~AIA list was reduced from 8,000 to 3,500. J45 1190 1 The third list was selected by the research team J45 1190 10 on a random basis from the Thomas Register. It was J45 1200 8 compiled as a control sample to determine if the opinions J45 1210 6 and practices of companies on the lists submitted by J45 1220 3 the members of the Aerospace industries Association J45 1230 1 were materially different from those of other small J45 1230 9 firms selling to defense programs. Such a difference J45 1240 5 might have resulted from: J45 1250 1 _1._ J45 1250 1 The fact that the Aerospace Industries Association J45 1250 8 members whose lists were used did not comprise all J45 1260 8 firms engaged in defense programs. J45 1270 1 _2._ J45 1270 2 The fact that companies on the ~AIA lists were already J45 1280 1 participating in the defense program because of the J45 1280 9 manner of their selection. Accordingly, as "in-group", J45 1290 6 they might have different opinions and practices than J45 1300 4 an "out-group" composed of those companies not so participating J45 1310 4 but interested in defense business. J45 1310 9 _3._ J45 1320 1 The fact that ~AIA lists might not have been selected J45 1320 10 on a random basis. J45 1330 2 The control sample was selected by taking the bottom J45 1340 1 name of each of the two columns of names on each page J45 1340 13 of the alphabetical listing of manufacturers in the J45 1350 6 Thomas Register. If the bottom name in each column J45 1360 5 did not have a responsible executive identified, the J45 1370 2 next name above which identified such a responsible J45 1370 10 executive was substituted. Fifteen hundred names were J45 1380 6 selected in this fashion. J45 1380 10 #E. MAILING THE QUESTIONNAIRE# J45 1390 4 Each questionnaire was mailed with a cover letter addressed J45 1400 4 personally to the president or other executive of each J45 1410 3 firm. The questionnaires were mailed in Seattle, Washington, J45 1420 1 and sent by regular mail to addresses in the states J45 1420 11 of Idaho, Montana, Oregon, and Washington. Airmail J45 1430 5 was used for the addresses outside the Pacific Northwest. J45 1440 4 Each letter contained a postage-prepaid return envelope J45 1450 3 by regular mail for addresses in the Pacific Northwest, J45 1460 2 and by airmail for those outside the Pacific Northwest. J45 1470 1 Approximately ten days after the questionnaire was J45 1470 8 mailed, a follow-up airmail postcard was sent to each J45 1490 7 of the original names. J45 1490 11 The first test mailing (to 14 companies) was made J45 1500 9 in June, 1960. The second test mailing (to 100 companies) J45 1510 6 was made in July, 1960. The final mailing of the questionnaire J45 1520 5 was made late in August, 1960, to 4,900 firms consisting J45 1530 3 of 3,450 from the ~AIA list and 1,450 from the ~TR J45 1531 2 list. J45 1531 3 #F. RETURNS RECEIVED# J45 1540 3 Over 1,000 returns were received within two weeks after J45 1550 5 the final mailing was made. They continued to arrive J45 1560 3 until the end of December, 1960, by which time a total J45 1560 14 of 1,343 returns were received representing 26.8 per J45 1570 8 cent of the 5,014 questionnaires sent out. Fifty-seven J45 1580 5 returns could not be used because they were incomplete J45 1590 4 or received too late to be processed. The remaining J45 1600 1 1,286 returns that were processed came from the categories J45 1600 10 in Table 2. J45 1610 2 #G. PROCESSING THE RETURNS# J45 1610 6 Each questionnaire was audited for obvious mistakes J45 1620 4 and for comments, and was identified by a serial number, J45 1630 2 by the source list from which the company name was J45 1630 12 selected, and by the geographical location of the company J45 1640 9 as determined by the postmark on the return envelope. J45 1650 5 All responses, except comments, were numerically coded J45 1660 3 to permit use of data-processing equipment. The codes J45 1661 1 were key-punched into ~IBM punch cards and verified. J45 1670 7 Each return required three cards and involved key punching J45 1680 8 228 digital columns. In order to be able to properly J45 1690 8 relate the data for a single company each of the three J45 1700 5 cards comprising the set for each firm was identified J45 1710 1 with the appropriate serial number of the respondent. J45 1710 9 The cards were then processed using standard ~IBM punch J45 1720 7 card equipment, including an ~IBM 650 computer. J45 1730 5 The first step in processing was to analyze the J45 1740 4 returns from Questions 1, 2, and 3 to determine whether J45 1750 2 the respondents were large businesses or small businesses, J45 1750 10 in accordance with the definitions contained in ~ASPR J45 1760 8 Section 1-701. (see Chapter /2,). The results are shown J45 1770 8 in Table 3. J45 1780 1 The returns from companies classified as large businesses J45 1780 9 were set aside and not used because they were not relevant J45 1790 9 to a study of the opinions and practices of small firms. J45 1800 6 The second step in processing was to compare the J45 1810 5 responses from companies on the ~AIA list with those J45 1820 2 from companies on the ~TR list in order to determine J45 1820 12 whether it would be appropriate to merge the responses J45 1830 9 for the purposes of the study. The methods and results J45 1840 7 of this comparative analysis are described in Appendix J45 1850 4 ~H. It was concluded that it would be appropriate to J45 1860 2 process the two groups of responses as a single sample J45 1860 12 of all small businesses engaged in, or wishing to sell J45 1870 9 to, defense programs. In the first place, the two groups J45 1880 8 of firms, when combined, had characteristics and practices J45 1890 3 that were more representative of companies that were J45 1900 3 the subject of this study than did the firms from the J45 1900 14 ~AIA list alone. J46 0010 1 THE vast Central Valley of California is one of J46 0010 10 the most productive agricultural areas in the world. J46 0020 7 During the summer of 1960, it became the setting for J46 0030 6 a bitter and basic labor-management struggle. J46 0040 1 The contestants in this economic struggle are the J46 0040 9 Agricultural Workers Organizing Committee (~AWOC) of J46 0050 6 the ~AFL-~CIO and the agricultural employers of the J46 0060 7 State. By virtue of the legal responsibilities of the J46 0070 6 Department of Employment in the farm placement program, J46 0080 4 we necessarily found ourselves in the middle between J46 0090 1 these two forces. It is not a pleasant or easy position, J46 0090 12 but one we have endeavored to maintain. We have sought J46 0100 9 to be strictly neutral as between the parties, but J46 0110 6 at the same time we have been required frequently to J46 0120 3 rule on specific issues or situations as they arose. J46 0120 12 Inevitably, one side was pleased and the other displeased, J46 0130 10 regardless of how we ruled. Often the displeased parties J46 0140 9 interpreted our decision as implying favoritism toward J46 0150 5 the other. We have consoled ourselves with the thought J46 0160 4 that this is a normal human reaction and is one of J46 0170 2 the consequences of any decision in an adversary proceeding. J46 0170 11 It is disconcerting, nevertheless, to read in a labor J46 0180 9 weekly, "Perluss knuckles down to growers", and then J46 0190 7 to be confronted with a growers' publication which J46 0200 3 states, "Perluss recognizes obviously phony and trumped-up J46 0210 3 strikes as bona fide". J46 0210 7 For a number of years, there have been sporadic J46 0220 5 attempts in California to organize farm workers. These J46 0230 2 attempts met with little sucess for a variety of reasons. J46 0240 1 They were inadequately financed, without experienced J46 0240 7 leadership, and lacked the general support of organized J46 0250 7 labor as a whole. This past year the pattern has been J46 0260 6 different: The organizing program had the full support J46 0270 3 of the ~AFL-~CIO, which supplied staff and money to J46 0280 2 the ~AWOC, as well as moral support. Leadership was J46 0280 11 experienced and skillful, and financial resources were J46 0290 7 significant. Regardless of where personal sympathies J46 0300 5 may lie as between the parties, failure to recognize J46 0310 3 these changed conditions would be to ignore the facts J46 0320 1 of life. J46 0320 3 As a result of these changed conditions, the impact J46 0330 1 of the organizational effort on agricultural labor-management J46 0330 9 relations has been much greater than in the past. The J46 0340 10 ~AWOC has been able to employ the traditional weapons J46 0350 6 of labor- the strike and the picket line- with considerable J46 0370 3 success, particularly in the area of wages. J46 0380 1 By the very nature of the situation, it is the union J46 0380 12 which has been able to select the time and place to J46 0390 11 bring pressure upon management. To date, at least, J46 0400 5 the strategy of the ~AWOC has been selective; that J46 0410 3 is to say, to concentrate on a particular crop or activity J46 0420 1 in a particular area at a strategic time, rather than J46 0420 11 any broadside engagement with management throughout J46 0430 5 an area or the State. J46 0440 1 Primarily, we became involved in these disputes J46 0440 8 because of our referral obligations under our farm J46 0450 5 placement program. Normally, because agricultural labor J46 0460 3 is not covered by unemployment insurance, we would J46 0470 1 not expect any issues to arise regarding benefit payments J46 0470 10 under the trade dispute provision of the Unemployment J46 0480 6 Insurance Code, although such a situation is quite J46 0490 6 within the realm of possibility. But the current issues J46 0500 2 arose out of the Wagner-Peyser Act concerning referrals J46 0520 1 to an establishment where a labor dispute exists, and J46 0520 10 out of Public Law 78 and the Migrant Labor Agreement J46 0530 8 if Mexican nationals were employed at the ranch. J46 0540 5 Most of us remember and think of the Wagner-Peyser J46 0550 1 Act in its historical sense, as a major milestone in J46 0550 11 the development of public placement services. Infrequently J46 0560 7 do we think of it as a living, continuing, operating J46 0570 8 control over the system. However, when labor disputes J46 0580 4 arise, its provisions come clearly into play. California J46 0590 2 has accepted the provisions of that Act (as have all J46 0590 12 other States) by enacting into our Code (Section 2051) J46 0600 9 a provision that J46 0610 1 The State of California accepts the provisions of J46 0610 9 the Wagner-Peyser Act, **h and will observe and comply J46 0620 10 with the requirements of that act. J46 0630 4 With respect to labor disputes, the Wagner-Peyser J46 0640 1 Act states only, J46 0640 4 In carrying out the provisions of this Act, the J46 0650 5 Secretary is authorized and directed to provide for J46 0660 1 the giving of notice of strikes or lock-outs to applicants J46 0660 12 before they are referred to employment. J46 0680 1 Other provisions of the Act empower the Secretary J46 0690 3 to adopt regulations necessary to carry out its provisions, J46 0700 1 and he has done so. The pertinent regulation for our J46 0700 11 purposes is Section 602.2 (~b), as follows: J46 0710 7 Referrals in labor dispute situations. No person J46 0720 5 shall be referred to a position the filling of which J46 0730 4 will aid directly or indirectly in filling a job which J46 0740 1 (1) is vacant because the former occupant is on strike J46 0740 11 or is being locked out in the course of a labor dispute, J46 0750 9 or (2) the filling of which is an issue in a labor J46 0760 7 dispute. With respect to positions not covered by subparagraph J46 0770 3 (1) or (2) of this paragraph, any individual may be J46 0780 1 referred to a place of employment in which a labor J46 0780 11 dispute exists, provided he is given written notice J46 0790 6 of such dispute prior to or at the time of his referral. J46 0800 4 In analyzing this regulation, let us take the last J46 0810 3 sentence first. It permits referrals under certain J46 0810 10 circumstances even when there is a labor dispute, provided J46 0820 9 the individual is given written notice of such a dispute. J46 0830 8 Assume, for example, a situation where a farm has a J46 0840 6 packing shed and fields. The packing shed workers go J46 0850 2 on strike. There is no dispute involving fieldwork. J46 0850 10 We concluded that we may refer workers to the fieldwork J46 0860 9 (but not the packing shed work) provided we give them J46 0870 6 written notice of the packing shed dispute. So far, J46 0880 3 no troublesome cases have arisen under this provision. J46 0890 1 It is the first part of the Regulation that is currently J46 0890 12 at issue. Note that it prohibits referrals under either J46 0900 8 condition (1) or condition (2). Employer representatives J46 0910 6 have contended that the Secretary has gone beyond his J46 0920 5 authority by such a prohibition, on the grounds that J46 0930 3 the Wagner-Peyser Act requires only written notice J46 0930 11 to the prospective worker that a dispute exists. J46 0940 8 #INTO COURT# J46 0940 10 The matter got into the courts this way: One of the J46 0950 10 early strikes called by the ~AWOC was at the DiGiorgio J46 0960 8 pear orchards in Yuba County. We found that a labor J46 0970 6 dispute existed, and that the workers had left their J46 0980 2 jobs, which were then vacant because of the dispute. J46 0980 11 Accordingly, under clause (1) of the Secretary's Regulation, J46 0990 8 we suspended referrals to the employer. (Incidentally, J46 1000 6 no Mexican nationals were involved.) The employer, J46 1010 4 seeking to continue his harvest, challenged our right J46 1020 3 to cease referrals to him, and sought relief in the J46 1020 13 Superior Court of Yuba County. The court issued a temporary J46 1030 10 restraining order, directing us to resume referrals. J46 1040 7 We, of course, obeyed the court order. However, the J46 1050 4 Attorney General of California, at the request of the J46 1060 3 Secretary of Labor, sought to have the jurisdiction J46 1060 11 over the issue removed to the Federal District Court, J46 1070 9 on grounds that it was predominantly a Federal issue J46 1080 7 since the validity of the Secretary's Regulation was J46 1090 3 being challenged. However, the Federal Court held that J46 1100 3 since the State had accepted the provisions of the J46 1100 12 Wagner-Peyser Act into its own Code, and presumably J46 1110 8 therefore also the regulations, it was now a State J46 1120 7 matter. It accordingly refused to assume jurisdiction, J46 1130 2 whereupon the California Superior Court made the restraining J46 1140 2 order permanent. Under that order, we have continued J46 1140 10 referring workers to the ranch. A similar case arose J46 1150 9 at the Bowers ranch in Butte County, and the Superior J46 1160 7 Court of that county issued similar restraining orders. J46 1170 3 The growers have strenuously argued that I should J46 1180 4 have accepted the Superior Court decisions as conclusive J46 1190 1 and issued statewide instructions to our staff to ignore J46 1190 10 this provision in the Secretary's Regulation. I cannot J46 1200 7 accept that view, either as a lawyer or as an administrator. J46 1210 9 #LEGAL CONSIDERATIONS# J46 1210 11 First, let us examine briefly some of the legal considerations J46 1220 10 involved. It is an accepted juridical principle in J46 1230 8 California that a Superior Court decision does not J46 1240 5 constitute a binding legal precedent. It is conclusive, J46 1250 3 unless appealed, only upon the particular parties to J46 1260 1 the particular action which was heard. It is not binding J46 1260 11 upon another Superior Court, which could rule to the J46 1270 8 contrary. Only when a decision is rendered by the District J46 1280 6 Court of Appeal (or, of course, the Supreme Court) J46 1290 3 is a binding precedent established. In that event, J46 1300 1 we can correctly say that we have received an authoritative J46 1300 11 interpretation of the matter, and one which we can J46 1310 9 follow statewide with confidence that the policy will J46 1320 5 not be overthrown in other Superior Courts. J46 1330 1 But over and beyond the compelling need for a binding J46 1330 11 precedent decision, I am convinced that the decisions J46 1340 8 of the Superior Courts which in effect nullify the J46 1350 6 Secretary's Regulation are not a correct interpretation J46 1360 3 of the Secretary's power under the Federal law. I believe J46 1370 4 I am in good company in this view. The Attorney General J46 1380 1 of California concurs in this interpretation and has J46 1380 9 filed an appeal from these decisions to the District J46 1390 7 Court of Appeal. The Attorney General of the United J46 1400 5 States, in considering the power of the Secretary to J46 1410 3 issue similar regulations under the Wagner-Peyser Act J46 1420 1 relating to the interstate recruitment of farm workers, J46 1420 9 has rendered an opinion sustaining his authority. Further, J46 1430 7 and as an evidence of legislative intent only, the J46 1440 5 Senate of the United States recently defeated by a J46 1450 4 substantial majority the "Holland Amendment" to the J46 1460 1 Fair Labor Standards Act, which would have specifically J46 1460 9 limited the regulatory authority of the Secretary in J46 1470 8 these matters. J46 1480 1 Next, let us consider briefly the program and administrative J46 1480 9 implications of a failure on our part to pursue our J46 1490 10 appeals. J46 1490 11 There is far too much at stake for all of the parties J46 1500 10 concerned to leave the matter hanging in midair. The J46 1510 5 ramifications of the issue are enormous. A decision J46 1520 2 to refer workers to jobs vacant because of a strike J46 1520 12 would have to be applied equally to nonagricultural J46 1530 7 situations, and might in effect place the public employment J46 1540 6 services in the position of acting as strikebreakers. J46 1550 3 The public interest is so dominant in such an issue J46 1560 1 that I cannot be so presumptuous as to attempt to settle J46 1560 12 it by an administrative order based upon conclusions J46 1570 5 reached in a summary action in one or two Superior J46 1580 6 Courts in the State. It is an issue which may well J46 1590 3 reach the Supreme Court of the United States before J46 1590 12 judicial finality is achieved. J46 1600 4 As an administrator, I cannot place the Employment J46 1610 3 Service in California in jeopardy of being out of compliance J46 1620 1 with the Federal laws by my failure to pursue the avenues J46 1620 12 of appeal open to me. To have applied statewide the J46 1630 10 decisions of the two cases heard in Superior Court, J46 1640 6 in my opinion, would have placed us clearly out of J46 1650 4 compliance with the Wagner-Peyser Act and would have J46 1660 1 immediately opened the way for the Secretary of Labor, J46 1660 10 were he so inclined, to notify the Governor of such J46 1670 8 noncompliance, set a date for hearing, and issue his J46 1680 5 finding. The impact of noncompliance under the Wagner-Peyser J46 1690 4 Act is clear: the withdrawal of some $11 million a J46 1700 2 year of administrative funds which finance our employment J46 1700 10 service program or, as a corollary, the taking over J46 1710 9 by the Federal Government of its operation. J46 1720 4 Thus far, the cases which have come before the courts J46 1730 3 have involved only the issue of referral where the J46 1730 12 job is vacant due to a strike- condition (1) in the J46 1740 10 Regulation of the Secretary. None has yet arisen under J46 1750 6 condition (2), relating to referral to jobs "the filling J46 1760 5 of which is an issue in a labor dispute". J46 1770 1 Here the problem is essentially one of defining J46 1770 9 the word "filling". Should it be defined in a narrow J46 1780 8 sense to include only such elements as job specifications, J46 1790 4 union membership, union jurisdiction, and the like? J46 1800 3 Or should it have a broader connotation of including J46 1800 12 wage demands and other factors not necessarily associated J46 1810 8 with the mechanics of "filling" the job. J46 1820 6 Because of the uncertainty of this definition, I J46 1830 5 solicited the interpretation of the Secretary of Labor. J46 1840 3 He has advised me that the narrower interpretation J46 1840 11 is the proper one; that is, that if wages, for example, J46 1850 10 is the only issue in a labor dispute, and no workers J46 1860 8 have left their jobs because of the dispute, we may J46 1870 4 continue to make referrals. J47 0010 1 _9._ J47 0010 2 Martin and Stendler present evidence that infants J47 0010 9 and young children can and do solve many problems at J47 0020 9 a relatively simple perceptual level simply by combining J47 0030 5 objects and counting them. After they have developed J47 0040 3 concepts, they are free from the necessity of manipulating J47 0050 1 objects; they do symbolically what they once had to J47 0050 10 do concretely. The ability to think seems to increase J47 0060 8 consistently with age. One experiment showed the greatest J47 0070 5 one-year difference occurring between the eleventh J47 0080 3 and twelfth years. J47 0080 6 _10._ J47 0080 7 Many studies indicate that elementary-school children's J47 0090 4 interests cover the whole field of science; that their J47 0100 3 questions indicate a genuine interest in social processes J47 0110 1 and events; and that as they mature their interests J47 0110 10 and capabilities change and broaden. J47 0120 4 _EMOTIONAL CHARACTERISTICS_ J47 0120 6 How a child feels about himself, about other people, J47 0130 7 and about the tasks confronting him in school may have J47 0140 6 as much influence on his success in school as his physical J47 0150 4 and intellectual characteristics. A considerable amount J47 0160 1 of evidence exists to show that an unhappy and insecure J47 0160 11 child is not likely to do well in school subjects. J47 0170 8 Emotional maturity is the result of many factors, the J47 0180 5 principal ones being the experiences of the first few J47 0190 3 years of the child's life. However, the teacher who J47 0190 12 understands the influence of emotions on behavior may J47 0200 8 be highly influential in helping pupils gain confidence, J47 0210 6 security, and satisfaction. J47 0220 1 Concerning this responsibility of the teacher, suggestions J47 0220 7 for helping children gain better control of the emotions J47 0230 8 are presented in Chapter 11. The following generalizations J47 0240 5 about the emotional characteristics of elementary-school J47 0250 4 children may be helpful. J47 0250 8 _1._ J47 0250 9 Typically, the young child's emotional reactions J47 0260 6 last for a relatively short time, as contrasted to J47 0270 5 those of an adult. J47 0270 9 _2._ J47 0270 10 As the child grows older, his emotional reactions J47 0280 5 lead to "moods", or emotional states drawn out over J47 0290 4 a period of time and expressed slowly, rather than J47 0290 13 in short, abrupt outbursts. J47 0300 4 _3._ J47 0300 5 Studies of the growth and decline of children's J47 0310 3 fears indicate that fears due to strange objects, noises, J47 0320 1 falling, and unexpected movement decline during the J47 0320 8 preschool years, but that fears of the dark, of being J47 0330 9 alone, and of imaginary creatures or robbers increase. J47 0340 4 _4._ J47 0340 5 Ridiculing a child for being afraid or forcing him J47 0350 4 to meet the feared situation alone are poor ways of J47 0350 14 dealing with the problem; more effective solutions J47 0360 7 include explanations, the example of another child, J47 0370 6 or conditioning by associating the feared object, place, J47 0380 3 or person with something pleasant. J47 0380 8 _5._ J47 0380 9 Children need help in learning to control their J47 0390 8 emotions. The young child learns from parents and teachers J47 0400 6 that temper tantrums, screaming, kicking, and hitting J47 0410 3 will not get him what he wants; the older child learns J47 0420 1 that intense emotional outbursts will not win approval J47 0420 9 by his peers, and, therefore, makes a real effort to J47 0430 8 control his emotions. J47 0440 1 _6._ J47 0440 1 Children differ widely in their emotional responses. J47 0440 8 Among infants the patterns of emotional responses are J47 0450 7 similar; as the influence of learning and environment J47 0460 5 are felt, emotional behavior becomes individualized. J47 0470 1 _SOCIAL CHARACTERISTICS_ J47 0470 3 Although no national norms exist for the social J47 0480 4 development of children, the teacher can find a great J47 0490 1 deal of information concerning types of social behavior J47 0490 9 normally displayed by children at various age levels. J47 0500 7 The following summary will give the student some idea J47 0510 6 about the social characteristics of elementary-school J47 0520 1 children; the student will certainly want to explore J47 0520 9 more deeply into the fascinating study of immature J47 0530 8 individuals, struggling to meet their developmental J47 0540 5 needs, and at the same time trying to learn the rules J47 0550 3 of the game in the ever-expanding number of groups J47 0550 13 in which they hold membership. J47 0560 4 _1._ J47 0560 5 During early childhood, children are more interested J47 0570 4 in the approval of their parents and teachers than J47 0580 1 they are in the approval of other children; after they J47 0580 11 have been in school a few years, their interest in J47 0590 8 playmates of their own age increases, and their interest J47 0600 4 in adults decreases; the child who had once considered J47 0610 2 it a treat to accompany his parents on picnics and J47 0610 12 family gatherings now considers it a bore. In late J47 0620 9 childhood the influence of the group on the social J47 0630 7 behavior of the child continues to increase; the group J47 0640 3 sets the styles in clothing, the kind of play engaged J47 0640 13 in, and the ideals of right and wrong behavior. J47 0650 9 _2._ J47 0650 10 In early childhood the choice of a companion is J47 0660 7 likely to be for another child of his own age or a J47 0670 5 year or two older, who can do the things he likes to J47 0670 17 do; such factors as sex, intelligence, and status in J47 0680 9 the group do not influence his choice much at this J47 0690 7 time. J47 0690 8 _3._ J47 0690 9 In later childhood, an interest in team games replaces J47 0700 7 individual play; loyalty to the group, a feeling of J47 0710 4 superiority over those who are not members, and unwillingness J47 0720 1 to play with members of the opposite sex become dominant J47 0720 11 traits. J47 0730 1 _4._ J47 0730 2 During early childhood boys tease and bully, on J47 0730 10 the average, more than girls; those who feel inferior J47 0740 8 or insecure engage in these activities more than do J47 0750 6 well-adjusted children. J47 0750 9 _5._ J47 0750 10 During late childhood boys like to tease, jostle, J47 0760 8 and talk smart to girls; girls, who are more mature J47 0770 6 than boys, frown upon the youthful antics of boys of J47 0780 4 their own age. J47 0780 7 _6._ J47 0780 8 By the time pupils reach the sixth grade, their J47 0790 3 ethical and moral standards are fairly well developed; J47 0800 1 they exhibit a keen interest in social, political, J47 0800 9 and economic problems, but they frequently have vague J47 0810 6 and incorrect notions about the terms they use rather J47 0820 5 glibly in their routine school work. J47 0820 11 _7._ J47 0820 12 Between the ages of two and four years, negativism J47 0830 9 or resistance to adult authority is noticeable; after J47 0840 5 the fourth year it begins to decline. However, as we J47 0850 4 have seen, in later childhood the child begins to substitute J47 0860 2 the standards of the peer group for those of parents J47 0860 12 and teachers. J47 0870 1 _8._ J47 0870 2 The elementary-school child grows gradually in his J47 0870 10 ability to work in groups. The child in the primary J47 0880 10 grades can play harmoniously with one companion, but J47 0890 5 his desire to be first in everything gets him into J47 0900 4 trouble when the group gets larger; he wants to be J47 0900 14 with people, but he hasn't yet learned to cooperate. J47 0910 9 In the middle grades, however, he begins to participate J47 0920 6 more effectively in group activities such as selecting J47 0930 4 a leader, helping to make plans and carry on group J47 0940 2 activities, and setting up rules governing the enterprise. J47 0940 10 #WHY THE TEACHER SHOULD STUDY THE INDIVIDUAL PUPIL# J47 0950 8 Much progress has been made in the last two decades J47 0960 8 in developing techniques for understanding children, J47 0970 2 yet in almost any classroom today can be found children J47 0980 1 whose needs are not being met by the school program. J47 0980 11 Some are failing to achieve as much as their ability J47 0990 8 would permit; others never seem able to enter fully J47 1000 6 into the life of the classroom. These children have J47 1010 2 been described as those who were trying to say something J47 1010 12 to adults who did not understand. J47 1020 5 Many school systems now employ school psychologists J47 1030 2 and child guidance specialists. These specialists perform J47 1040 2 valuable services by helping teachers learn to identify J47 1040 10 children who need special attention, by suggesting J47 1050 7 ways of meeting the needs of individual children in J47 1060 5 the regular classroom, and by providing clinical services J47 1070 2 for severely maladjusted children. It is the classroom J47 1080 1 teacher, however, who has daily contacts with pupils, J47 1080 9 and who is in a unique position to put sound psychological J47 1090 7 principles into practice. Indeed, a study of the individual J47 1100 7 child is an integral part of the work of the elementary-school J47 1110 5 teacher, rather than merely an additional chore. J47 1120 2 Teachers and administrators in many elementary schools J47 1130 1 have assumed that dividing the pupils in any grade J47 1130 10 into groups on the basis of test scores solves the J47 1140 7 problem of meeting the needs of individuals. What they J47 1150 3 should recognize is that children who have been placed J47 1160 1 in one of these groups on a narrow academic basis still J47 1160 12 differ widely in attributes that influence success, J47 1170 6 and that they still must be treated as individuals. J47 1180 4 Although the teacher must be concerned with maintaining J47 1190 2 standards, he must also be concerned about understanding J47 1200 1 differences in ability, background, and experience. J47 1210 1 _FACTORS THAT INHIBIT LEARNING AND LEAD TO MALADJUSTMENT_ J47 1210 6 Studies conducted in various sections of the United J47 1220 5 States indicate that many children in elementary schools J47 1230 2 are maladjusted emotionally, and that many of them J47 1230 10 are failing to make satisfactory progress in school J47 1240 8 subjects. One study, which involved 1,524 pupils in J47 1250 6 grades one to six, found that 12 percent of the pupils J47 1260 4 were seriously maladjusted and that 23 percent were J47 1260 12 reading a year below capacity. It is apparent, therefore, J47 1270 9 that the teacher needs to know what factors have a J47 1280 8 vital bearing on the learning and adjustment of children. J47 1290 4 When a child fails to meet the standards of the school J47 1300 3 in his rate of learning, insecurity, unhappiness, and J47 1300 11 other forms of maladjustment frequently follow. These J47 1310 7 maladjustments in turn inhibit learning, and a vicious J47 1320 7 cycle is completed. J47 1320 10 It is easy for the teacher to rationalize that the J47 1330 9 child who is not achieving in accordance with his known J47 1340 6 ability is just plain lazy, or that the child who lacks J47 1350 4 interest in school, who dislikes the teacher, or who J47 1360 1 is overaggressive is a hopeless delinquent. The causes J47 1360 9 of retardation and maladjustment may be found in physical J47 1370 8 factors, such as defective speech or hearing, impaired J47 1380 5 vision, faulty motor coordination, a frail constitution, J47 1390 2 chronic disease, malnutrition, and glandular malfunctioning. J47 1400 1 They may be caused by poor health habits, such as faulty J47 1400 12 eating and sleeping habits. They may be related to J47 1410 9 mental immaturity or lack of aptitude for certain types J47 1420 6 of school work. The curriculum may be too difficult J47 1430 4 for some and too easy for others. Teaching methods, J47 1440 1 learning materials, and promotion policies may inhibit J47 1440 8 learning and lead to maladjustments for some children. J47 1450 6 Unwholesome family relations, broken homes, and undesirable J47 1460 5 community influences may also be contributing factors. J47 1470 2 This is only a minimum list of the factors that inhibit J47 1480 1 learning and contribute to maladjustment among children. J47 1480 8 Moreover, these conditions do not influence all children J47 1490 8 in the same manner. A vision handicap that may produce J47 1500 6 nervous tension and reading disability for one child J47 1520 4 may spur another child on to even greater achievement J47 1530 1 in reading. An impoverished home that may discourage J47 1530 9 one child may constitute the motivation causing another J47 1540 5 to work harder for successful achievement in school. J47 1550 4 At any rate, the teacher who recognizes common causes J47 1560 2 of retardation and maladjustment can frequently do J47 1560 9 a great deal to eliminate the causes of pupil discouragement, J47 1570 8 failure, and maladjustment. J47 1580 1 #SOURCES OF INFORMATION ABOUT CHILDREN# J47 1580 6 Successful teaching involves getting enough information J47 1590 5 about each pupil to understand why he behaves as he J47 1600 6 does in certain situations and how his achievement J47 1610 1 in school is being influenced by various factors in J47 1610 10 his environment. The classroom teacher cannot be expected J47 1620 7 to be as proficient in the use of the techniques of J47 1630 6 child study as the clinical psychologist; he cannot J47 1640 3 be expected to administer all the tests and gather J47 1640 12 all the information needed about each child in his J47 1650 7 classroom. He can be expected, however, to examine J47 1660 4 and interpret the information already available; to J47 1670 2 refine and extend his own techniques for studying individual J47 1670 11 children; and to utilize opportunities, arising in J47 1680 7 connection with regular classroom activities, for gaining J47 1690 5 a better understanding of his pupils. This section J47 1700 4 deals with some of the sources of information that J47 1710 1 can be tapped by the classroom teacher; Chapter 15 J47 1710 10 provides more detailed information about specific techniques J47 1720 6 used in evaluating pupil progress. J47 1730 2 _CUMULATIVE RECORDS_ J47 1730 4 Most school systems today maintain a system of cumulative J47 1740 5 records of pupils. These records, when systematically J47 1750 1 maintained, provide much information about the children, J47 1750 8 which the teacher can use in guidance, instruction, J47 1760 8 grouping, and reporting to parents. Each teacher has J47 1770 6 in his classroom a metal file, equipped with a lock, J47 1780 4 which is used to store cumulative record folders. During J47 1790 1 summer vacation periods these records are stored in J47 1790 9 the office of the principal. Only the teacher and other J47 1800 8 professional personnel are permitted to see or use J47 1810 6 these records. Each new teacher to whom the pupil goes J47 1820 3 is expected to study the information in the cumulative J47 1820 12 record and to bring it up to date. Some school systems J47 1830 11 provide written instructions to principals and teachers J47 1840 5 designating when certain information is to be recorded J47 1850 5 on cumulative record forms and explaining how the information J47 1860 3 is to be summarized and used. J48 0010 1 THE SUMMARY REPORT ON DESEGREGATION PROGRESS IN J48 0010 8 EDUCATION IN THE MIDDLE-SOUTH REGION, 1959-1960" clearly J48 0020 8 shows two pieces of information. The Summary Report, J48 0030 5 which was prepared for this Conference, indicates, J48 0040 2 first, that actual or pending school desegregation J48 0040 9 is increasing; second, that both actual and pending J48 0050 8 desegregation is, with few exceptions, the product J48 0060 6 or result of court order. The Report together with J48 0070 3 other information suggests that desegregation in the J48 0080 1 schools is slow. J48 0080 4 The Middle-South Region, as defined by the National J48 0090 2 Association of Intergroup Relations Officials (~NAIRO), J48 0100 1 consists of the states of Kentucky, Maryland, Tennessee, J48 0100 9 West Virginia, Delaware, Virginia and the District J48 0110 7 of Columbia. The states and the Nation's Capital all J48 0120 7 have some desegregation, in fact some dating back to J48 0130 6 1954; but the region also embraces some of the staunchest J48 0140 3 opposition. Desegregation has been opposed by massive J48 0150 1 resistance, interposition, pupil assignment (with no J48 0150 7 assignments of Negro children), and hate bombings. J48 0160 6 #DESEGREGATION AND COURT ORDER# J48 0170 1 Now let's look at the evidence that shows the increase J48 0170 11 in desegregation and such increase as a result of court J48 0180 9 order. First Kentucky. Elementary school desegregation J48 0190 4 came to Owen and Union Counties, which already had J48 0200 4 high school desegregation. The action was a result J48 0210 1 of a court order, the citation for which (and for other J48 0210 12 court action mentioned in this paper) is taken from J48 0220 8 the Summary Report for this Conference. In Maryland J48 0230 4 the Harford County Board of Education had prepared J48 0240 3 a desegregation plan which the Court approved but which J48 0250 2 a plaintiff had challenged; thus, county school board J48 0250 10 and Federal court joined hands here to promote school J48 0260 8 desegregation. J48 0270 1 Additional school desegregation in Tennessee resulted J48 0270 6 from a court order opening a school serving children J48 0280 7 of military personnel. Similarly, further desegregation J48 0290 3 may come from suits pending in three Tennessee cities, J48 0300 2 Chattanooga, Knoxville, and Memphis. In West Virginia J48 0310 1 the number of white and Negro children attending the J48 0310 10 same school has increased almost twofold. There are J48 0320 7 no court decisions here. J48 0330 1 As in Maryland, a District court has approved an J48 0330 10 official plan of school desegregation in Delaware. J48 0340 6 As a result of the State Board of Education plan, Negro J48 0350 6 children entered heretofore white elementary schools J48 0360 3 in five districts. The Third Circuit Court of Appeals J48 0370 2 is reviewing an appeal from the plan. J48 0370 9 In Virginia court orders led to desegregation in J48 0380 7 Charlottesville and Floyd Counties. Desegregation in J48 0390 3 Pulaski County is pending because of court order, although J48 0400 3 date of admission is not yet determined. Negro parents J48 0410 1 have filed application for admission of additional J48 0410 8 children to schools in Alexandria, Arlington, Fairfax, J48 0420 5 and Warren Counties. Desegregation can also result J48 0430 4 from additional suits brought by Negro plaintiffs against J48 0440 2 school boards in Newport News, Fairfax County, Arlington J48 0450 1 County, and Norfolk. J48 0450 4 As a school district, the District of Columbia has J48 0460 4 had desegregated schools since 1954, shortly after J48 0470 2 the Supreme Court decision. J48 0470 6 This recapitulation makes it clear that school desegregation J48 0480 6 continues, including the Old Dominion State, in spite J48 0490 4 of its stern resistance. The record is clear that increase J48 0500 2 in school desegregation last year came largely as a J48 0500 11 result of a court order; that on the immediate horizon, J48 0510 10 if further large-scale (relatively speaking) desegregation J48 0520 4 comes, it will result from court orders on suits filed J48 0530 5 in several Middle-South states. Knowledge that thousands J48 0540 3 of school districts are involved and observation that J48 0550 1 school desegregation has occurred in only a handful J48 0550 9 in 1959-1960 leads to a conclusion that J48 0560 5 desegregation-from-court-order J48 0560 9 is slow. J48 0570 1 Before turning to my views as to the problems and J48 0570 11 issues before us at this Regional Conference, I wish J48 0580 6 to note a small item in the Summary Report as it refers J48 0590 5 to the District of Columbia. That reference in the J48 0600 3 Report is "continuation of the trend toward an all-Negro J48 0610 1 school system", a remark apparently occasioned by the J48 0610 9 increase of Negro school population from 74.1 per cent J48 0620 7 to 76.7 per cent. I see no real prospects for an all-Negro J48 0630 7 school population. West of Rock Creek Park is still J48 0640 4 monolithically white and is in fact increasingly white J48 0650 1 as a result of Georgetown's conversion-by-renovation J48 0650 9 housing program. Nearby Foggy Bottom is ousting Negroes. J48 0660 7 The large acreage in the Southwest Redevelopment area J48 0670 6 beckons white people- what with high-priced town houses J48 0680 5 and elevator apartments. The Capitol Hill rehabilitation, J48 0690 2 like Foggy Bottom, replaces Negroes with whites (but J48 0700 1 also replaces some whites with other whites). J48 0700 8 The sharpest break with tradition, the past and J48 0710 7 present of "White Ring Around a Black Core", may come J48 0720 6 with the opening of nearby Montgomery County suburbs J48 0730 2 to Negro residents and, presumably, the consequent J48 0730 9 conclusion of some whites that they cannot escape the J48 0740 9 Negro by fleeing to the suburbs. In fact, short of J48 0750 7 fleeing to Warrenton, Virginia, or Rockville, Maryland, J48 0760 2 white people may have to live with Negroes. All of J48 0770 2 this must be taken into account before the image of J48 0770 12 an "all-Negro" D&C& public school system is conjured J48 0780 7 up. J48 0780 8 #PROBLEMS TO SOLVE# J48 0790 2 From the Summary Report before us at this Conference, J48 0790 11 a number of problems are apparent. They vex us and J48 0800 9 perplex us but generally do not divide us like the J48 0810 7 issues which follow the problems. J48 0820 1 First, how can we step up the desegregation movement? J48 0820 9 It is slow. I believe we all want more schools where J48 0830 9 white and Negro together can and do attend. I believe J48 0840 7 we all want no child denied admission to a school on J48 0850 4 account of his color. In general, members of ~NAIRO J48 0860 1 would certainly want a child admitted to a school nearest J48 0860 11 his residence or within his residence zone. How to J48 0870 8 achieve this objective is a problem, but we are not J48 0880 7 divided on what we want. J48 0880 12 Second, as we increase the number of desegregated J48 0890 7 school districts and schools themselves, how can we J48 0900 4 achieve this action through school board action? It J48 0910 2 may be county school board or state school board action, J48 0910 12 as well as that of municipal school boards. Correlatively, J48 0920 8 can we reduce the role of the district courts, so that J48 0930 8 the action is that of the people of the community or J48 0940 5 other school district and not that of the law court? J48 0950 1 This is a problem, and I believe there is little difference J48 0950 12 of opinion that wherever possible a local school board J48 0960 9 should devise and effect a plan of desegregation. J48 0970 6 Third, how can we insure a systematic and continuing J48 0980 3 group relations education in the schools? Not simply J48 0990 2 a brief program when the schools are actually desegregated J48 0990 11 but a continuing program that also promotes integration, J48 1000 8 that encourages the children and teachers not to look J48 1010 8 at each other as white or Negro, but as human beings. J48 1020 5 Again the problem is how to get it done and in what J48 1030 3 form to offer the group relations education; not whether J48 1030 12 it should be done. J48 1040 4 Fourth, in the segregated school system, during J48 1050 1 the period before desegregation, how can we assure J48 1050 9 equal opportunity? In fact, in the desegregated school J48 1060 7 system which may have a good many schools with all-Negro J48 1070 6 population, how can we assure equal opportunity? This J48 1080 2 is a problem, but we are not divided over its importance J48 1090 1 or by its existence. J48 1090 5 Fifth, in the segregated school system or in the J48 1100 4 all-Negro or all-white schools, how can we encourage J48 1100 14 better group relations or an improved attitude toward J48 1110 8 people who do not belong to the group? Can we help J48 1120 7 children adjust to "images of other children" when J48 1130 3 the latter are not actually present. J48 1130 9 #NOW, THE ISSUES# J48 1140 1 If we have five problems whose solution we seek in J48 1140 11 relatively united fashion, then there are twice as J48 1150 8 many issues which, I judge, sharply divide us, intergroup J48 1160 4 relations practitioners and lay people. J48 1170 1 _ISSUE NO& 1. PUPIL ASSIGNMENT._ J48 1170 5 Since on the one hand school desegregation has come J48 1190 3 in Virginia hand-in-glove with pupil assignment, shall J48 1200 1 we support the plan? On the basis of pupil assignment J48 1200 11 criteria, Judge Albert Bryan has assigned Negro children J48 1210 8 to formerly white schools in Arlington and Alexandria, J48 1220 6 Virginia. Shall we support pupil assignment? On the J48 1230 4 other hand, looking at the larger picture, is it true J48 1240 4 that pupil assignment has effectively cut off, blocked, J48 1240 12 or reduced school desegregation to a "trickle"? Shall J48 1250 8 we therefore oppose the plan? This question is an issue J48 1260 9 because it likely divides us into two camps- those J48 1270 6 for or against pupil assignment. J48 1290 1 _ISSUE NO& 2. TEACHER ASSIGNMENT IN ORDER TO DESEGREGATE._ J48 1290 7 In large cities like Baltimore, Louisville, and J48 1300 5 Washington, D&C&, should school desegregation be extended J48 1310 4 to all-Negro and all-white schools by assigning white J48 1320 3 and Negro teachers, respectively? On the one hand do J48 1330 2 we argue the Supreme Court decision required only that J48 1330 11 a child not be denied admission to a school on account J48 1340 10 of his race? Or should we argue that if we want adjustment J48 1350 8 of children to children of different races and that J48 1360 4 that is impossible in an all-something-or-the-other J48 1370 1 school, we must at least provide him some opportunity J48 1370 10 to adjust to people of another race within the school J48 1380 9 namely, to a teacher of another race. We can argue J48 1390 5 that where residence makes pupil desegregation impossible J48 1400 2 teacher assignment can create a partially desegregated J48 1410 1 situation. J48 1420 1 _ISSUE NO& 3. THE PLAINTIFF IN SCHOOL DESEGREGATION J48 1430 1 CASES._ J48 1430 1 The earlier part of my statement deals with the J48 1430 10 court orders that resulted in desegregation. In each J48 1440 6 instance the plaintiff was a private citizen. In thousands J48 1450 4 of school districts, indeed, in the entire State of J48 1460 3 Mississippi, no plaintiff has come forth. And I have J48 1460 12 established that the action of municipal, county, or J48 1470 8 state school boards or boards of education is small, J48 1480 7 infinitesimally small in comparison with the number J48 1490 4 of districts. Is the requirement that the plaintiff J48 1490 12 be a person actually denied admission to a school a J48 1500 10 sound requirement? Should Congress authorize the Attorney J48 1510 6 General to file suit to accomplish admission of a child J48 1520 5 to a school to which he is denied entrance? Even though J48 1530 3 in civil rights legislation in 1957 and 1960 the provision J48 1540 1 for the Attorney General to act was eliminated, should J48 1540 10 we nevertheless support such a clause? This is an issue, J48 1560 9 for it divides people rather sharply. J48 1590 1 _ISSUE NO& 4. WITHHOLDING OF FUNDS TO SCHOOLS THAT J48 1590 2 DENY CHILDREN ON ACCOUNT OF RACE._ J48 1590 8 This is the Powell Amendment, which in 1957 divided J48 1600 5 even a "liberal" group like the American Veterans Committee J48 1610 3 (~AVC). Should we support a clause in Federal school J48 1620 2 construction or school assistance legislation that J48 1620 8 would deny Federal funds to a school district that J48 1630 9 denies admission to a child on account of his race? J48 1640 7 This is softer than earlier Powell amendments which J48 1650 2 would have denied funds to all segregated school districts. J48 1660 1 There is nonetheless considerable argument against J48 1660 7 the clause, softened though it be, on the grounds that J48 1670 9 Federal aid is so necessary to the public schools. J48 1680 5 The Federal funds limitation enlists the support of J48 1690 2 many, the opposition of quite a few. J48 1710 1 _ISSUE NO& 5. REQUIRED PUBLIC EDUCATION._ J48 1710 3 Should a political subdivision, state or county J48 1720 1 or municipality, be required to furnish public education? J48 1720 9 For the school year, 1959-1960, the Prince Edward County J48 1730 9 (Virginia) Board of Supervisors voted not to provide J48 1740 7 funds for public education, and the school board therefore J48 1750 5 could provide no public education- for white or Negro J48 1760 3 children. Is public education in this American democracy J48 1770 1 of such importance that no child should be denied public J48 1770 11 education? Or is this subject a matter of self-determination, J48 1780 10 a matter of states rights or county rights? If people J48 1790 7 don't want to provide public education, should they J48 1800 4 be forced to do so? Even if we marshal substantial J48 1810 1 agreement behind mandatory public education, we likely J48 1810 8 cannot expect that all the states will enact the legislation. J48 1820 10 Should the requirement, which must therefore be Federal J48 1830 7 in nature, be legislated by the United States Congress? J48 1840 6 Or must it become law by amendment of the United States J48 1850 5 Constitution? We actually have two issues in this question- J48 1860 4 goal and method. J48 1880 1 _ISSUE NO& 6. FEDERAL RESPONSIBILITY FOR EDUCATION J48 1880 3 OF THE CITIZENS._ J48 1880 6 If the above issue is settled by requiring public J48 1890 4 education for all citizens, Issue No& 6 may be moot. J48 1900 3 If, on the other hand, it is not settled, or while J48 1900 14 it is being debated and resolved, does the Federal J48 1910 7 government have a responsibility in situations like J48 1920 4 that in Prince Edward County? Nearly half the children J48 1930 4 still receive no education. Must or should the Federal J48 1940 1 government help? Should the government directly provide J48 1940 8 education for the children who want public education? J49 0010 1 The next question is whether board members favor J49 0010 9 their own social classes in their roles as educational J49 0020 7 policy-makers. On the whole, it appears that they do J49 0030 6 not favor their own social classes in an explicit way. J49 0040 2 Seldom is there an issue in which class lines can be J49 0040 13 clearly drawn. A hypothetical issue of this sort might J49 0050 9 deal with the establishment of a free public junior J49 0060 6 college in a community where there already was a good J49 0070 4 private college which served the middle-class youth J49 0070 12 adequately but was too expensive for working-class J49 0080 8 youth. In situations of this sort the board generally J49 0090 7 favors the expansion of free education. Campbell studied J49 0100 3 the records of 172 school board members in twelve western J49 0110 2 cities over the period of 1931-40 and found "little J49 0110 12 or no relationship between certain social and economic J49 0120 7 factors and school board competence", as judged by J49 0130 6 a panel of professional educators who studied the voting J49 0140 4 records on educational issues. J49 0140 8 The few cases of clear favoritism along social-class J49 0150 7 lines are as likely as not to involve representatives J49 0160 4 of the working class on the school board who favor J49 0170 2 some such practice as higher wages for janitors rather J49 0170 11 than pay increases for teachers, and such issues are J49 0180 8 not issues of educational policy. J49 0190 2 In general, it appears that trustees and board members J49 0200 1 attempt to represent the public interest in their administration J49 0200 10 of educational policy, and this is made easier by the J49 0210 10 fact that the dominant values of the society are middle-class J49 0220 8 values, which are generally thought to be valid for J49 0230 5 the entire society. There have been very few cases J49 0240 1 of explicit conflict of interest between the middle J49 0240 9 class and any other class in the field of educational J49 0250 8 policy. If there were more such cases, it would be J49 0260 5 easier to answer the question whether the policy-makers J49 0270 1 favor their own social classes. J49 0270 6 There is currently a major controversy of public J49 0280 4 education in which group interests and values are heavily J49 0290 3 engaged. This is the issue of segregated schools in J49 0290 12 the South. In this case it is primarily a matter of J49 0300 11 conflict of racial groups rather than social-class J49 0310 6 groups. Thus, the white middle and lower classes are J49 0320 4 arrayed against the Negro middle and lower classes. J49 0330 1 This conflict may be resolved in a way which will suit J49 0330 12 white middle-class people better than it suits white J49 0340 7 lower-class people. If this happens, there may be some J49 0350 5 class conflict in the South, with school boards and J49 0360 2 school teachers taking the middle-class position. J49 0360 9 #THE EDUCATIONAL PROFESSION# J49 0370 2 The members of the educational profession have a major J49 0380 3 voice in the determination of educational policy, their J49 0380 11 position being strongest in the universities. They J49 0390 7 are mostly upper-middle- and lower-middle-class people, J49 0400 6 with a few in the upper class. Do they make class-biased J49 0410 4 decisions? J49 0410 5 In a society dominated by middle-class values and J49 0420 3 working in an institution which transmits and strengthens J49 0430 1 these social values, it is clear that the educational J49 0430 10 profession must work for the values which are characteristic J49 0440 9 of the society. There is no problem here. The problem J49 0450 8 arises, if it does arise, when the educator has to J49 0460 5 make a choice or a decision within the area of his J49 0470 1 professional competence, but which bears some relation J49 0470 8 to the social structure. For instance, in giving school J49 0480 7 grades or in making recommendations for the award of J49 0490 5 a college scholarship, does he consciously or unconsciously J49 0500 3 favor students of one or another social class? Again, J49 0510 1 in deciding on the content and method of his teaching, J49 0510 11 does he favor a curriculum which will make his students J49 0520 8 stronger competitors in the race for higher economic J49 0530 5 status, or does he favor a curriculum which strengthens J49 0540 2 students in other ways? J49 0540 6 The answers to questions such as these certainly J49 0550 5 depend to some extent upon the educator's own social-class J49 0560 4 position and also upon his social history, as well J49 0560 13 as upon his personality and what he conceives his mission J49 0570 10 to be as an educator. In a set of case studies of teachers J49 0580 9 with various social-class backgrounds, Wattenberg illustrates J49 0590 4 a variety of approaches to students and to teaching J49 0600 4 which depend upon the teacher's personality as well J49 0610 2 as on his social-class background. One upward-mobile J49 0610 11 teacher may be a hard taskmaster for lower-class pupils J49 0620 9 because she wants them to develop the attitudes and J49 0630 5 skills that will enable them to climb, while another J49 0640 2 upward-mobile teacher may be a very permissive person J49 0640 11 with lower-class pupils because he knows their disadvantages J49 0650 9 and deprivations at home, and he hopes to encourage J49 0660 8 them by friendly treatment. J49 0670 1 One social-class factor which plays a large part J49 0670 10 in educational policy today is the fact that a great J49 0680 8 many school and college teachers are upward mobile J49 0690 3 from urban lower-class and lower-middle-class families. J49 0700 1 Their own experience in the social system influences J49 0700 9 their work and attitudes as teachers. While this influence J49 0710 7 is a complex matter, depending upon personality factors J49 0720 4 in the individual as well as upon his social-class J49 0730 3 experience, there probably are some general statements J49 0730 10 about social-class background and educational policy J49 0740 7 that can be made with a fair degree of truth. J49 0750 6 Teachers who have been upward mobile probably see J49 0760 3 education as most valuable for their students if it J49 0760 12 serves students as it has served them; that is, they J49 0770 10 are likely to favor a kind of education that has J49 0780 7 vocational-advancement J49 0780 9 value. This does not necessarily mean that such teachers J49 0800 5 will favor vocational education, as contrasted with J49 0810 4 liberal education, but they are likely to favor an J49 0820 2 approach to liberal education which has a maximal J49 0820 10 vocational-advancement J49 0830 1 value, as against a kind of "pure" liberal education J49 0830 10 that is not designed to help people get better jobs. J49 0840 10 There is no doubt that higher education since World J49 0850 6 War /2, has moved away from "pure" liberal education J49 0860 4 toward greater emphasis on technology and specialization. J49 0870 2 There are several causes for this, one being rapid J49 0870 11 economic development with increasing numbers of middle-class J49 0880 8 positions requiring engineering or scientific training. J49 0890 6 But another cause may lie in the experience of so many J49 0900 8 new postwar faculty members with their own use of education J49 0910 5 as a means of social advancement. J49 0910 11 Compared with the college and university faculty J49 0920 7 members of the period from 1900 to 1930, the new postwar J49 0930 7 faculty members consist of more children of immigrants J49 0931 3 and more children of urban working-class fathers. Their J49 0940 7 experience is quite in contrast with that of children J49 0950 5 of upper- and upper-middle-class native-born parents, J49 0960 2 who are more likely to regard education as good for J49 0960 12 its own sake and to discount the vocational emphases J49 0970 8 in the curriculum. J49 0970 11 #THE "PUBLIC INTEREST" GROUPS# J49 0980 4 Educational policies are formed by several groups who J49 0990 4 are officially or unofficially appointed to act in J49 1000 1 the public interest. Legislators are one such group, J49 1000 9 and state legislators have major responsibility for J49 1010 5 educational legislation. They generally vote so as J49 1020 4 to serve their own constituency, and if the constituency J49 1030 1 should be solidly middle class or solidly lower class, J49 1030 10 they might be expected to vote and work for middle- J49 1040 10 or for lower-class interests in education. However, J49 1050 4 there are relatively few such political constituencies, J49 1060 1 and, as has been pointed out, there is seldom a clear-cut J49 1060 13 distinction between the educational interests of one J49 1070 7 social class and those of another. J49 1080 3 Another public interest group is the commission J49 1090 1 of laymen or educators which is appointed to study J49 1090 10 an educational problem and to make recommendations. J49 1100 5 Generally these commissions work earnestly to represent J49 1110 4 the interest of the entire society, as they conceive J49 1120 1 it. Nevertheless, their conclusions and recommendations J49 1120 7 cannot please everybody, and they often represent a J49 1130 8 particular economic or political point of view. For J49 1140 5 instance, there have been two Presidential Commissions J49 1150 2 on higher education since World War /2,. President J49 1160 1 Truman's Commission on Higher Education tended to take J49 1160 9 a liberal, expansionist position, while President Eisenhower's J49 1170 6 Committee on Education Beyond the High School was slightly J49 1180 9 more conservative. Both Commissions consisted of upper-middle- J49 1190 8 and upper-class people, who attempted to act in the J49 1200 7 public interest. J49 1200 9 An example of a more definite class bias is noted J49 1210 7 in proceedings of the Commission on the Financing of J49 1220 4 Higher Education sponsored by the Association of American J49 1230 2 Universities and supported by the Rockefeller Foundation J49 1240 1 and the Carnegie Corporation. This Commission recommended J49 1240 8 against the use of federal government funds for the J49 1250 9 assistance of private universities and against a broad J49 1260 5 program of government-supported scholarships. This J49 1270 2 might be said to be an upper- or an upper-middle-class J49 1270 15 bias, but the Commission published as one of its staff J49 1280 10 studies a book by Byron S& Hollingshead entitled Who J49 1290 6 Should Go to College? which recommended a federal government J49 1300 6 scholarship program. Furthermore, the Commission set J49 1310 4 up the Council for Financial Aid to Education as a J49 1320 3 means of encouraging private business to increase its J49 1320 11 support of private higher education. Thus, the Commission J49 1330 8 acted with a sense of social responsibility within J49 1340 6 the area of its own convictions about the problem of J49 1350 5 government support to private education. J49 1360 1 Then there are the trustees and officers of the J49 1360 9 great educational foundations, who inevitably exert J49 1370 4 an influence on educational decisions by their support J49 1380 3 or refusal to support various educational programs, J49 1380 10 experiments, and demonstrations. These people are practically J49 1390 7 always upper- or upper-middle-class persons, who attempt J49 1400 8 to act in what they regard as the interest of the entire J49 1410 7 society. J49 1410 8 Finally there are the parent organizations and the J49 1420 6 laymen's organizations such as the National Association J49 1430 3 of Parents and Teachers, and the Citizens Committee J49 1440 1 on Public Schools. These have an upper-middle-class J49 1440 10 leadership and a middle-class membership, with rare J49 1450 8 exceptions, where working-class parents are active J49 1460 4 in local P&-T&A& matters. Like the other policy-making J49 1470 4 groups, these are middle class in their educational J49 1480 1 attitudes, and they attempt to act in the general public J49 1480 11 interest, as they see it. J49 1490 5 In general it appears that educational decisions J49 1500 1 and educational policies are made by people who intend J49 1500 10 to act in the interests of the society as a whole. J49 1510 8 They are predominantly middle- and upper-class people, J49 1520 5 and undoubtedly share the values and attitudes of those J49 1530 3 classes. They may be unaware of the existence of lower-class J49 1540 1 values and consequently fail to take them into account. J49 1540 10 But there is very little frank and conscious espousal J49 1550 8 of the interests of any one social class by the people J49 1560 6 who have the power to make decisions in education. J49 1570 1 They think of themselves as trustees for the entire J49 1570 10 society and try to serve the entire society. J49 1580 8 #ATTEMPTS TO INFLUENCE SOCIAL STRUCTURE THROUGH EDUCATION# J49 1590 4 Educational policy in the United States has as an explicit J49 1600 5 goal the maximization of economic and cultural opportunity. J49 1620 1 In so far as this goal is achieved, the society becomes J49 1620 12 more fluid, artificial barriers to social mobility J49 1630 7 are reduced, and people at the lower end of the social J49 1640 8 hierarchy share more fully in the material and cultural J49 1650 3 goods of society. On the other hand, there is a counterbalancing J49 1660 1 purpose in education which is to pass on the advantages J49 1670 1 of the parents to their children. This leads to efforts J49 1670 11 at exclusiveness through private schools and to the J49 1690 7 maintenance of social stratification in the schools. J49 1700 4 Both of these purposes exist side by side without much J49 1710 1 overt conflict under present conditions. J49 1710 6 #MAXIMIZING ECONOMIC AND CULTURAL OPPORTUNITY# J49 1720 3 The broad expansion of free education results both J49 1730 2 in raising the average economic and cultural level J49 1730 10 of the society and in promoting fluidity within the J49 1740 7 social structure. Fifty years ago the general raising J49 1750 5 of the school-leaving age to sixteen was an example J49 1760 2 of this movement. During the past decade the program J49 1760 11 has been carried on through expansion of free higher J49 1770 8 education in state universities, state colleges, and J49 1780 4 community colleges. The reaffirmation of American faith J49 1790 3 in the comprehensive high school, as expressed in the J49 1800 1 Conant study, is another indication of the liveliness J49 1800 9 of the ideal of maximizing opportunity through the J49 1810 5 equalizing of educational opportunity. J49 1820 1 The recent federal government's student-loan program J49 1820 8 is another step in the direction of making higher education J49 1830 10 more available to lower-status youth. It is probably J49 1840 8 more effective than the expanded scholarship programs J49 1850 3 of the past decade, because the scholarship programs J49 1860 1 mainly aided the students with the best academic records J49 1860 10 (who were usually middle-class), and these students J49 1870 8 tended to use the scholarship funds to go to more expensive J49 1880 7 colleges. Meanwhile, the private colleges have increased J49 1890 4 their tuition rates so much that they have raised an J49 1900 2 economic barrier which dwarfs their scholarship funds. J49 1900 9 The gains in educational opportunity during the past J49 1910 7 decade have taken place largely in the publicly supported J49 1920 6 institutions. J50 0010 1 Unfortunately, however, and for reasons to be discussed J50 0010 9 in the following chapter, no rate relationships can J50 0020 7 be made completely nondiscriminatory as long as all J50 0030 5 or some of the rates must be set above marginal costs J50 0040 2 in order to yield adequate revenues. And this fact J50 0040 11 may explain some of the disagreements among the experts J50 0050 8 as to the more rational formulas for the apportionment J50 0060 5 of total costs among different units of service. One J50 0070 4 such disagreement, which will receive attention in J50 0080 1 this next chapter, concerns the question whether rates J50 0080 9 for different kinds of service, in order to avoid the J50 0090 8 attribute of discrimination, must be made directly J50 0100 4 proportional to marginal costs, or whether they should J50 0110 2 be based instead on differences in marginal costs. J50 0110 10 Here, the choice is that between the horns of a dilemma. J50 0120 11 #TWO MAJOR TYPES OF FULLY DISTRIBUTED COST ANALYSIS# J50 0130 6 _1. THE DOUBLE-STEP TYPE_ J50 0140 1 Despite an ambiguity due to its failure clearly J50 0150 8 to define "relative costs", the above exposition of J50 0160 5 fully distributed costing goes about as far as one J50 0170 4 can go toward expressing the basic philosophy of the J50 0170 13 practice. For more explicit expositions, one must distinguish J50 0180 8 different types of analyses. By all means the most J50 0190 8 important distinction is that between those total-cost J50 0200 5 apportionments which superimpose a distribution of J50 0210 2 admittedly unallocable cost residues on estimates of J50 0210 9 incremental or marginal costs, and those other apportionments J50 0220 8 which recognize no difference between true cost allocation J50 0230 6 and mere total-cost distribution. J50 0240 1 The first, or double-step, type might also be called J50 0240 11 the "railroad type" because of its application to railroads J50 0250 8 (and other transportation agencies) by the Cost Section J50 0260 7 of the Interstate Commerce Commission. The Cost Section J50 0270 5 distinguishes between (directly) variable costs and J50 0280 4 constant costs in a manner noted in the preceding chapter. J50 0290 2 The variable costs alone are assigned to the different J50 0290 11 units of freight traffic as representing "long-run J50 0300 8 out-of-pocket costs"- a term with a meaning here not J50 0310 10 distinctly different from that of the economist's "long-run J50 0320 5 marginal costs". There remains a residue of total costs, J50 0330 4 or total "revenue requirements" which, since it is J50 0340 3 found to behave as if it were constant over substantial J50 0340 13 variations in traffic density, is strictly unallocable J50 0350 7 on a cost-finding basis. Nevertheless, because the J50 0360 4 Cost Section has felt impelled to make some kind of J50 0370 4 a distribution of total costs, it has apportioned this J50 0370 13 residue, which it sometimes calls "burden", among the J50 0380 8 units of carload traffic on a basis (partly ton, partly J50 0390 8 ton-mile) which is concededly quite arbitrary from J50 0400 4 the standpoint of cost determination. In recent years, J50 0410 2 this burden (which includes allowances for revenue J50 0410 9 deficiencies in the passenger business and in less-than-carload J50 0420 10 freight traffic!) has amounted to about one third of J50 0430 8 those total revenue requirements which the carload J50 0440 4 freight business is supposed to be called upon to meet. J50 0450 2 Since this book is concerned only incidentally with J50 0450 10 railroad rates, it will not attempt to analyze the J50 0460 9 methods by which the staff of the Interstate Commerce J50 0470 5 Commission has estimated out-of-pocket costs and apportioned J50 0480 4 residue costs. Suffice it to say that the usefulness J50 0490 1 of the latter apportionment is questionable. But in J50 0490 9 any event, full credit should be given to the Cost J50 0500 9 Section for its express and overt recognition of a J50 0510 5 vital distinction too often ignored in utility-cost J50 0520 1 analyses: namely, that between a cost allocation designed J50 0520 9 to reflect the actual behavior of costs in response J50 0530 9 to changes in rates of output of different classes J50 0540 6 of utility service; and a mere cost apportionment which J50 0550 2 somehow spreads among the classes and units of service J50 0560 1 even those costs that are strictly unallocable from J50 0560 9 the standpoint of specific cost determination. J50 0570 5 _2. THE SINGLE-STEP TYPE_ J50 0570 10 We turn now to a type of fully distributed cost J50 0580 9 analysis which, unlike the "railroad type", draws no J50 0590 4 distinction between cost allocation and cost apportionment: J50 0600 2 the single-step type. It might be called the "public J50 0610 1 utility" type because of the considerable use to which J50 0610 10 it has been put in gas and electric utility rate cases. J50 0620 10 Here no attempt is made, first to determine out-of-pocket J50 0630 8 or marginal costs and then to superimpose on these J50 0640 3 costs "reasonably distributed" residues of total costs. J50 0650 2 Instead, all of the total costs are treated as variable J50 0650 12 costs, although these costs are divided into costs J50 0660 8 that are deemed to be functions of different variables. J50 0670 5 Moreover, whereas in Interstate Commerce Commission J50 0680 2 parlance "variable cost" means a cost deemed to vary J50 0690 2 in direct proportion to changes in rate of output, J50 0690 11 in the type of analysis now under review "variable J50 0700 7 cost" has been used more broadly, so as to cover costs J50 0710 7 which, while a function of some one variable (such J50 0720 2 as output of energy, or number of customers), are not J50 0720 12 necessarily a linear function. J50 0730 4 As already noted in an earlier paragraph, the more J50 0740 4 familiar cost analyses of utility enterprises or utility J50 0750 2 systems divide the total costs among a number of major J50 0750 12 classes of service, such as residential, commercial, J50 0760 7 industrial power, street lighting, etc&. This "grand J50 0770 5 division" permits many costs to be assigned in their J50 0780 4 entirety to some one class, such as street lighting, J50 0790 1 or at least to be excluded completely from some important J50 0790 11 class or classes. High-tension industrial power service, J50 0800 6 for example, would not be charged with any share of J50 0810 7 the maintenance costs or capital costs of the low-tension J50 0820 4 distribution lines. But the major portions of the total J50 0830 1 costs of a utility business are common or joint to J50 0830 11 all, or nearly all, classes of customers; and these J50 0840 7 costs must somehow be apportioned among the various J50 0850 4 classes and then must somehow be reapportioned among J50 0860 1 the units of service in order to report unit costs J50 0860 11 than can serve as tentative measures of reasonable J50 0870 6 rates. J50 0870 7 The general basis on which these common costs are J50 0880 6 assigned to differently measured units of service will J50 0890 4 be illustrated by the following highly simplified problem J50 0900 1 of an electric-utility cost analysis. But before turning J50 0900 10 to this example, we must distinguish two subtypes of J50 0910 8 analysis, both of which belong to the single-step type J50 0920 6 rather than to the double-step type. J50 0930 1 In the first subtype, the analyst (following the J50 0930 9 practice of railroad analysis in this particular respect) J50 0940 6 distributes both total operating costs and total annual J50 0950 5 capital costs (including an allowance for "cost of J50 0960 3 capital" or "fair rate of return") among the different J50 0970 1 classes and units of service. Here, an apportionment, J50 0970 9 say, of $5,000,000 of the total costs to residential J50 0980 7 service as a class would include an allowance of perhaps J50 0990 5 6 per cent as the cost of whatever capital is deemed J50 1000 3 to have been devoted to the service of the residential J50 1000 13 consumers. J50 1010 1 But in the second subtype, which I take to be the J50 1010 12 one more frequently applied, only the operating expenses J50 1020 8 and not the "cost of capital" or "fair return" are J50 1030 7 apportioned directly among the various classes of service. J50 1040 5 To be sure, the capital investments in (or, alternatively, J50 1050 3 the estimated "fair values" of) the plant and equipment J50 1060 2 are apportioned among the different classes, as are J50 1060 10 also the gross revenues received from the sales of J50 1070 8 the different services. But any resulting excess of J50 1080 5 revenues received from a given class of service over J50 1090 2 the operating costs imputed to this class is reported J50 1090 11 as a "return" realized on the capital investment attributed J50 1100 7 to the same service. Thus, during any given year (a) J50 1110 8 if the revenues from the residential service are $7,000,000, J50 1120 4 (b) if the operating expenses imputed to this class J50 1130 4 of service come to $5,000,000, and (c) if the net investment J50 1140 1 in (or value of) the plant and equipment deemed devoted J50 1140 11 to this service amounts to $30,000,000, the cost analyst J50 1150 8 will report that residential service, in the aggregate, J50 1160 5 has yielded a return of $2,000,000 or 6-2/3 per cent. J50 1170 6 Other services will show different rates of return, J50 1180 1 some probably much lower and some higher. J50 1180 8 There are obvious reasons of convenience for this J50 1190 6 practice of excluding "cost of capital" from the direct J50 1200 4 apportionment of annual costs among the different classes J50 1210 2 of service- notably, the avoidance of the controversial J50 1210 10 question what rate of return should be held to constitute J50 1220 10 "cost of capital" or "fair rate of return". But the J50 1230 8 practice is likely to be misleading, since it may seem J50 1240 6 to support a conclusion that, as long as the revenues J50 1250 4 from any class of service cover the imputed operating J50 1260 1 expenses plus some return on capital investment, however J50 1260 9 low, the rates of charge for this service are compensatory. J50 1270 9 Needless to say, any such inference would be quite J50 1280 6 unwarranted. J50 1280 7 For the reason just suggested, I shall assume the J50 1290 6 use of the first subtype of fully distributed cost J50 1300 2 apportionment in the following simplified example. J50 1300 8 That is to say, an allowance for "cost of capital" J50 1310 10 will be assumed to be included directly in the cost J50 1320 7 apportionment. J50 1320 8 #THREE-PART ANALYSIS OF THE COSTS OF AN ELECTRIC UTILITY J50 1330 8 BUSINESS# J50 1330 9 In order to simplify the exposition of a typical fully J50 1340 7 apportioned cost analysis, let us assume the application J50 1350 4 of the analysis to an electric utility company supplying J50 1360 2 a single city with power generated by its own steam-generation J50 1370 1 plant. Let us also assume the existence of only one J50 1370 11 class or type of service, all of which is supplied J50 1380 8 at the same voltage, phase, etc& to residential, commercial, J50 1390 4 and industrial customers. This latter assumption will J50 1400 3 permit us to center attention on the most controversial J50 1410 1 aspect of modern public utility cost analysis- the J50 1410 9 distinction among costs that are functions of outputs J50 1420 7 of the same service measured along different dimensions. J50 1430 3 Since the company under review is supplying what J50 1440 2 we are here regarding as only one kind of service, J50 1440 12 we might suppose that the problem of total cost apportionment J50 1450 9 would be very simple; indeed, that it would be limited J50 1460 8 to a finding of the total annual operating and capital J50 1470 4 costs of the business, followed by a calculation of J50 1480 2 this total in terms of annual cost per kilowatt-hour J50 1480 12 of consumption. In fact, however, the problem is not J50 1490 8 so simple. For a statement of costs per kilowatt-hour J50 1500 6 would ignore the fact that many of these costs are J50 1510 3 not a function of kilowatt-hour output (or consumption) J50 1510 12 of energy. A recognition of multiple cost functions J50 1520 8 is therefore required. J50 1530 1 The simplest division, and the one most frequently J50 1530 9 used (with subdivisions) in gas and electric rate cases, J50 1540 8 is a threefold division of the total operating and J50 1550 6 capital costs into "customer costs", "energy" or "volumetric J50 1560 4 costs", and "demand" or "capacity" costs. If this threefold J50 1570 5 division of costs were to have its counterpart in the J50 1580 3 actual rates of charge for service, as it actually J50 1580 12 does have in some rates, there would result a three-part J50 1590 11 rate for any one class of service. For example, the J50 1600 7 monthly bill of a residential consumer might be the J50 1610 5 sum of a $1 customer charge, a $5 charge for 250 kilowatt-hours J50 1620 3 of energy at 2@ per kilowatt-hour, and a $2 charge J50 1620 14 for a maximum demand of 2 kilowatts during the month J50 1630 10 at the rate of $1 per kilowatt- a total bill of $8 J50 1640 8 for that month. But our present interest lies in the J50 1650 4 measurement of costs of service, and only indirectly J50 1660 1 in rates that may or may not be designed to cover these J50 1660 13 costs. Let us therefore consider each of the three J50 1670 8 types of cost in turn, recognizing that this simplified J50 1680 4 classification is used only for illustrative purposes; J50 1690 2 costs actually vary in much more complex ways. J50 1700 1 _1. THE CUSTOMER COSTS_ J50 1700 3 These are those operating and capital costs found J50 1700 11 to vary with number of customers regardless, or almost J50 1710 9 regardless, of power consumption. Included as a minimum J50 1720 6 are the costs of metering and billing along with whatever J50 1730 5 other expenses the company must incur in taking on J50 1740 3 another consumer. These minimum costs may come to $1 J50 1740 12 per month, more or less, for residential and small J50 1750 8 commercial customers, although they are substantially J50 1760 4 higher for large industrial users, who require more J50 1770 2 costly connections and metering devices. While costs J50 1770 9 on this order are sometimes separately charged for J50 1780 7 in residential and commercial rates, in the form of J50 1790 6 a mere "service charge", they are more frequently wholly J50 1800 3 or partly covered by a minimum charge which entitles J50 1810 1 the consumer to a very small amount of gas or electricity J50 1810 12 with no further payment. J50 1820 2 But the really controversial aspect of customer-cost J50 1830 1 imputation arises because of the cost analyst's frequent J50 1830 9 practice of including, not just those costs that can J50 1840 9 be definitely earmarked as incurred for the benefit J50 1850 6 of specific customers but also a substantial fraction J50 1860 2 of the annual maintenance and capital costs of the J50 1860 11 secondary (low-voltage) distribution system- a fraction J50 1870 7 equal to the estimated annual costs of a hypothetical J50 1880 6 system of minimum capacity. J51 0010 1 The preconditions of sociology have remained largely J51 0010 8 unexamined by the sociologist. Like primitive numbers J51 0020 7 in mathematics, the entire axiological framework is J51 0030 4 taken to rest upon its operational worth. But what J51 0040 3 is the operational worth of a sociology which mimetically J51 0040 12 reproduces the idea of physical models? Is it not the J51 0050 10 task of philosophy to see what intelligible meaning J51 0060 6 can be assigned to the most sacred canons in social J51 0070 4 science? It has become painfully clear that the very J51 0080 2 attempt to make the language of social research free J51 0080 11 of values by erecting mathematical and physical models, J51 0090 6 is itself a conditioned response to a world which pays J51 0100 6 a premium price for technological manipulation. J51 0110 1 This push to confine the study of mass behaviour J51 0110 10 to the measurements of parameters involved in differential J51 0120 7 equations has led sociology perilously close to the J51 0130 6 reduction of the word "mass" to mean a small group J51 0140 5 in which certain relations between all pairs of individuals J51 0150 1 in such a group can be studied. (Cf& Rapoport, 1959: J51 0160 1 ch& 11.) Here I think the role of the philosopher becomes J51 0160 12 apparent. The simple pragmatic success of the sociology J51 0170 8 of small groups needs to be questioned. For if the J51 0180 7 small group notion involves the implicit claim that J51 0190 3 the phenomena of sociological investigations are of J51 0190 10 atomic or subatomic proportions, the philosopher needs J51 0200 7 to know the extent to which such entities are valid. J51 0210 6 The mere exploration of the unconscious ground of present-day J51 0220 5 sociology offers a rich vein of philosophical and logical J51 0230 3 investigation. (Cf& Brodbeck, 1959: Ch& 12.) J51 0240 1 A parallel function for philosophy is the study J51 0240 9 of the relation between perceptions experientially J51 0250 4 received and conceptions logically formed. Philosophy J51 0260 3 can supply adequate criteria of meaning in the selection J51 0270 1 of socially viable categories. This involves a sifting J51 0270 9 of the empirical and rational elements entering into J51 0280 7 each social science statement. Merton's functional J51 0290 3 sociology may have great practical use in the study J51 0300 3 of different cultures, yet it is perfectly clear as J51 0300 12 Nagel (1957:247-83) and Hempel (1959:271-307) indicate, J51 0310 8 that the concept of function in sociology has been J51 0320 7 built up from physiological and biological models, J51 0330 2 in which the notions of teleology, i&e&, metaphysical J51 0340 1 purpose, are central. (Cf& Chapter /9,.) Functionalism J51 0340 8 as a sociological credo is, therefore, not a direct J51 0350 9 consequence of observations, but rather an indirect J51 0360 5 consequence of philosophical inference and judgment. J51 0370 3 The purpose of this sort of philosophical study J51 0380 1 of sociology is not to tyrannize but to clarify the J51 0380 11 principles of social science. It is absurd to speak J51 0390 7 of philosophy as a superior enterprise to sociology, J51 0400 3 since the former is a logical, rational discipline, J51 0410 1 where sociology is essentially descriptive and empirical. J51 0410 8 Such a position entails the negation of philosophy J51 0420 6 in its Platonic form as something soaring above and J51 0430 4 embracing the empirical and mathematical sciences. J51 0440 1 But contrary to Whitehead, philosophy is not a synonym J51 0440 10 for Plato. The uses of philosophy as a logical clearing J51 0450 9 house are manifest to any approach that does not descend J51 0460 7 to pure sensationalism. However, when philosophy attempts J51 0470 4 to stand above the sciences, to dictate the conditions J51 0475 2 of empirical research, it becomes formal metaphysics; J51 0480 5 shaping the contours of life to fit the needs of legends. J51 0490 11 The notion of philosophy as Queen Bee may fit well J51 0500 7 with authoritarian modes of political ideology, but J51 0510 3 it has been noted that the price of such an imperial J51 0520 1 notion of philosophy is the frustration and flagellation J51 0520 9 of the social sciences. (Cf& Wetter, 1952: Pt& /2, J51 0530 7 Ch& 5; Horowitz 1957b&.) J51 0540 2 Metaphysics is no longer a direct grappling with J51 0550 1 nature as it was in antiquity. It has surrendered any J51 0550 11 claims of description in favor of psychological accounts J51 0560 6 of nothingness, as in Heidegger's system (1929). Science J51 0570 4 is mocked for wishing to know nothing of Nothing, in J51 0580 4 a last ditch effort to save the gods at the expense J51 0590 1 of men. It is not positivism which has isolated metaphysics J51 0590 11 from reality by distinguishing between description J51 0600 5 and prescription. It is simply revealing the state J51 0610 5 to which metaphysical thinking has fallen during this J51 0620 2 century. J51 0620 3 Consider the traditional "four fields" of philosophy: J51 0630 3 logic, ethics, epistemology and esthetics. It is a J51 0640 1 commonplace that to the degree these special preserves J51 0640 9 of past philosophic hunting grounds establish an empirical J51 0650 6 content and suitable methodological criteria, they J51 0660 3 move away from philosophy as such. What is left to J51 0670 2 traditional systems of philosophy is, in effect, only J51 0670 10 the history of these fields prior to their becoming J51 0680 8 rigorous enough to abide by the canons of scientific J51 0690 5 method. In this situation, philosophy has survived J51 0700 1 by separating itself from metaphysics, by showing the J51 0700 9 ultimate questions to be the meaningless questions. J51 0710 7 The relinquishing by philosophy of pretentious claims J51 0720 6 to empirical priority gives it an ability to treat J51 0730 4 problems of meaning and truth which in the past it J51 0730 14 was unable to examine because of its missionary attitude J51 0740 9 to knowledge of more humble sorts. In the new situation, J51 0750 8 philosophy is able to provide the social sciences with J51 0760 5 the same guidance that mathematics offers the physical J51 0770 3 sciences, a reservoir of logical relations that can J51 0770 11 be used in framing hypotheses having explanatory and J51 0780 7 predictive value. Beyond this, philosophy may urge J51 0790 5 the social sciences forward by asking the type of question J51 0800 4 that falls outside the present scope of social inquiry, J51 0810 1 but within its potential domain of relevance. In this J51 0810 10 connection, it might be noted that the theory of games J51 0820 10 was a mathematical discovery long before its uses in J51 0830 6 political science were exploited. Likewise, Kant formulated J51 0840 3 the nebular hypothesis, according to which the solar J51 0850 1 system was evolved from a rotating mass of incandescent J51 0850 10 gas, nearly a half century before its scientific value J51 0860 8 was made plain by Laplace in his Systeme du Monde. J51 0870 6 This does not mean that philosophy resolves the problems J51 0880 3 it generates, any more so than Riemann's geometry settled J51 0890 2 the physical status of the space-time continuum. But J51 0890 11 the forceful presentation of new issues for the sciences J51 0900 8 to work on is itself a monumental task. J51 0910 4 To those raised on Marcel's Homo Viator and Heidegger's J51 0920 3 das Nichtige, this may seem a modest role for philosophy. J51 0930 4 However, modesty and triviality are different qualities. J51 0940 1 Philosophy conceived of as servant to the sciences J51 0940 9 might appear as less dramatic than philosophy which J51 0950 7 jeers as the sciences evolve. The ceaseless effort J51 0960 4 to understand and measure the distance mankind has J51 0970 2 traversed since its primitive anthropological status J51 0970 8 offers a more durable sort of drama. By clarifying J51 0980 8 fundamental premises in the social sciences, and defining J51 0990 5 the logical problems emergent at the borderlands of J51 1000 2 each new scientific discipline, philosophy can offer J51 1000 9 the sort of distinction that can accelerate growth J51 1010 8 in human understanding. Philosophy can prevent the J51 1020 5 working scientist from becoming slothful and self-content J51 1030 4 by noting the assumptions and level at which a hypothesis J51 1040 1 or theory is framed. The dissection of scientific theory, J51 1040 10 the examination of a theory from the vantage-points J51 1050 8 of language, epistemology, and ethics, is itself a J51 1060 6 distinct contribution to knowledge, no less so because J51 1070 3 of its removal from empirical research. J51 1070 9 The realm of science, whatever the degree of precision J51 1080 8 in formulations, covers the range of prediction and J51 1090 6 explanation. (Cf& Hempel and Oppenheim, 1948:135-75.) J51 1100 3 Whatever philosophy is conceived to be, its rationalist, J51 1110 1 logistic attitude to evidence should make it clear J51 1110 9 that it is something other than science. For some forms J51 1120 8 of philosophy, this very division between the empirical J51 1130 5 and the rational becomes a sign of the metaphysical J51 1140 2 superiority of the latter. Bergson and Leroy announce J51 1150 1 that "the secret is the center of a philosophy" and J51 1150 11 thereafter a hundred followers declare secrecy a higher J51 1160 7 verity. This is simply a confession of intellectual J51 1170 4 sterility spruced up to look virtuous. For as Merleau-Ponty J51 1180 4 indicated (1953), it is not the secret which is important, J51 1190 1 but the removal of secrecy. In this, philosophy and J51 1190 10 science share a common goal. The hypostatization of J51 1200 8 the secret nonetheless guarantees that the division J51 1210 4 of analytical and synthetic philosophies shall not J51 1220 2 be overcome by even the most persuasive argument; for J51 1220 11 this division is but an abstract representation of J51 1230 8 the social struggle between mysticism and science. J51 1240 4 The mystification of metaphysical systems does not J51 1250 3 imply the demise of philosophy, only the close of a J51 1250 13 philosophic age which demanded metaphysics to be rational J51 1260 8 and logical. The tenacity with which present metaphysical J51 1270 6 attitudes fetishize private intuition offers the strongest J51 1280 5 evidence that the gulf between scientific and delphic J51 1290 3 ways of philosophizing is built into the present conflict J51 1300 1 over the limits and purpose of science, religion and J51 1300 10 ideology. (Cf& McGlynn: 1958.) Scientific systems, J51 1310 5 and this includes even the relation of mechanist to J51 1320 6 relativist physics, are built upon, refined and corrected. J51 1330 3 Philosophic systems, by the very nature of their completeness, J51 1340 1 are overthrown by rival systems. In addition to the J51 1340 10 incompleteness of science and the completeness of metaphysics, J51 1350 8 they differ in that science is essentially descriptive, J51 1360 7 while philosophy in its inherited forms, tends to be J51 1370 5 goal-oriented, teleological and prescriptive. The threadbare J51 1380 3 notion that belief, unlike behaviour, is not subject J51 1390 1 to objective analysis, has placed intuitive metaphysics J51 1390 8 squarely against the sociology of knowledge, since J51 1400 6 it is precisely the job of the sociology of knowledge J51 1410 4 to treat beliefs as social facts no less viable than J51 1420 2 social behaviour. J51 1420 4 When dealing with the actual relation of philosophy J51 1430 3 to the sociology of knowledge, or better the role of J51 1430 13 philosophy in assisting research on the social sources J51 1440 8 of ideas, one has to become necessarily selective. J51 1450 5 Certain features we have touched upon: philosophy as J51 1460 3 a logical, deductive system from which a social science J51 1470 1 methodology can be built up; philosophic analysis of J51 1470 9 the assumptions and presumptions of the social sciences; J51 1480 7 and philosophy as a guide to possible integration of J51 1490 6 supposedly disparate sociological investigations. J51 1500 1 The objection will be raised that the most important J51 1510 1 role of philosophy in relation to social science has J51 1510 10 been omitted, namely the status of ultimate value questions J51 1520 8 and norms operative in the social sciences. Specifically, J51 1530 5 it will be asked whether the "real" questions people J51 1540 3 ask are not the "ultimate" questions that social science J51 1550 3 finds itself impotent in the face of. What then is J51 1550 13 the status of such questions as: is society the ground J51 1560 10 of human existence or a means to an individual goal? J51 1570 8 Do societies develop according to cosmic patterns or J51 1580 5 are they subject only to the free choice of individuals? J51 1590 1 Does society really exist as an entity over and above J51 1590 11 the agglomeration of men? I think it must be said that, J51 1600 11 contrary to metaphysical insistence, these are questions J51 1610 5 so framed as to defy either empirical exploration or J51 1620 4 rational solutions. As Simmel (1908) and Dilthey (1922) J51 1630 2 indicated, questions of whether the value of life is J51 1630 11 individual or social are not questions, but assertions J51 1640 8 of faith made to appear as legitimate questions. Such J51 1650 6 pseudo-questions assume that answers of concrete significance J51 1660 4 can be supplied to statements involving undefined universals. J51 1670 3 Social theory has no more right to expect results from J51 1680 2 meaningless questions, than physics has the right to J51 1680 10 expect a theological solution to the wave-particle J51 1690 7 controversy. J51 1690 8 It is not that such questions are not asked. It J51 1700 8 is rather that introducing them into social analysis J51 1710 4 reflects not so much a search for truth as for certainty. J51 1720 2 An operational approach to sociology can never expect J51 1720 10 abstract certainty, since it is certainty which every J51 1730 8 new discovery in science either replaces or reshapes. J51 1740 5 To raise the added objection that men require certainty J51 1750 4 on psychological grounds, answers to ultimate questions J51 1760 1 having an irrational rather than scientific basis, J51 1760 8 is in a real sense to undermine the objection itself. J51 1770 7 For what concerns all scientific disciplines is precisely J51 1780 4 that which can be captured for the rational, i&e&, J51 1790 2 for the scientific determination of what in past ages J51 1800 1 was considered ultimate and irrational. J51 1800 6 A philosophy which attempts to supply ultimate answers J51 1810 5 in an ultimate way reveals its acquiescence in the J51 1820 3 shortcomings of men, an impatience with partial, tentative J51 1830 1 solutions. Men have always lived in a tentative world, J51 1830 10 and in suspension of ultimate judgments where and when J51 1840 7 necessary. Uncertainty overcoming itself is the precondition J51 1850 6 of the quest for new and more precise information about J51 1860 3 the world. Without such uncertainty we are left with J51 1870 2 a set of dogmas and myths. The functional interplay J51 1870 11 of philosophy and science should, as a minimum, guarantee J51 1880 8 a meaningful option to myth-making. J51 1890 3 A degree of indefiniteness is a salutary condition J51 1900 1 for the growth of science. J52 0010 1 But neither was the statement empirical, for goodness J52 0010 9 was not a quality like red or squeaky that could be J52 0020 8 seen or heard. What were they to do, then, with these J52 0030 5 awkward judgments of value? To find a place for them J52 0040 2 in their theory of knowledge would require them to J52 0040 11 revise the theory radically, and yet that theory was J52 0050 8 what they regarded as their most important discovery. J52 0060 4 It appeared that the theory could be saved in one way J52 0070 4 only. If it could be shown that judgments of good and J52 0070 15 bad were not judgments at all, that they asserted nothing J52 0080 10 true or false, but merely expressed emotions like "Hurrah" J52 0090 6 or "Fiddlesticks", then these wayward judgments would J52 0100 6 cease from troubling and weary heads could be at rest. J52 0110 5 This is the course the positivists took. They explained J52 0120 2 value judgments by explaining them away. J52 0120 8 Now I do not think their view will do. But before J52 0130 8 discussing it, I should like to record one vote of J52 0140 6 thanks to them for the clarity with which they have J52 0150 2 stated their case. It has been said of John Stuart J52 0150 12 Mill that he wrote so clearly that he could be found J52 0160 10 out. This theory has been put so clearly and precisely J52 0170 6 that it deserves criticism of the same kind, and this J52 0180 3 I will do my best to supply. The theory claims to show J52 0190 1 by analysis that when we say, "That is good", we do J52 0190 12 not mean to assert a character of the subject of which J52 0200 8 we are thinking. I shall argue that we do mean to do J52 0210 7 just that. J52 0210 9 Let us work through an example, and the simpler J52 0220 4 and commoner the better. There is perhaps no value J52 0230 1 statement on which people would more universally agree J52 0230 9 than the statement that intense pain is bad. Let us J52 0240 8 take a set of circumstances in which I happen to be J52 0250 7 interested on the legislative side and in which I think J52 0260 3 every one of us might naturally make such a statement. J52 0260 13 We come upon a rabbit that has been caught in one of J52 0270 12 the brutal traps in common use. There are signs that J52 0280 7 it has struggled for days to escape and that in a frenzy J52 0290 6 of hunger, pain, and fear, it has all but eaten off J52 0300 2 its own leg. The attempt failed: the animal is now J52 0300 12 dead. As we think of the long and excruciating pain J52 0310 8 it must have suffered, we are very likely to say: "It J52 0320 5 was a bad thing that the little animal should suffer J52 0330 2 so". The positivist tells us that when we say this J52 0330 12 we are only expressing our present emotion. I hold, J52 0340 8 on the contrary, that we mean to assert something of J52 0350 6 the pain itself, namely, that it was bad- bad when J52 0360 5 and as it occurred. J52 0360 9 Consider what follows from the positivist view. J52 0370 3 On that view, nothing good or bad happened in the case J52 0380 1 until I came on the scene and made my remark. For what J52 0380 13 I express in my remark is something going on in me J52 0390 10 at the time, and that of course did not exist until J52 0400 5 I did come on the scene. The pain of the rabbit was J52 0410 2 not itself bad; nothing evil was happening when that J52 0410 11 pain was being endured; badness, in the only sense J52 0420 8 in which it is involved at all, waited for its appearance J52 0430 7 till I came and looked and felt. Now that this is at J52 0440 5 odds with our meaning may be shown as follows. Let J52 0450 1 us put to ourselves the hypothesis that we had not J52 0450 11 come on the scene and that the rabbit never was discovered. J52 0460 8 Are we prepared to say that in that case nothing bad J52 0470 6 occurred in the sense in which we said it did? Clearly J52 0480 2 not. Indeed we should say, on the contrary, that the J52 0480 12 accident of our later discovery made no difference J52 0490 8 whatever to the badness of the animal's pain, that J52 0500 6 it would have been every whit as bad whether a chance J52 0510 4 passer-by happened later to discover the body and feel J52 0520 1 repugnance or not. If so, then it is clear that in J52 0520 12 saying the suffering was bad we are not expressing J52 0530 7 our feelings only. We are saying that the pain was J52 0540 4 bad when and as it occurred and before anyone took J52 0540 14 an attitude toward it. J52 0550 4 The first argument is thus an ideal experiment in J52 0560 2 which we use the method of difference. It removes our J52 0560 12 present expression and shows that the badness we meant J52 0570 9 would not be affected by this, whereas on positivist J52 0580 6 grounds it should be. The second argument applies the J52 0590 3 method in the reverse way. It ideally removes the past J52 0600 1 event, and shows that this would render false what J52 0600 10 we mean to say, whereas on positivist grounds it should J52 0610 7 not. Let us suppose that the animal did not in fact J52 0620 6 fall into the trap and did not suffer at all, but that J52 0630 2 we mistakenly believe it did, and say as before that J52 0630 12 its suffering was an evil thing. On the positivist J52 0640 8 theory, everything I sought to express by calling it J52 0650 6 evil in the first case is still present in the second. J52 0660 3 In the only sense in which badness is involved at all, J52 0660 14 whatever was bad in the first case is still present J52 0670 10 in its entirety, since all that is expressed in either J52 0680 7 case is a state of feeling, and that feeling is still J52 0690 4 there. And our question is, is such an implication J52 0700 1 consistent with what we meant? Clearly it is not. If J52 0700 11 anyone asked us, after we made the remark that the J52 0710 9 suffering was a bad thing, whether we should think J52 0720 4 it relevant to what we said to learn that the incident J52 0730 1 had never occurred and no pain had been suffered at J52 0730 11 all, we should say that it made all the difference J52 0740 8 in the world, that what we were asserting to be bad J52 0750 5 was precisely the suffering we thought had occurred J52 0760 1 back there, that if this had not occurred, there was J52 0760 11 nothing left to be bad, and that our assertion was J52 0770 8 in that case mistaken. The suggestion that in saying J52 0780 4 something evil had occurred we were after all making J52 0790 1 no mistake, because we had never meant anyhow to say J52 0790 11 anything about the past suffering, seems to me merely J52 0800 8 frivolous. If we did not mean to say this, why should J52 0810 6 we be so relieved on finding that the suffering had J52 0820 2 not occurred? On the theory before us, such relief J52 0820 11 would be groundless, for in that suffering itself there J52 0830 8 was nothing bad at all, and hence in its nonoccurrence J52 0840 6 there would be nothing to be relieved about. The positivist J52 0850 4 theory would here distort our meaning beyond recognition. J52 0860 1 So far as I can see, there is only one way out for J52 0870 1 the positivist. He holds that goodness and badness J52 0870 9 lie in feelings of approval or disapproval. And there J52 0880 6 is a way in which he might hold that badness did in J52 0890 5 this case precede our own feeling of disapproval without J52 0900 2 belonging to the pain itself. The pain in itself was J52 0900 12 neutral; but unfortunately the rabbit, on no grounds J52 0910 8 at all, took up toward this neutral object an attitude J52 0920 6 of disapproval and that made it for the first time, J52 0930 3 and in the only intelligible sense, bad. This way of J52 0930 13 escape is theoretically possible, but since it has J52 0940 8 grave difficulties of its own and has not, so far as J52 0950 9 I know, been urged by positivists, it is perhaps best J52 0960 4 not to spend time over it. J52 0960 10 I come now to a third argument, which again is very J52 0970 6 simple. When we come upon the rabbit and make our remark J52 0980 5 about its suffering being a bad thing, we presumably J52 0990 1 make it with some feeling; the positivists are plainly J52 0990 10 right in saying that such remarks do usually express J52 1000 8 feeling. But suppose that a week later we revert to J52 1010 7 the incident in thought and make our statement again. J52 1020 2 And suppose that the circumstances have now so changed J52 1020 11 that the feeling with which we made the remark in the J52 1030 11 first place has faded. The pathetic evidence is no J52 1040 6 longer before us; and we are now so fatigued in body J52 1060 4 and mind that feeling is, as we say, quite dead. In J52 1070 1 these circumstances, since what was expressed by the J52 1070 9 remark when first made is, on the theory before us, J52 1080 8 simply absent, the remark now expresses nothing. It J52 1090 3 is as empty as the word "Hurrah" would be when there J52 1100 2 was no enthusiasm behind it. And this seems to me untrue. J52 1100 13 When we repeat the remark that such suffering was a J52 1110 10 bad thing, the feeling with which we made it last week J52 1120 8 may be at or near the vanishing point, but if we were J52 1130 5 asked whether we meant to say what we did before, we J52 1140 1 should certainly answer Yes. We should say that we J52 1140 10 made our point with feeling the first time and little J52 1150 8 or no feeling the second time, but that it was the J52 1160 6 same point we were making. And if we can see that what J52 1170 2 we meant to say remains the same, while the feeling J52 1170 12 varies from intensity to near zero, it is not the feeling J52 1180 10 that we primarily meant to express. J52 1190 3 I come now to a fourth consideration. We all believe J52 1200 1 that toward acts or effects of a certain kind one attitude J52 1200 12 is fitting and another not; but on the theory before J52 1210 9 us such a belief would not make sense. Broad and Ross J52 1220 7 have lately contended that this fitness is one of the J52 1230 5 main facts of ethics, and I suspect they are right. J52 1240 1 But that is not exactly my point. My point is this: J52 1240 12 whether there is such fitness or not, we all assume J52 1250 9 that there is, and if we do, we express in moral judgments J52 1260 5 more than the subjectivists say we do. Let me illustrate. J52 1270 3 In his novel The House of the Dead, Dostoevsky tells J52 1280 2 of his experiences in a Siberian prison camp. Whatever J52 1290 1 the unhappy inmates of such camps are like today, Dostoevsky's J52 1290 11 companions were about as grim a lot as can be imagined. J52 1300 11 "I have heard stories", he writes, "of the most terrible, J52 1310 8 the most unnatural actions, of the most monstrous murders, J52 1320 6 told with the most spontaneous, childishly merry laughter". J52 1330 4 Most of us would say that in this delight at the killing J52 1340 4 of others or the causing of suffering there is something J52 1350 1 very unfitting. If we were asked why we thought so, J52 1350 11 we should say that these things involve great evil J52 1360 7 and are wrong, and that to take delight in what is J52 1370 5 evil or wrong is plainly unfitting. Now on the subjectivist J52 1380 1 view, this answer is ruled out. For before someone J52 1380 10 takes up an attitude toward death, suffering, or their J52 1390 9 infliction, they have no moral quality at all. There J52 1400 7 is therefore nothing about them to which an attitude J52 1410 3 of approval or condemnation could be fitting. They J52 1410 11 are in themselves neutral, and, so far as they get J52 1420 10 a moral quality, they get it only through being invested J52 1430 7 with it by the attitude of the onlooker. But if that J52 1440 4 is true, why is any attitude more fitting than any J52 1450 1 other? Would applause, for example, be fitting if, J52 1450 9 apart from the applause, there were nothing good to J52 1460 7 applaud? Would condemnation be fitting if, independently J52 1470 4 of the condemnation, there were nothing bad to condemn? J52 1480 3 In such a case, any attitude would be as fitting or J52 1480 14 unfitting as any other, which means that the notion J52 1490 9 of fitness has lost all point. J52 1500 3 Indeed we are forced to go much farther. If goodness J52 1510 1 and badness lie in attitudes only and hence are brought J52 1510 11 into being by them, those men who greeted death and J52 1520 9 misery with childishly merry laughter are taking the J52 1530 5 only sensible line. If there is nothing evil in these J52 1540 3 things, if they get their moral complexion only from J52 1540 12 our feeling about them, why shouldn't they be greeted J52 1550 8 with a cheer? To greet them with repulsion would turn J52 1560 6 what before was neutral into something bad; it would J52 1570 4 needlessly bring badness into the world; and even on J52 1580 2 subjectivist assumptions that does not seem very bright. J52 1580 10 On the other hand, to greet them with delight would J52 1590 9 convert what before was neutral into something good; J52 1600 4 it would bring goodness into the world. J53 0010 1 The injured German veteran was a former miner, twenty-four J53 0010 11 years old, who had been wounded by shrapnel in the J53 0020 10 back of the head. This resulted in damage to the occipital J53 0030 7 lobe and very probably to the left side of the cerebellum J53 0040 5 also. In any event, the extraordinary result of this J53 0050 3 injury was that he became "psychically blind", while J53 0050 11 at the same time, apparently, the sense of touch remained J53 0060 10 essentially intact. Psychical blindness is a condition J53 0070 6 in which there is a total absence of visual memory-images, J53 0080 5 a condition in which, for example, one is unable to J53 0090 4 remember something just seen or to conjure up a memory-picture J53 0100 1 of the visible appearance of a well-known friend in J53 0100 11 his absence. This circumstance in the patient's case J53 0110 7 plus the fact that his tactual capacity remained basically J53 0120 4 in sound working order constitutes its exceptional J53 0130 2 value for the problem at hand since the evidence presented J53 0140 1 by the authors is overwhelming that, when the patient J53 0140 10 closed his eyes, he had absolutely no spatial (that J53 0150 7 is, third-dimensional) awareness whatsoever. The necessary J53 0160 4 inference, as the authors themselves interpret it, J53 0170 2 would seem to be this: "(1) Spatial qualities are not J53 0170 12 among those grasped by the sense of touch, as such. J53 0180 10 We do not arrive at spatial images by means of the J53 0190 8 sense of touch by itself. (2) Spatiality becomes part J53 0200 4 of the tactual sensation only by way of visual representations; J53 0210 2 that is, there is, in the true sense, only a visual J53 0220 1 space". The underlying assumption, of course, is that J53 0220 9 only sight and touch enable us, in any precise and J53 0230 10 fully dependable way, to locate objects in space beyond J53 0240 6 us, the other senses being decidedly inferior, if not J53 0250 3 totally inadequate, in this regard. This is an assumption J53 0260 1 with which few would be disposed to quarrel. Therefore, J53 0260 10 if the sense of touch is functioning normally and there J53 0270 8 is a complete absence of spatial awareness in a psychically-blind J53 0280 8 person when the eyes are closed and an object is handled, J53 0290 6 the conclusion seems unavoidable that touch by itself J53 0300 4 cannot focus and take possession of the third-dimensionality J53 0310 1 of things and that actual sight or visual representations J53 0310 10 are necessary. J53 0320 2 The force of the authors' analysis (if indeed it J53 0330 1 has any force) can be felt by the reader, I believe, J53 0330 12 only after three questions have been successfully answered. J53 0340 6 (1) What allows us to think that the patient had no J53 0350 6 third-dimensional representations when his eyes were J53 0360 3 closed? (2) What evidence is there that he was psychically J53 0370 1 blind? (3) How can we be sure that his sense of touch J53 0370 13 was not profoundly disturbed by his head injury? We J53 0380 7 shall consider these in the inverse order of their J53 0390 5 presentation. J53 0390 6 Obviously, a satisfactory answer to the third question J53 0400 6 is imperative, if the argument is to get under way J53 0410 4 at all, for if there is any possibility of doubt whether J53 0420 1 the patient's tactual sensitivity had been impaired J53 0420 8 by the occipital lesion, any findings whatsoever in J53 0430 6 regard to the first question become completely ambiguous J53 0440 3 and fail altogether, of course, as evidence to establish J53 0450 2 the desired conclusion. The answer the authors give J53 0450 10 to it, therefore, is of supreme importance. It is as J53 0460 9 follows: "The usual sensitivity tests showed that the J53 0470 6 specific qualities of skin-perceptiveness (pressure, J53 0480 2 pain, temperature), as well as the kinesthetic sensations J53 0500 1 (muscular feelings, feelings in the tendons and joints), J53 0500 9 were, as such, essentially intact, although they seemed, J53 0510 8 in comparison with normal reactions, to be somewhat J53 0520 6 diminished over the entire body. The supposed tactual J53 0530 3 sense of spatial location and orientation in the patient J53 0540 1 and his ability to specify the location of a member, J53 0540 11 as well as the direction and scope of a movement, passively J53 0550 9 executed (with one of his members), proved to have J53 0560 6 been, on the contrary, very considerably affected". J53 0570 2 The authors insist, however, that these abnormalities J53 0570 9 in the sense of touch were due absolutely to no organic J53 0580 11 disorders in that sense faculty but rather to the injuries J53 0590 8 which the patient had sustained to the sense of sight. J53 0600 6 First of all, what is their evidence that the tactual J53 0610 4 apparatus was fundamentally undamaged? (1) When an J53 0620 2 object was placed in the patient's hand, he had no J53 0620 12 difficulty determining whether it was warm or cold, J53 0630 7 sharp or blunt, rough or smooth, flexible, soft, or J53 0640 4 hard; and he could tell, simply by the feel of it, J53 0650 2 whether it was made of wood, iron, cloth, rubber, and J53 0650 12 so on. And he could recognize, by touch alone, articles J53 0660 8 which he had handled immediately before, even though J53 0670 4 they were altogether unfamiliar to him and could not J53 0680 3 be identified by him; that is, he was unaware what J53 0680 13 kind of objects they were or what their use was. (2) J53 0690 11 The patient attained an astonishing efficiency in a J53 0700 6 new trade. Because of his brain injury and the extreme J53 0710 4 damage suffered to his sight, the patient had to train J53 0720 1 himself for a new line of work, that of a portfolio-maker, J53 0720 13 an occupation requiring a great deal of precision in J53 0730 8 the making of measurements and a fairly well-developed J53 0740 6 sense of form and contour. It seems clear, when one J53 0750 3 takes into consideration the exceedingly defective J53 0750 9 eyesight of the patient (we shall describe it in detail J53 0760 10 in connection with our second question, the one concerning J53 0770 6 the psychical blindness of the patient), that he had J53 0780 5 to rely on his sense of touch much more than the usual J53 0790 2 portfolio-maker and that consequently that faculty J53 0790 9 was most probably more sensitive to shape and size J53 0800 7 than that of a person with normal vision. And so the J53 0810 5 authors conclude: "The conduct of the patient in his J53 0820 3 every-day life and in his work, even more than the J53 0820 14 foregoing facts [mentioned above under 1], leave positively J53 0830 8 no room for doubt that the sense of touch, in the ordinary J53 0840 9 sense of the word, was unaffected; or, to put the same J53 0850 6 thing in physiological terms, that the performance-capacity J53 0860 1 of the tactual apparatus, from the periphery up to J53 0870 1 the tactual centers in the brain,- that is, from one J53 0870 11 end to the other- was unimpaired". J53 0880 5 If the argument is accepted as essentially sound J53 0890 2 up to this point, it remains for us to consider whether J53 0890 13 the patient's difficulties in orienting himself spatially J53 0900 7 and in locating objects in space with the sense of J53 0910 8 touch can be explained by his defective visual condition. J53 0920 3 But before we can do this, we must first find answers J53 0930 2 to our original questions 1 and 2; then we shall perhaps J53 0940 1 be in a position to provide something like a complete J53 0940 11 answer to the question at hand. J53 0950 3 In what ways, then, did the patient's psychical J53 0960 1 blindness manifest itself? He could not see objects J53 0960 9 as unified, self-contained, and organized figures, J53 0970 6 as a person does with normal vision. The meaning of J53 0980 5 this, as we shall see, is that he had no fund of visual J53 0990 3 memory-images of objects as objects; and, therefore, J53 0990 11 he could not recognize even long-familiar things upon J53 1000 8 seeing them again. Instead, he constantly became lost J53 1010 5 in parts and components of them, confused some of their J53 1020 4 details with those of neighboring objects, and so on, J53 1030 2 unless he allowed time to "trace" the object in question J53 1030 12 through minute movements of the head and hands and J53 1040 9 in this way to discover its contours. According to J53 1050 5 his own testimony, he never actually saw things as J53 1060 2 shaped but only as generally amorphous "blots" of color J53 1060 11 of a more or less indefinite size; at their edges they J53 1070 11 slipped pretty much out of focus altogether. But by J53 1080 8 the tracing procedure, he could, in a strange obviously J53 1090 5 kinesthetic manner, find the unseen form; could piece, J53 1100 2 as it were, the jumbled mass together into an organized J53 1100 12 whole and then recognize it as a man or a triangle J53 1110 11 or whatever it turned out to be. If, however, the figure J53 1120 8 to be discerned were complicated, composed of several J53 1130 4 interlocking subfigures, and so on, even the tracing J53 1140 1 process failed him, and he could not focus even relatively J53 1140 11 simple shapes among its parts. This meant, concretely, J53 1150 8 that the patient could not read at all without making J53 1160 7 writing-like movements of the head or body, became J53 1170 3 easily confused by "hasher marks" inserted between J53 1170 10 hand-written words and thus confused the mark for one J53 1180 9 of the letters, and could recognize a simple straight J53 1190 6 line or a curved one only by tracing it. J53 1200 2 The patient himself denied that he had any visual J53 1200 11 imagery at all; and there was ample evidence of the J53 1210 10 following sort to corroborate him. After a conversation J53 1220 5 with another man, he was able to recount practically J53 1230 3 everything that had been said but could not describe J53 1240 1 at all what the other man looked like. Nor could he J53 1240 12 call up memory-pictures of close friends or relatives. J53 1250 6 In short, both his own declarations and his figural J53 1260 4 blindness, when he looked at objects, seem to present J53 1270 2 undeniable evidence that he had simply no visual memory J53 1270 11 at all. He was oblivious of the form of the object J53 1280 10 actually being viewed, precisely because he could not J53 1290 5 assign it to a visual shape, already learned and held J53 1300 3 in visual memory, as persons of normal vision do. He J53 1300 13 could not recognize it; he was absolutely unfamiliar J53 1310 8 with it because he had no visual memory at all. Therefore, J53 1320 8 his only recourse was to learn the shape all over again J53 1330 6 for each new visual experience of the same individual J53 1340 2 object or type of object; and this he could do only J53 1340 13 by going over its mass with the tracing procedure. J53 1350 9 Then he might finally recognize it, apparently by combining J53 1360 6 the visual blot, actually being seen, with tactual J53 1370 4 feelings in the head or body accompanying the tracing J53 1380 1 movements. This would mean, it can readily be seen, J53 1380 10 that, again, for each new visual experience the tracing J53 1390 8 motions would have to be repeated because of the absence J53 1400 5 of visual imagery. J53 1400 8 As one would surmise, the procedure, however, could J53 1410 6 be repeated with the same object or with the same type J53 1420 6 of object often enough, so that the corresponding visual J53 1430 2 blots and the merest beginning of the tracing movement J53 1430 11 would provide clues as to the actual shape, which the J53 1440 10 patient then immediately could determine by a kind J53 1450 6 of inference. Men, trees, automobiles, houses, and J53 1460 3 so on- objects continually confronted in everyday life- J53 1470 3 had each its characteristic blot-appearance and became J53 1470 11 easily recognizable, at the very beginning of tracing, J53 1480 7 by an inference as to what each was. Dice, for example, J53 1490 6 he inferred from black dots on a white surface. He J53 1500 2 evidently could not actually see the corners of these J53 1500 11 objects, but their size and the dots gave them away. J53 1510 10 And the authors give numerous instances of calculated J53 1520 5 guessing on the patient's part to show how large a J53 1530 5 role it played in his process of readapting himself J53 1540 1 and how proficient he became at it. Often he seems J53 1540 11 even to have been able to guess correctly, without J53 1550 6 the tracing motions, solely on the basis of qualitative J53 1560 3 differences among the blot-like things which appeared J53 1570 1 in his visual experience. J53 1570 5 Perhaps the very important question- What is, then, J53 1580 6 exactly the role of kinesthetic sensations in the patient's J53 1590 2 ability to recognize forms and shapes by means of the J53 1590 12 tracing movements when he is actually looking at things?- J53 1600 9 has now been raised in the reader's mind and in the J53 1610 9 following form. If the patient can perceive figure J53 1620 4 kinesthetically when he cannot perceive it visually, J53 1630 1 then, it would seem, the sense of touch has immediate J53 1630 11 contact with the spatial aspects of things in independence J53 1640 9 of visual representations, at least in regard to two J53 1650 7 dimensions, and, as we shall see, even this much spatial J53 1660 4 awareness on the part of unaided touch is denied by J53 1670 2 the authors. How, then, do the kinesthetic sensations J53 1670 10 function in all this? The authors set about answering J53 1680 8 this fundamental question through a detailed investigation J53 1690 5 of the patient's ability, tactually, (1) to perceive J53 1700 4 figure and (2) to locate objects in space, with his J53 1710 1 eyes closed (or turned away from the object concerned). J53 1710 10 Quite naturally, they make the investigation, first, J53 1720 6 by prohibiting the patient from making any movements J53 1730 4 at all and then, later, by repeating it and allowing J53 1740 1 the patient to move in any way he wanted to. J53 1740 11 When the patient was not allowed to move his body J53 1750 9 in any way at all, the following striking results occurred. J54 0010 1 Whenever artists, indeed, turned to actual representations J54 0010 8 or molded three-dimensional figures, which were rare J54 0020 7 down to 800 B&C&, they tended to reflect reality (see J54 0030 6 Plate 6~a, 9~b); a schematic, abstract treatment of J54 0040 4 men and animals, by intent, rose only in the late eighth J54 0050 3 century. J54 0050 4 To speak of this underlying view of the world is J54 0060 3 to embark upon matters of subjective judgment. At the J54 0060 12 least, however, one may conclude that Geometric potters J54 0070 8 sensed a logical order; their principles of composition J54 0080 5 stand very close to those which appear in the Homeric J54 0090 5 epics and the hexameter line. Their world, again, was J54 0100 2 a still simple, traditional age which was only slowly J54 0100 11 beginning to appreciate the complexity of life. And J54 0110 8 perhaps an observer of the vases will not go too far J54 0120 7 in deducing that the outlook of their makers and users J54 0130 3 was basically stable and secure. The storms of the J54 0130 12 past had died away, and the great upheaval which was J54 0140 10 to mark the following century had not yet begun to J54 0150 7 disturb men's minds. J54 0150 10 Throughout the work of the later ninth century a J54 0160 9 calm, severe serenity displays itself. In the vases J54 0170 5 this spirit may perhaps at times bore or repel one J54 0180 2 in its internal self-satisfaction, but the best of J54 0180 11 the Geometric pins have rightly been considered among J54 0190 7 the most beautiful ever made in the Greek world. The J54 0200 6 ninth century was in its artistic work "the spiritually J54 0210 2 freest and most self-sufficient between past and future", J54 0220 1 and the loving skill spent by its artists upon their J54 0220 11 products is a testimonial to their sense that what J54 0230 7 they were doing was important and was appreciated. J54 0240 3 _THE AEGEAN IN 800 B&C&_ J54 0240 8 GEOMETRIC POTTERY has not yet received the thorough, J54 0250 7 detailed study which it deserves, partly because the J54 0270 4 task is a mammoth one and partly because some of its J54 0280 3 local manifestations, as at Argos, are only now coming J54 0280 12 to light. From even a cursory inspection of its many J54 0290 9 aspects, however, the historian can deduce several J54 0300 5 fundamental conclusions about the progress of the Aegean J54 0310 4 world down to 800 B&C& J54 0310 9 The general intellectual outlook which had appeared J54 0320 5 in the eleventh century was now consolidated to a significant J54 0330 4 degree. Much which was in embryo in 1000 had become J54 0340 3 reasonably well developed by 800. In this process the J54 0340 12 Minoan-Mycenaean inheritance had been transmuted or J54 0350 6 finally rejected; the Aegean world which had existed J54 0360 7 before 1000 differed from that which rises more clearly J54 0380 4 in our vision after 800. Those modern scholars who J54 0390 2 urge that we must keep in mind the fundamental continuity J54 0390 12 of Aegean development from earliest times- granted J54 0400 6 occasional irruptions of peoples and ideas from outside- J54 0410 6 are correct; but all too many observers have been misled J54 0420 4 by this fact into minimizing the degree of change which J54 0430 2 took place in the early first millennium. J54 0430 9 The focus of novelty in this world now lay in the J54 0440 10 south-eastern districts of the Greek mainland, and J54 0450 4 by 800 virtually the entire Aegean, always excepting J54 0460 1 its northern shores, had accepted the Geometric style J54 0460 9 of pottery. While Protogeometric vases usually turn J54 0470 6 up, especially outside Greece proper, together with J54 0480 4 as many or more examples of local stamp, these "non-Greek" J54 0490 1 patterns had mostly vanished by the later ninth century. J54 0500 1 In their place came local variations within the common J54 0500 10 style- tentative, as it were, in Protogeometric products J54 0510 10 but truly distinct and sharply defined as the Geometric J54 0520 7 spirit developed. Attica, though important, was not J54 0530 5 the only teacher of this age. One can take a vase of J54 0540 4 about 800 B&C& and, without any knowledge of its place J54 0550 1 of origin, venture to assign it to a specific area; J54 0550 11 imitation and borrowing of motifs now become ascertainable. J54 0560 6 The potters of the Aegean islands thus stood apart J54 0570 5 from those of the mainland, and in Greece itself Argive, J54 0580 3 Corinthian, Attic, Boeotian, and other Geometric sequences J54 0590 2 have each their own hallmarks. These local variations J54 0590 10 were to become ever sharper in the next century and J54 0600 10 a half. J54 0600 12 The same conclusions can be drawn from the other J54 0610 8 physical evidence of the Dark ages, from linguistic J54 0620 4 distribution, and from the survivals of early social, J54 0630 2 political, and religious patterns into later ages. J54 0630 9 By 800 B&C& the Aegean was an area of common tongue J54 0640 9 and of common culture. On these pillars rested that J54 0650 6 solid basis for life and thought which was soon to J54 0660 4 be manifested in the remarkably unlimited ken of the J54 0660 13 Iliad. Everywhere within the common pattern, however, J54 0670 7 one finds local diversity; Greek history and culture J54 0680 6 were enduringly fertilized, and plagued, by the interplay J54 0690 6 of these conjoined yet opposed factors. J54 0700 1 Further we cannot go, for the Dark ages deserve J54 0700 10 their name. Many aspects of civilization were not yet J54 0710 9 sufficiently crystallized to find expression, nor could J54 0720 6 the simple economic and social foundations of this J54 0730 3 world support a lofty structure. The epic poems, the J54 0750 1 consolidation of the Greek pantheon, the rise of firm J54 0750 10 political units, the self-awareness which could permit J54 0760 7 painted and sculptured representations of men- all J54 0770 4 these had to await the progress of following decades. J54 0780 1 What we have seen in this chapter, we have seen only J54 0780 12 dimly, and yet the results, however general, are worth J54 0790 8 the search. These are the centuries in which the inhabitants J54 0800 7 of the Aegean world settled firmly into their minds J54 0810 4 and into their institutions the foundations of the J54 0820 1 Hellenic outlook, independent of outside forces. J54 0820 7 To interpret, indeed, the era from 1000 to 800 as J54 0830 9 a period mainly of consolidation may be a necessary J54 0840 5 but unfortunate defect born of our lack of detailed J54 0850 1 information; if we could see more deeply, we probably J54 0850 10 would find many side issues and wrong turnings which J54 0860 8 came to an end within the period. The historian can J54 0870 5 only point out those lines which were major enough J54 0880 2 to find reflection in our limited evidence, and must J54 0880 11 hope that future excavations will enrich our understanding. J54 0890 7 Throughout the Dark ages, it is clear, the Greek world J54 0900 8 had been developing slowly but consistently. The pace J54 0910 4 could now be accelerated, for the inhabitants of the J54 0920 3 Aegean stood on firm ground. J54 0920 8 #CHAPTER 5 THE EARLY EIGHTH CENTURY# J54 0930 1 THE LANDSCAPE of Greek history broadens widely, and J54 0940 1 rather abruptly, in the eighth century B&C&, the age J54 0940 10 of Homer's "rosy-fingered Dawn". The first slanting J54 0950 7 rays of the new day cannot yet dispel all the dark J54 0960 7 shadows which lie across the Aegean world; but our J54 0970 3 evidence grows considerably in variety and shows more J54 0980 1 unmistakably some of the lines of change. For this J54 0980 10 period, as for earlier centuries, pottery remains the J54 0990 5 most secure source; the ceramic material of the age J54 1000 5 is more abundant, more diversified, and more indicative J54 1010 1 of the hopes and fears of its makers, who begin to J54 1010 12 show scenes of human life and death. Figurines and J54 1020 7 simple chapels presage the emergence of sculpture and J54 1030 4 architecture in Greece; objects in gold, ivory, and J54 1050 2 bronze grow more numerous. Since writing was practiced J54 1050 10 in the Aegean before the end of the century, we may J54 1060 10 hope that the details of tradition will now be occasionally J54 1070 6 useful. Though it is not easy to apply the evidence J54 1080 4 of the Iliad to any specific era, this marvelous product J54 1090 2 of the epic tradition had certainly taken definitive J54 1090 10 shape by 750. J54 1100 3 The Dipylon Geometric pottery of Athens and the J54 1100 11 Iliad are amazing manifestations of the inherent potentialities J54 1110 8 of Greek civilization; but both were among the last J54 1120 8 products of a phase which was ending. Greek civilization J54 1130 6 was swirling toward its great revolution, in which J54 1140 3 the developed qualities of the Hellenic outlook were J54 1150 1 suddenly to break forth. The revolution was well under J54 1150 10 way before 700 B&C&, and premonitory signs go back J54 1160 8 virtually across the century. The era, however, is J54 1170 5 Janus-faced. While many tokens point forward, the main J54 1180 3 achievements stand as a culmination of the simple patterns J54 1190 1 of the Dark ages. The dominant pottery of the century J54 1190 11 was Geometric; political organization revolved about J54 1200 5 the basileis; trade was just beginning to expand; the J54 1220 7 gods who protected the Greek countryside were only J54 1230 3 now putting on their sharply anthropomorphic dress. J54 1240 1 The modern student, who knows what was to come next, J54 1240 11 is likely to place first the factors of change which J54 1250 9 are visible in the eighth century. Not all men of the J54 1260 7 period would have accepted this emphasis. Many potters J54 1270 3 clung to the past the more determinedly as they were J54 1270 13 confronted with radically new ideas; the poet of the J54 1280 9 Iliad deliberately archaized. Although it is not possible J54 1290 7 to sunder old and new in this era, I shall consider J54 1300 7 in the present chapter primarily the first decades J54 1320 2 of the eighth century and shall interpret them as an J54 1320 12 apogee of the first stage of Greek civilization. J54 1330 8 On this principle of division I must postpone the J54 1340 7 evolution of sculpture, architecture, society, and J54 1350 3 politics; for the developments in these areas make J54 1350 11 sense only if they are connected to the age of revolution J54 1360 11 itself. The growing contacts between Aegean and Orient J54 1370 6 are also a phase which should be linked primarily to J54 1380 5 the remarkable broadening of Hellenic culture after J54 1390 2 750. We shall not be able entirely to pass over these J54 1390 13 connections to the East as we consider Ripe Geometric J54 1400 9 pottery, the epic and the myth, and the religious evolution J54 1410 8 of early Greece; the important point, however, is that J54 1420 5 these magnificent achievements, unlike those of later J54 1430 3 decades, were only incidentally influenced by Oriental J54 1440 1 models. The antecedents of Dipylon vases and of the J54 1440 10 Iliad lie in the Aegean past. J54 1450 4 _DIPYLON POTTERY_ J54 1450 6 THE POTTERY of the first half of the eighth century J54 1460 6 is commonly called Ripe Geometric. The severe yet harmonious J54 1470 4 vases of the previous fifty years, the Strong Geometric J54 1480 2 style of the late ninth century, display as firm a J54 1480 12 mastery of the principles underlying Geometric pottery; J54 1490 7 but artists now were ready to refine and elaborate J54 1500 6 their inheritance. The vases which resulted had different J54 1510 3 shapes, far more complex decoration, and a larger sense J54 1520 2 of style. J54 1520 4 Beyond the aesthetic and technical aspects of this J54 1530 2 expansion we must consider the change in pottery style J54 1530 11 on broader lines. In earlier centuries men had had J54 1540 8 enough to do in rebuilding a fundamental sense of order J54 1550 6 after chaos. They had had to work on very simple foundations J54 1560 3 and had not dared to give rein to impulses. The potters, J54 1570 2 in particular, had virtually eschewed freehand drawing, J54 1570 9 elaborate motifs, and the curving lines of nature, J54 1580 8 while yet expressing a belief that there was order J54 1590 6 in the universe. In their vases were embodied the basic J54 1600 3 aesthetic and logical characteristics of Greek civilization, J54 1610 1 at first hesitantly in Protogeometric work, and then J54 1610 9 more confidently in the initial stages of the Geometric J54 1620 8 style. By 800 social and cultural security had been J54 1630 6 achieved, at least on a simple plane; it was time to J54 1640 5 take bigger steps, to venture on experiments. J54 1650 1 Ripe Geometric potters continued to employ the old J54 1650 8 syntax of ornaments and shapes and made use of the J54 1660 8 well-defined though limited range of motifs which they J54 1670 4 had inherited. In these respects the vases of the early J54 1680 1 eighth century represent a culmination of earlier lines J54 1680 9 of progress. To the ancestral lore, however, new materials J54 1690 8 were added. Painters left less and less of a vase in J54 1700 9 a plain dark color; instead they divided the surface J54 1710 4 into many bands or covered it by all-over patterns J54 1720 1 into which freehand drawing began to creep. Wavy lines, J54 1720 10 feather-like patterns, rosettes of indefinitely floral J54 1730 6 nature, birds either singly or in stylized rows, animals J54 1740 6 in solemn frieze bands (see Plates 11-12)- all these J54 1750 5 turned up in the more developed fabrics as preliminary J54 1760 1 signs that the potters were broadening their gaze. J54 1760 9 The rows of animals and birds, in particular, suggest J54 1770 6 awareness of Oriental animal friezes, transmitted perhaps J54 1780 3 via Syrian silver bowls and textiles, but the specific J54 1790 2 forms of these rows on local vases and metal products J54 1790 12 are nonetheless Greek. Though the spread of this type J54 1800 9 of decoration in the Aegean has not yet been precisely J54 1810 7 determined, it seems to appear first in the Cyclades, J54 1820 4 which were among the leading exporters of pottery throughout J54 1830 2 the century. J54 1830 4 As the material at the command of the potters grew J54 1840 3 and the volume of their production increased, the local J54 1850 1 variations within a common style became more evident. J54 1850 9 Plate 12 illustrates four examples, which are Ripe J54 1860 6 or Late Geometric work of common spirit but of different J54 1870 5 schools. J55 0010 1 Cook had discovered a beef in his possession a few J55 0010 11 days earlier and, when he could not show the hide, J55 0020 8 arrested him. Thinking the evidence insufficient to J55 0030 3 get a conviction, he later released him. Even while J55 0030 12 suffering the trip to his home, Cook swore to Moore J55 0040 10 and Lane that he would kill the Indian. J55 0050 5 Three weeks later following his recovery, armed J55 0060 2 with a writ issued by the Catskill justice on affidavits J55 0060 12 prepared by the district attorney, Cook and Russell J55 0070 8 rode to arrest Martinez. Arriving at daybreak, they J55 0080 5 found Julio in his corral and demanded that he surrender. J55 0090 4 Instead, he whirled and ran to his house for a gun J55 0100 3 forcing them to kill him, Cook reported. J55 0100 10 Both Cook's and Russell's lives were threatened J55 0110 6 by the Mexicans following the killing, but the company J55 0120 5 officers felt that in the end, it would serve to quiet J55 0130 3 them despite their immediate emotion. General manager J55 0130 10 Pels even suggested that it might be wise to keep the J55 0140 11 Mexicans in suspense rather than accept their offers J55 0150 6 to sell out and move away, and try to have a few punished. J55 0160 6 On February 17, Russell and Cook were sent to the J55 0170 5 Pena Flor community on the Vermejo to see about renting J55 0180 1 out ranches the company had purchased. While talking J55 0180 9 with Julian M& Beall, Francisco Archuleta and Juan J55 0190 7 Marcus appeared, both heavily armed, and after watching J55 0200 6 the house for a while, rode away. It was nearly sundown J55 0210 5 before they finished the business with Beall and began J55 0220 2 riding down the stream. They had traveled only a short J55 0220 12 distance when they spotted five Mexicans riding along J55 0230 8 a horse-trail across the stream just ahead of them. J55 0240 7 Suspecting an ambush, the two deputies decided to ride J55 0250 4 up a side canyon taking a short cut into Catskill. J55 0260 1 After spending two nights (Wednesday and Thursday) J55 0260 8 in Catskill, the deputies again headed for the Vermejo J55 0270 8 to finish their business. They stayed with a rancher J55 0280 6 Friday night and by eleven o'clock Saturday morning J55 0290 3 passed the old Garnett Lee ranch. Half a mile below J55 0300 1 at the mouth of Salyer's Canyon was an old ranch that J55 0300 12 the company had purchased from A& J& Armstrong, occupied J55 0310 8 by a Mexican, his wife, and an old trapper. There were J55 0320 9 three houses in Salyer's Canyon just at the foot of J55 0330 7 a low bluff, the road winding along the top, entering J55 0340 2 above, and then passing down in front of the houses, J55 0340 12 thence to the Vermejo. To the west of this road was J55 0350 11 another low bluff, forty or fifty feet high, covered J55 0360 6 with scrub oak and other brush. As they were riding J55 0370 3 along this winding road on the bench of land between J55 0370 13 the two bluffs, a volley of rifle fire suddenly crashed J55 0380 10 around the two officers. Not a bullet touched Cook J55 0390 6 who was nearer the ambush, but one hit Russell in the J55 0400 5 leg and another broke his arm, passing on through his J55 0410 2 body. J55 0410 3 With the first reports, Russell's horse wheeled J55 0420 1 to the right and ran towards the buildings while Cook, J55 0420 11 followed by a hail of bullets, raced towards the arroyo J55 0430 8 of Salyer's Canyon immediately in front of him, just J55 0440 6 reaching it as his horse fell. Grabbing his Winchester J55 0450 3 from its sheath, Cook prepared to fight from behind J55 0460 1 the arroyo bank. Bullets were so thick, throwing sand J55 0460 10 in his face, that he found it difficult to return the J55 0470 8 fire. Noticing Russell's horse in front of the long J55 0480 6 log building, he assumed his friend had slipped inside J55 0490 2 and would be able to put up a good fight, so he began J55 0490 15 working his way down the ditch to join him. At a very J55 0500 12 shallow place, two Mexicans rushed into the open for J55 0510 6 a shot. Dropping to one knee, Cook felled one, and J55 0520 4 the other struggled off with his comrade, sending no J55 0520 13 further fire in his direction. Just before leaving J55 0530 8 the arroyo where he was partially concealed, he did J55 0540 6 hear shots down at the house. J55 0550 1 Russell had reached the house as Cook surmised, J55 0550 9 dismounted, but just as the old trapper opened the J55 0560 7 door to receive him, he fell into the trapper's arms- J55 0570 1 dead. A bullet fired by one of the Mexicans hiding J55 0580 1 in a little chicken house had passed through his head, J55 0580 11 tearing a hole two-inches square on the outgoing side. J55 0590 8 Finding him dead, Cook caught Russell's horse and rode J55 0600 5 to the cattle foreman's house to report the incident J55 0610 3 and request bloodhounds to trail the assassins. J55 0620 1 Before daylight Sunday morning, a posse of twenty-three J55 0620 10 men under the leadership of Deputy Sheriff Frank MacPherson J55 0630 8 of Catskill followed the trail to the house of Francisco J55 0640 8 Chaves, where 100 to 150 Mexicans had gathered. MacPherson J55 0650 5 boldly approached the fortified adobe house and demanded J55 0660 5 entrance. The men inside informed him that they had J55 0670 2 some wounded men among them but he would not be allowed J55 0670 13 to see them even though he offered medical aid. The J55 0680 9 officer demanded the names of the injured men; the J55 0690 6 Mexicans not only refused to give them, but told the J55 0700 4 possemen if they wanted a fight they could have it. J55 0700 14 Since the strength of the Mexicans had been underrated, J55 0710 9 too small a posse had been collected, and since the J55 0720 7 deputy had not been provided with search warrants, J55 0730 3 MacPherson and his men decided it was much wiser to J55 0740 1 withdraw. J55 0740 2 The posse's retreat encouraged the Mexicans to be J55 0750 2 overbearing and impudent. During the following week, J55 0750 9 six tons of hay belonging to one rancher were burned; J55 0760 7 some buildings, farm tools, two horses, plows, and J55 0770 5 hay owned by Bonito Lavato, a friendly interpreter J55 0780 1 for the company, and Pedro Chavez' hay were stolen J55 0780 10 or destroyed; and a store was broken into and robbed. J55 0790 9 District Attorney M& W& Mills warned that he would J55 0800 7 vigorously prosecute persons caught committing these J55 0810 3 crimes or carrying arms- he just didn't catch anyone. J55 0820 2 Increasing threats on his life finally convinced J55 0820 9 Cook that he should leave New Mexico. His friends advised J55 0830 10 that it would be only a question of time until either J55 0840 9 the Mexicans killed him by ambuscade or he would be J55 0850 6 compelled to kill them in self-defense, perpetuating J55 0860 1 the troubles. By early summer, he wrote from Laramie J55 0860 10 that he was suffering from the wound inflicted in the J55 0870 9 ambush and was in a bad way financially, so Pels sent J55 0880 6 him a draft for $100, warning that it was still not J55 0890 4 wise for him to return. Pels also sent a check for J55 0890 15 $100 to Russell's widow and had a white marble monument J55 0900 10 erected on his grave. J55 0910 2 Cattle stealing and killing, again serious during J55 0910 9 the spring of 1891, placed the land grant company officers J55 0920 10 in a perplexing position. They were reluctant to appoint J55 0930 7 sheriffs to protect the property, thus running the J55 0940 4 risk of creating disturbances such as that on the Vermejo, J55 0950 3 and yet the cowboys protested that they got no salary J55 0960 1 for arresting cattle thieves and running the risk of J55 0960 10 being shot. And the law virtually ignored the situation. J55 0970 7 The judge became ill just as the Colfax District Court J55 0980 5 convened, no substitute was brought in, no criminal J55 1000 3 cases heard, only 5 out of 122 cases docketed were J55 1000 13 tried, and court adjourned sine die after sitting a J55 1010 9 few days instead of the usual three weeks. Pels complained: J55 1020 5 "Litigants and witnesses were put to the expense and J55 1030 6 inconvenience of going long distances to transact business; J55 1040 2 public money spent; justice delayed; nothing accomplished, J55 1050 1 and the whole distribution of justice in this county J55 1050 10 seems to be an absolute farce". J55 1060 5 Word reached the company that the man behind these J55 1070 3 depredations was Manuel Gonzales, a man with many followers, J55 1080 1 including a number who were kept in line through fear J55 1080 11 of him. Although wanted by the sheriff for killing J55 1090 8 an old man named Asher Jones, the warrant for his arrest J55 1100 6 had never been served. On May 19, a deputy sheriff's J55 1110 3 posse of eight men left Maxwell City and rode thirty-five J55 1120 1 miles up the Vermejo where they were joined by Juan J55 1120 11 Jose Martinez. By 3:00 A&M& they reached his house J55 1130 9 and found it vacant. When they were refused entrance J55 1140 6 to his brother's house nearby, they smashed down the J55 1150 5 door, broke the window, and threw lighted clothes wet J55 1160 2 with kerosene into the room. Still there was no Gonzales J55 1160 12 and the family would say nothing. J55 1170 6 About 300 yards up the creek was a cluster of Mexican J55 1180 5 houses containing six rooms in the form of a square. J55 1190 2 While prowling around these buildings, two of the posse J55 1190 11 recognized the voice of Gonzales speaking to the people J55 1200 9 inside. He was promised that no harm would befall him J55 1210 7 if he would come out, but he cursed and replied that J55 1220 4 he would shoot any man coming near the door. The posse J55 1230 2 then asked that he send out the women and children J55 1230 12 as the building would be fired or torn down over his J55 1240 9 head if necessary to take him dead or alive. Again J55 1250 5 he refused. In deadly earnest, the besiegers methodically J55 1260 1 stripped away portions of the roof and tossed lighted J55 1260 10 rags inside, only to have most stamped out by the women J55 1270 11 as soon as they hit the floor. When it became obvious J55 1280 7 that he could stay inside no longer, taking a thousand J55 1290 4 to one chance Gonzales rushed outside, square against J55 1300 1 the muzzle of a Winchester. Shot near the heart, he J55 1300 11 turned to one side and plunged for a door to another J55 1310 10 room several feet away, three bullets following him. J55 1320 4 As he pushed open the door he fell on his face, one J55 1330 3 of his comrades pulling him inside. J55 1330 9 Not realizing the seriousness of the wound, the J55 1340 6 besiegers warned that if he did not surrender the house J55 1350 3 would be burned down around him. Receiving no answer, J55 1360 1 they set the fire. When the house was about half consumed, J55 1360 12 his comrade ran to the door and threw up his hands, J55 1370 10 declaring repeatedly that he did not know the whereabouts J55 1380 7 of Manuel. Finding it true that he was not inside, J55 1390 4 the deputies returned to the first house and tore holes J55 1400 1 through the side and the roof until they could see J55 1400 11 a body on the bed covered by a blanket. Several slugs J55 1410 7 fired into the bed jerked aside the blanket to reveal J55 1420 5 an apparently lifeless hand. Shot six or eight times J55 1430 2 the body was draped with Russell's pistol, belt, and J55 1430 11 cartridges. There was no extra horse so it was left J55 1440 10 to his comrades who, though numbering in the fifties, J55 1450 5 had stood around on the hillside nearby without firing J55 1460 3 a shot during the entire attack. J55 1460 9 Early the next morning, a Mexican telephoned Pels J55 1470 6 that Celso Chavez, one of the posse members, was surrounded J55 1480 5 by ten Mexicans at his father's home on the upper Vermejo. J55 1490 5 The sheriff and District Attorney Mills hastily swore J55 1500 1 out a number of warrants against men who had been riding J55 1500 12 about armed, according to signed statements by Chavez J55 1510 7 and Dr& I& P& George, and ordered Deputy Barney Clark J55 1520 6 of Raton to rescue the posseman. Traveling all night, J55 1530 4 Clark and twelve men arrived at about seven o'clock J55 1540 2 May 22. Occasionally they heard gun-shot signals and J55 1540 11 a number of horsemen were sighted on the hills, disappearing J55 1550 10 at the posse's approach. A Mexican justice of the peace J55 1560 8 had issue a writ against Chavez for taking part in J55 1570 6 the "murder" of Manuel Gonzales so he and his father J55 1580 6 were anxious to be taken out of danger. The men helped J55 1590 2 them gather their belongings and escorted them to Raton J55 1590 11 along with three other families desiring to leave. J55 1600 8 The ten or more dangerous parties singled out for J55 1610 6 prosecution were still at large, and Pels realized J55 1620 3 that if these men entrenched themselves in their adobe J55 1630 1 houses, defending themselves through loopholes, it J55 1630 7 would be most difficult to capture them. Thus he wired J55 1640 7 J& P& Lower and Sons of Denver: "Have you any percussion J55 1650 6 hand grenades for throwing in a house or across a well J55 1660 6 loaded with balls or shrapnel shot? If not, how long J55 1670 3 to order and what is the price"? He wisely decided J55 1670 13 that it would be foolish to create a disturbance during J55 1680 10 the coming roundup, particularly since the Mexicans J55 1690 5 were on their guard. His problem then became one of J55 1700 5 restraining the American fighters who wanted to clean J55 1710 1 out the Vermejo by force immediately. J56 0010 1 The plant was located west of the Battenkill and south J56 0010 11 of the location of the former electric light plant. J56 0020 7 The Manchester Depot Sewer Company issued 214 shares J56 0030 6 of stock at $10 each for construction of a sewer in J56 0040 5 that locality, and assessments were made for its maintenance. J56 0050 1 It has given considerable trouble at times and empties J56 0050 10 right into the Battenkill. Fire District No& 1 discussed J56 0060 9 its possible purchase in 1945, but considered it an J56 0070 8 unwise investment. J56 0070 10 The sewer on Bonnet Street was constructed when J56 0080 8 there were only a few houses on the street. as new J56 0090 6 homes were built they were connected so that all residences J56 0100 3 south of School Street are served by it. B& J& Connell J56 0110 2 is the present treasurer and manager. J56 0110 8 The 1946 town meeting voted to have the Selectmen J56 0120 7 appoint a committee to investigate and report on the J56 0130 5 feasibility of some system of sewage disposal and a J56 0140 2 disposal plant to serve Manchester Center, Depot, and J56 0140 10 Way's Lane. The committee submitted a report signed J56 0150 8 by Louis Martin and Leon Wiley with a map published J56 0160 7 in the 1946 town report. The layout of the sewer lines J56 0170 5 was designed by Henry W& Taylor, who was the engineer J56 0180 2 for the Manchester Village disposal plant. No figures J56 0180 10 were submitted with the report and no action was taken J56 0190 10 on it by the town. J56 0200 1 The 1958 town meeting directed town authorities J56 0200 8 to seek federal and state funds with which to conduct J56 0210 8 a preliminary survey of a proposed sewage plant with J56 0220 4 its attendant facilities. The final step was a vote J56 0230 1 for a $230,000 bond issue for the construction of a J56 0230 11 sewage system by the 1959 town meeting, later confirmed J56 0240 7 by a two-thirds vote at a special town meeting June J56 0250 4 21, 1960. J56 0250 6 There the matter stands with the prospect that soon J56 0260 5 Manchester may be removed from the roster of towns J56 0270 2 contributing raw sewage to its main streams. J56 0270 9 #@ TELEPHONE AND TELEGRAPH# J56 0280 2 MANCHESTER'S unusual interest in telegraphy has often J56 0290 2 been attributed to the fact that the Rev& J& D& Wickham, J56 0300 1 headmaster of Burr and Burton Seminary, was a personal J56 0300 10 friend and correspondent of the inventor, Samuel F& J56 0310 7 B& Morse. At any rate, Manchester did not lag far behind J56 0320 8 the first commercial system which was set up in 1844 J56 0330 7 between Baltimore and Washington. J56 0340 1 In 1846 Matthew B& Goodwin, jeweler and watchmaker, J56 0340 8 became the town's first telegrapher in a dwelling he J56 0350 7 built for himself and his business "two doors north J56 0360 4 of the Equinox House" or "one door north of the Bank, J56 0370 4 Manchester, Vermont". Goodwin was telegrapher for the J56 0380 2 "American Telegraph Company" and the "Troy and Canada J56 0390 1 Junction Telegraph Company". Shares of capital stock J56 0390 8 at $15 each in the latter company were payable at the J56 0400 9 Bank of Manchester or at various other Vermont banks. J56 0410 5 A message of less than fifteen words to Bennington J56 0420 2 cost twenty-five cents. J56 0420 6 By 1871 L& C& Orvis, manager of the "Western Union J56 0430 6 Telegraph Company", expressed willingness to send emergency J56 0440 5 telegrams on Sundays from his Village drugstore. Orvis J56 0450 3 even needed to hire an assistant, Clark J& Wait. The J56 0460 2 Manchester Journal commented editorially on the surprising J56 0470 1 amount of local telegraphic business. J56 0470 6 In the fall of 1878, the "Popular Telegraph Line" J56 0480 5 was established between Manchester and Factory Point J56 0490 4 by the owners, Paul W& Orvis, Henry Gray, J& N& Hard, J56 0500 4 and Clark J& Wait. The line soon lived up to its name, J56 0510 4 as local messages of moderate length could be sent J56 0510 13 for a dime and the company was quickly able to declare J56 0520 10 very liberal dividends on its capital stock. J56 0530 5 In 1879 the same Clark Wait, with H& H& Holley of J56 0540 4 South Dorset, formed the "American Telegraph Line", J56 0550 2 extending from Manchester Depot via Factory Point and J56 0560 1 South Dorset to Dorset. Besides being most convenient, J56 0560 9 the line "soon proved a good investment for the owners". J56 0570 8 Telegraphers at the Depot at this time were Aaron C& J56 0580 8 Burr and Mark Manley of "Burr and Manley", dealers J56 0590 4 in lumber and dry goods. J56 0590 9 Early equipment was very flimsy; the smallest gusts J56 0600 7 of wind toppled poles, making communications impossible. J56 0610 4 But companies continued to spring up. By 1883 the "Battenkill J56 0620 6 Telegraph Company" was in existence and Alvin Pettibone J56 0630 4 was its president. Operating in 1887 was the "Valley J56 0640 2 Telegraph Line", officers of which were E& C& Orvis, J56 0650 1 president; H& K& Fowler, vice-president and secretary; J56 0660 1 J& N& Hard, treasurer; F& H& Walker, superintendent; J56 0670 1 H& S& Walker, assistant superintendent. Two companies J56 0670 8 now had headquarters with Clark J& Wait, who by then J56 0680 9 had his own drugstore at Factory Point- the "Northern J56 0690 6 Union Telegraph Company" and the "Western Union". Operators J56 0700 6 were Arthur Koop and Norman Taylor. Still existing J56 0710 4 on a "Northern Union" telegraph form is a typical peremptory J56 0720 5 message from Peru grocer J& J& Hapgood to Burton and J56 0730 4 Graves' store in Manchester- "Get and send by stage J56 0740 3 sure four pounds best Porterhouse or serloin stake, J56 0740 11 for Mrs& Hapgood send six sweet oranges". J56 0750 6 About 1888 J& E& McNaughton of Barnumville and E& J56 0760 6 G& Bacon became proprietors of the "Green Mountain J56 0770 5 Telegraph Company", connecting all offices on the Western J56 0780 4 Union line and extending over the mountain from Barnumville J56 0790 2 to Peru, Londonderry, South Londonderry, Lowell Lake, J56 0800 1 Windham, North Windham, Grafton, Cambridgeport, Saxton's J56 0810 1 River, and Bellows Falls. J56 0810 5 From 1896 until 1910 John H& Whipple was manager J56 0820 4 of Western Union at the Center in the drugstore he J56 0830 2 purchased from Clark Wait. The Village office of Western J56 0830 11 Union with George Towsley as manager and telegrapher J56 0840 8 continued in Hard's drugstore until 1905. During the J56 0850 6 summers, Towsley often needed the assistance of a company J56 0860 6 operator. J56 0860 7 These were the years when people flocked to Manchester J56 0870 5 not only to play golf, which had come into vogue, but J56 0880 4 also to witness the Ekwanok Country Club tournaments. J56 0890 1 New Yorkers were kept informed of scores by reporters J56 0890 10 who telegraphed fifteen to twenty thousand words daily J56 0900 7 to the metropolitan newspapers. This boosted local J56 0910 4 telegraph business and Manchester basked in all the J56 0920 3 free advertising. In 1914 when the town was chosen J56 0920 12 for the U& S& Amateur Golf tournament, a representative J56 0930 8 hurried here from the Boston manager's office. In his J56 0940 7 wake came the District Traffic Supervisor and the cream J56 0950 5 of the telegraphic profession, ten of Boston's best, J56 0960 3 chosen for their long experience and thorough knowledge J56 0970 1 of golf. During that tournament alone, some 250,000 J56 0970 9 words winged their way out of Manchester. J56 0980 6 The old Morse system was replaced locally by the J56 0990 4 Simplex modern automatic method in 1929, when Ellamae J56 1000 1 Heckman (Wilcox) was manager of the Western Union office. J56 1000 10 During summers, business was so brisk that Mrs& Wilcox J56 1010 9 had two assistants and a messenger. She was succeeded J56 1020 7 by Clarence Goyette. Since that time the telegraph J56 1030 5 office has shifted in location from the railroad station J56 1040 2 at the Depot and shops at the Center back to the town J56 1040 14 clerk's office and drugstore at the Village. After J56 1050 8 being located for some years in the Village at the J56 1060 8 Equinox Pharmacy under the supervision of Mrs& Harry J56 1070 4 Mercier, it is presently located in the Hill and Dale J56 1080 3 Shop, Manchester Center. J56 1080 6 The first known telephone line in Manchester was J56 1090 5 established in July 1883 between Burr and Manley's J56 1100 2 store at Manchester Depot and the Kent and Root Marble J56 1110 1 Company in South Dorset. This was extended the following J56 1110 10 year to include the railroad station agent's office J56 1120 8 and Thayer's Hotel at Factory Point. In November 1887 J56 1130 7 a line connecting several dwelling houses in Dorset J56 1140 4 was extended to Manchester Depot. Telephone wires from J56 1150 3 Louis Dufresne's house in East Manchester to the Dufresne J56 1160 1 lumber job near Bourn Pond were up about 1895. Eber J56 1160 11 L& Taylor of Manchester Depot recorded the setting J56 1170 7 of phone poles in East Dorset and Barnumville in his J56 1180 6 diary for 1906. These must have been for local calls J56 1190 4 strictly, as in May 1900 the "only long distance telephone" J56 1200 2 in town was transferred from C& B& Carleton's to Young's J56 1210 2 shoe store. J56 1210 4 A small single switchboard was installed in the J56 1220 3 Village over Woodcock's hardware store (later E& H& J56 1230 1 Hemenway's). George Woodcock was manager and troubleshooter; J56 1240 1 Elizabeth Way was the first operator; and a night operator J56 1240 11 was also employed. Anyone fortunate enough to have J56 1250 7 one of those early phones advertised the fact along J56 1260 5 with the telephone number in the Manchester Journal. J56 1270 2 In 1918 the New England Telephone Company began J56 1280 2 erecting a building to house its operations on the J56 1280 11 corner of U& S& Rte& 7 and what is now Memorial Avenue J56 1290 10 at Manchester Center. Service running through Barnumville J56 1300 5 and to Bennington County towns east of the mountains J56 1310 6 was in the hands of the "Gleason Telephone Company" J56 1320 2 in 1925, but major supervision of telephone lines in J56 1330 2 Manchester was with the New England Telephone and Telegraph J56 1330 11 Company, which eventually gained all control. More J56 1340 7 aerial and underground equipment was installed as well J56 1350 6 as office improvements to take care of the expanding J56 1360 4 business. J56 1360 5 In 1931 Mrs& F& H& Briggs, agent and chief operator, J56 1370 5 who was to retire in 1946 with thirty years' service, J56 1380 2 led agency offices in sales for the year with $2,490. J56 1390 1 William Hitchcock, who retired in 1938, was a veteran J56 1390 10 of thirty-four years' local service. Another veteran J56 1400 6 telephone operator was Edith Fleming Blackmer, who J56 1410 4 had been in the office forty years at the time of her J56 1420 3 death in 1960. J56 1420 6 In 1932 Dorset received its own exchange, which J56 1430 2 made business easier for the Manchester office, but J56 1430 10 it was not until February 1953 that area service was J56 1440 9 extended to include Manchester and Dorset. This eliminated J56 1450 5 toll calls between the two towns. Within a month, calls J56 1460 5 were up seventy per cent. J56 1460 10 #@ ELECTRIC POWER# J56 1470 2 ELECTRICITY plays such an important part in community J56 1470 10 life today that it is difficult to envision a time J56 1480 10 when current was not available for daily use. Yet one J56 1490 7 has to go back only some sixty years. J56 1500 1 The first mention of an electric plant in Manchester J56 1500 10 seems to be one installed in Reuben Colvin's and Houghton's J56 1510 10 gristmill on the West Branch in Factory Point. No records J56 1520 10 are available as to the date or extent of installation, J56 1530 8 but it may have been in 1896. J56 1540 1 On June 14, 1900 the Manchester Journal reported J56 1540 9 that an electrical engineer was installing an electric J56 1550 8 light plant for Edward S& Isham at "Ormsby Hill". This J56 1560 7 was working by the end of August and giving satisfactory J56 1570 6 service. J56 1570 7 In November 1900 surveying was done under John Marsden J56 1580 7 on the east mountains to ascertain if it would be possible J56 1590 6 to get sufficient water and fall to operate an electric J56 1600 3 power plant. Nothing came of it, perhaps due to lack J56 1600 13 of opportunity for water storage. J56 1610 5 The next step was construction by the Manchester J56 1620 4 Light and Power Company of a plant on the west bank J56 1630 2 of the Battenkill south of Union Street bridge. This J56 1630 11 was nearly completed May 23, 1901 with a promise of J56 1640 9 lights by June 10, but the first light did not go on J56 1650 8 until September 28. It was at the end of the sidewalk J56 1660 4 in front of the Dellwood Cemetery cottage. J56 1670 1 The first directors of the Manchester Light and J56 1670 8 Power Company were John Marsden, M& L& Manley, William J56 1680 7 F& Orvis, George Smith, and John Blackmer. The officers J56 1690 6 were John Marsden, president; John C& Blackmer, vice-president; J56 1700 6 George Smith, treasurer; and William F& Orvis, secretary. J56 1710 6 Marsden was manager of the company for ten years and J56 1720 6 manager of its successor company, the Colonial Light J56 1730 2 and Power Company, for one year. J56 1730 8 At about the time the Marsden enterprise was getting J56 1740 6 under way, the Vail Light and Lumber Company started J56 1750 4 construction of a chair stock factory on the site of J56 1760 3 the present Bennington Co-operative Creamery, intending J56 1760 10 to use its surplus power for generating electricity. J56 1770 8 Manchester then had two competing power companies until J56 1780 6 1904, when the Manchester Light and Power Company purchased J56 1790 5 the transmission system of the Vail Company. This was J56 1800 4 fortunate, as the Vail plant burned in 1905. J56 1810 1 The Colonial Light and Power Company was succeeded J56 1810 9 by the Vermont Hydro-Electric Corporation, which in J56 1820 6 turn was absorbed by the Central Vermont Public Service J56 1830 5 Corporation. The latter now furnishes the area with J56 1840 4 electricity distributed from a modern sub-station at J56 1850 1 Manchester Depot which was put into operation February J56 1850 9 19, 1930 and was improved in January 1942 by the installation J56 1860 9 of larger transformers. J56 1870 1 For a time following the abandonment of the local J56 1870 10 plant, electric current for Manchester was brought J56 1880 7 in from the south with an emergency tie-in with the J56 1890 7 Vermont Marble Company system to the north. J57 0010 1 Some who have written on Utopia have treated it as J57 0010 11 "a learned diversion of a learned world", "a phantasy J57 0020 8 with which More amused himself", "a holiday work, a J57 0030 6 spontaneous overflow of intellectual high spirits, J57 0040 3 a revel of debate, paradox, comedy and invention". J57 0040 11 With respect to this view, two points are worth making. J57 0050 10 First, it appears to be based on the fact that on its J57 0060 10 title page Utopia is described as "festivus", "gay". J57 0070 4 It overlooks the other fact that it is described as J57 0080 5 "Nec minus salutaris quam festivus", "no less salutary J57 0090 3 than gay". It also overlooks the fact that in a rational J57 0100 1 lexicon, and quite clearly in More's lexicon, the opposite J57 0100 10 of serious is not gay but frivolous, and the opposite J57 0110 10 of gay is not serious but solemn. More believed that J57 0120 6 a man could be both serious and gay. That a writer J57 0130 4 who is gay cannot be serious is a common professional J57 0140 1 illusion, sedulously fostered by all too many academics J57 0140 9 who mistakenly believe that their frivolous efforts J57 0150 6 should be taken seriously because they are expressed J57 0160 4 with that dreary solemnity which is the only mode of J57 0170 2 expression their authors are capable of. Secondly, J57 0170 9 to find a learned diversion and a pleasing joke in J57 0180 7 More's account of the stupid brutalities of early sixteenth J57 0190 5 century wars, of the anguish of the poor and dispossessed, J57 0200 3 of the insolence and cruelty of the rich and powerful J57 0210 1 requires a callousness toward suffering and sin that J57 0210 9 would be surprising in a moral imbecile and most surprising J57 0220 8 in More himself. Indeed, it is even surprising in the J57 0230 7 Canon of Christ Church and Regius Professor of Ecclesiastical J57 0240 4 History, who fathered this most peculiar view, and J57 0250 3 in the brilliant Professor of Medieval and Renaissance J57 0260 1 English at Cambridge, who inherited it and is now its J57 0260 11 most eminent proponent. J57 0270 2 But to return to the main line of our inquiry. It J57 0280 1 is doubtful that Utopia is still widely read because J57 0280 10 More was medieval or even because he was a martyr- J57 0290 8 indeed, it is likely that these days many who read J57 0300 5 Utopia with interest do not even know that its author J57 0310 3 was a martyr. Utopia is still widely read because in J57 0320 1 a sense More stood on the margin of modernity. And J57 0320 11 if he did stand on the margins of modernity, it was J57 0330 8 not in dying a martyr for such unity as Papal supremacy J57 0340 4 might be able to force on Western Christendom. It was J57 0350 3 not even in writing Latin epigrams, sometimes bawdy J57 0350 11 ones, or in translating Lucian from Greek into Latin J57 0360 8 or in defending the study of Greek against the attack J57 0370 6 of conservative academics, or in attacking the conservative J57 0380 3 theologians who opposed Erasmus's philological study J57 0390 2 of the New Testament. Similar literary exercises were J57 0390 10 the common doings of a Christian humanist of the first J57 0400 10 two decades of the sixteenth century. Had More's writings J57 0410 6 been wholly limited to such exercises, they would be J57 0420 5 almost as dimly remembered as those of a dozen or so J57 0430 3 other authors living in his time, whose works tenuously J57 0430 12 survive in the minds of the few hundred scholars who J57 0440 10 each decade in pursuit of their very specialized occasions J57 0450 6 read those works. J57 0450 9 More stands on the margins of modernity for one J57 0460 9 reason alone- because he wrote Utopia. And the evidence J57 0470 6 that he does, indeed, stand there derives quite simply J57 0480 4 from the vigorous interest with which rather casual J57 0490 1 readers have responded to that book for the past century J57 0490 11 or so. Only one other contemporary of More's evokes J57 0500 8 so immediate and direct a response, and only one other J57 0510 7 contemporary work- Niccolo Machiavelli and The Prince. J57 0520 4 Can we discover what it is in Utopia that has evoked J57 0530 4 this response? Remember that in seeking the modern J57 0540 1 in Utopia we do not deny the existence of the medieval J57 0540 12 and the Renaissance there; we do not even need to commit J57 0550 9 ourselves to assessing on the same inconceivable scale J57 0570 2 the relative importance of the medieval, the Renaissance, J57 0580 2 and the modern. The medieval was the most important J57 0590 1 to Chambers because he sought to place Thomas More, J57 0590 10 the author of Utopia, in some intelligible relation J57 0600 6 with St& Thomas More, the martyr. To others whose concern J57 0610 7 it is to penetrate the significance of Christian Humanism, J57 0620 4 the Renaissance elements are of primary concern. But J57 0630 3 here we have a distinctly modern preoccupation; we J57 0630 11 want to know why that book has kept on selling the J57 0640 11 way it has; we want to know what is perennially new J57 0650 7 about Utopia. J57 0650 9 What is new about it? To that question the answer J57 0660 8 is simple; it can be made in two words, Utopian communism. J57 0670 6 But it is an answer which opens the door wide to an J57 0680 5 onrush of objections and denials. Surely there is nothing J57 0690 1 new about communism. We find it in Plato's republic, J57 0690 10 and in Utopia More acknowledges his debt to that book. J57 0700 10 We find it in that "common way of life **h pleasing J57 0710 9 to Christ and **h still in use among the truest societies J57 0720 6 of Christians", that is, the better monasteries which J57 0730 3 made it easier to convert the Utopians to Christianity. J57 0750 1 We find it in the later Stoic conception of man's natural J57 0750 12 condition which included the community of all possessions. J57 0760 8 This conception was taken up by the early Church Fathers J57 0770 9 and by canon lawyers and theologians in the Middle J57 0780 5 Ages; and More was far too well read not to have come J57 0790 4 across it in one or several of the forms thus given J57 0790 15 it. J57 0800 1 But although the idea of communism is very old even J57 0800 11 in More's day and did not spring full-clad from his J57 0810 10 imagination in 1515, it is not communism as such that J57 0820 7 we are concerned with. We are concerned not with the J57 0830 4 genus communism nor with other species of the genus: J57 0840 1 Platonic, Stoic, early Christian, monastic, canonist J57 0840 7 or theological communism; we are concerned with Utopian J57 0850 7 communism- that is, simply communism as it appears J57 0860 5 in the imaginary commonwealth of Utopia, as More conceived J57 0870 4 it. Perhaps one way to sharpen our sense of the modernity J57 0880 1 of Utopian communism is to contrast it with the principal J57 0880 11 earlier types of communistic theory. We will achieve J57 0890 8 a more vivid sense of what it is by realizing what J57 0900 8 it is not. J57 0900 11 In Plato's Republic communism is- to speak anachronistically- J57 0910 6 a communism of Janissaries. Its function is to separate J57 0920 6 from the base ruled mass, among whom private ownership J57 0930 4 prevails, the governing warrior elite. Moreover, it J57 0940 2 is too readily forgotten that in the Republic what J57 0941 1 gave the initial impetus to Plato's excursus into the J57 0950 9 construction of an imaginary commonwealth with its J57 0960 5 ruling-class communism of goods, wives, and children, J57 0970 3 was his quest for a canon for the proper ordering of J57 0980 1 the individual human psyche; and it is to this problem J57 0980 11 that the Republic ultimately returns. In More's Utopia J57 0990 6 communism is not a means of separating out a warrior J57 1000 8 elite from the lumpish mass. Utopian communism applies J57 1010 3 to all Utopians. And in the economy of the book it J57 1020 3 is not peripheral but central. The concern of Utopia J57 1020 12 is with the optimo reipublicae statu, the best ordering J57 1030 9 of a civil society; and it is again and again made J57 1040 8 clear that Utopian communism provides the institutional J57 1050 4 array indispensible to that best ordering. J57 1060 1 To derive Utopian communism from the Jerusalem Christian J57 1060 9 community of the apostolic age or from its medieval J57 1070 9 successors-in-spirit, the monastic communities, is J57 1080 5 with an appropriate shift of adjectives, misleading J57 1090 2 in the same way as to derive it from Plato's Republic: J57 1100 1 in the Republic we have to do with an elite of physical J57 1110 1 and intellectual athletes, in the apostolic and monastic J57 1110 9 communities with an elite of spiritual and religious J57 1120 7 athletes. The apostolic community was literally an J57 1130 4 elite: chosen by Christ himself. And the monastic communities J57 1140 2 were supposed to be made up of volunteers selected J57 1140 11 only after a novitiate which would test their religious J57 1150 9 aptitude for monastic rigors, their spiritual athleticism. J57 1160 5 Finally, the conception of the natural community J57 1170 5 of all possessions which originated with the Stoics J57 1180 4 was firmly fixed in a tradition by More's time, although J57 1190 1 it was not accepted by all the theologian-philosophers J57 1190 10 of the Middle Ages. In that tradition communism lay J57 1200 8 a safe distance back in the age of innocence before J57 1210 6 the Fall of Man. It did not serve to contrast the existing J57 1220 4 order of society with a possible alternative order, J57 1230 1 because the age of innocence was not a possible alternative J57 1230 11 once man had sinned. The actual function of J57 1240 7 patristic-civilian-canonist-scholastic J57 1250 1 communism was adequately set forth by St& Gregory almost J57 1250 10 a millenium before More wrote Utopia. J57 1260 6 "The soil is common to all men **h. When we give J57 1270 8 the necessities of life to the poor, we restore to J57 1280 4 them what is already theirs. We should think of it J57 1280 14 more as an act of justice than compassion". J57 1290 8 Because community not severalty of property is the J57 1300 6 law of nature no man can assert an absolutely unalterable J57 1310 2 right to what is his. Indeed, of all that is his every J57 1320 1 man is by nature and reason and therefore by conscience J57 1320 11 obligated to regard himself as a custodian. He is a J57 1330 10 trustee for the common good, however feeble the safeguards J57 1340 5 which the positive or municipal law of property provides J57 1350 3 against his misuse of that share of the common fund, J57 1360 1 wisely or unwisely, entrusted to his keeping. In contrast J57 1360 10 to this Stoic-patristic view, Utopia implies that the J57 1370 8 nature of man is such that to rely on individual conscience J57 1380 7 to supply the deficiencies of municipal law is to embark J57 1390 6 on the bottomless sea of human sinfulness in a sieve. J57 1400 4 The Utopians brace conscience with legal sanctions. J57 1400 11 In a properly ordered society the massive force of J57 1410 9 public law performs the function which in natural law J57 1420 6 theory ineptly is left altogether to a small voice J57 1430 4 so often still. J57 1430 7 In all the respects just indicated Utopian communism J57 1450 3 differs from previous conceptions in which community J57 1460 1 of possessions and living plays a role. Neither from J57 1460 10 one of these conceptions nor from a combination of J57 1470 7 them can it be deduced. We do not deny originality J57 1480 4 to the Agamemnon because Aeschylus found the tales J57 1490 2 of the house of Atreus among the folk lore of the Greeks. J57 1490 14 In a like sense whatever bits or shreds of previous J57 1500 10 conceptions one may find in it, Utopian communism remains, J57 1510 7 as an integral whole, original- a new thing. It is J57 1520 8 not merely a new thing; it is one of the very few new J57 1530 3 things in Utopia; most of the rest is medieval or humanist J57 1540 1 or part of an old tradition of social criticism. But J57 1540 11 to say that at a moment in history something is new J57 1550 9 is not necessarily to say that it is modern; and for J57 1560 7 this statement the best evidence comes within the five J57 1570 4 years following the publication of Utopia, when Martin J57 1580 2 Luther elaborates a new perception of the nature of J57 1580 11 the Divine's encounter with man. New, indeed, is Luther's J57 1590 8 perception, but not modern, as anyone knows who has J57 1600 8 ever tried to make intelligible to modern students J57 1610 4 what Luther was getting at. J57 1610 9 Although Utopian communism is both new in 1516 and J57 1620 8 also modern, it is not modern communism or even modern J57 1630 4 socialism, as they exist or have ever existed in theory J57 1640 2 or in practice. Consider the features of Utopian communism: J57 1650 1 generous public provision for the infirm; democratic J57 1650 8 and secret elections of all officers including priests, J57 1660 6 meals taken publicly in common refectories; a common J57 1670 4 habit or uniform prescribed for all citizens; even J57 1680 2 houses changed once a decade; six hours of manual labor J57 1690 1 a day for all but a handful of magistrates and scholars, J57 1690 12 and careful measures to prevent anyone from shirking; J57 1700 6 no private property, no money; no sort of pricing at J57 1710 6 all for any goods or services, and therefore no market J57 1720 3 in the economic sense of the term. Whatever the merits J57 1720 13 of its intent, Utopian communism is far too naive, J57 1730 9 far too crude, to suit any modern socialist or communist. J57 1740 6 It is not the details of Utopian communism that make J57 1750 4 Utopia modern, it is the spirit, the attitude of mind J57 1760 3 that informs those details. What that spirit and attitude J57 1770 1 were we can best understand if we see more precisely J57 1770 11 how it contrasts with the communist tradition with J57 1780 6 the longest continuous history, the one which reached J57 1790 4 Christianity by the way of Stoicism through the Church J57 1800 2 Fathers of Late Antiquity. J58 0010 1 During the Dorr trial the Democratic press condemned J58 0010 9 the proceedings and heralded Dorr as a martyr to the J58 0020 9 principles of the Declaration of Independence. During J58 0030 4 the Brown trial, however, the state's most powerful J58 0040 3 Democratic newspaper, the Providence Daily Post, stated J58 0050 2 that Brown was a murderer, a man of blood, and that J58 0050 13 he and his associates, with the assistance of Republicans J58 0060 8 and Abolitionists, had plotted not only the liberation J58 0070 7 of the slaves but also the overthrow of state and federal J58 0080 5 governments. The Providence Daily Journal answered J58 0090 2 the Daily Post by stating that the raid of John Brown J58 0100 2 was characteristic of Democratic acts of violence and J58 0100 10 that "He was acting in direct opposition to the Republican J58 0110 9 Party, who proclaim as one of their cardinal principles J58 0120 7 that they do not interfere with slavery in the states". J58 0130 6 The two major newspapers in Providence continued, throughout J58 0140 3 the crisis, to accuse each other of misrepresenting J58 0150 1 the facts and attempting to falsify history. J58 0150 8 While the Daily Post continued to accuse Republicans J58 0160 7 and the Daily Journal continued to accuse Democrats, J58 0170 5 the Woonsocket Patriot complained that the Virginia J58 0180 4 authorities showed indecent and cowardly haste to condemn J58 0190 4 Brown and his men. Editor Foss stated, "Of their guilt J58 0200 2 **h there can be no doubt **h but they are entitled J58 0200 13 to sufficient time to prepare for trial, and **h a J58 0210 9 fair trial". The Providence Daily Post thought that J58 0220 5 there were probably good reasons for the haste in which J58 0230 5 the trial was being conducted and that the only thing J58 0240 1 gained by a delay would be calmer feelings. The Providence J58 0240 11 Daily Journal stated that although the guilt of Brown J58 0250 9 was evident, the South must guarantee him a fair trial J58 0260 8 to preserve domestic peace. J58 0270 1 On October 31, 1859, John Brown was found guilty J58 0270 10 of treason against the state of Virginia, inciting J58 0280 7 slave rebellion, and murder. For these crimes he was J58 0290 6 sentenced to be hanged in public on Friday, December J58 0300 2 2, 1859. Upon receiving the news, Northern writers, J58 0300 10 editors, and clergymen heaped accusations of murder J58 0310 7 on the Southern states, particularly Virginia. J58 0320 3 Although Rhode Islanders were preparing for the J58 0330 3 state elections, they watched John Brown's trial with J58 0340 1 extreme interest. On Wednesday morning, November 2, J58 0340 8 1859, the Providence Daily Journal stated that although J58 0350 6 Brown justly deserved the extreme penalty, no man, J58 0360 6 however criminal, ought to suffer the penalty without J58 0370 2 a fairer trial. The editor's main criticism of the J58 0370 11 trial was the haste with which it was conducted. The J58 0380 10 readers of the Providence Daily Post, however, learned J58 0390 5 that it was generally conceded that "Old Brown" had J58 0400 5 a fair trial. Concerning the sentence the editor asked, J58 0410 4 "What else can Virginia do than to hang the men who J58 0411 2 have defied her laws, organized treason, and butchered J58 0420 8 her citizens". J58 0430 1 In the eastern section of the state the newspapers' J58 0430 10 reaction to Brown's trial and sentence were basically J58 0440 8 identical. J& Wheaton Smith, editor of the Warren Telegraph J58 0450 8 stated that "the ends of justice must be satisfied, J58 0460 7 a solitary example must be set, in order that all those J58 0470 6 misnamed philantropists [sic], who, actuated by a blind J58 0480 4 zeal, dare to instigate riot, treason, and murder, J58 0480 12 may heed it and shape their future course accordingly". J58 0490 9 The editor of the Newport Advertiser could discover J58 0500 6 no evidence of extenuating circumstances in the Brown J58 0510 5 trial which would warrant making an exception to the J58 0520 3 infliction of capital punishment. J58 0520 7 In direct contrast to the other Rhode Island editors, J58 0530 7 Samuel S& Foss of the Woonsocket Patriot outwardly J58 0540 3 condemned the trial as being completely unfair. Concerning J58 0550 3 the sentence, Foss wrote, "If it be possible **h that J58 0560 3 mercy shall override vengeance **h and that John Brown's J58 0570 1 sentence shall be commuted to imprisonment, it would J58 0570 9 be well- well for the country **h and for Virginia". J58 0580 8 Despite the excitement being caused by the trial J58 0590 6 and sentence of John Brown, Rhode Islanders turned J58 0600 2 their attention to the state elections. The state had J58 0610 1 elected Republican candidates in the past two years. J58 0610 9 There was no doubt as to the control the Republican J58 0620 7 party exercised throughout the state. If it failed J58 0630 5 on occasion to elect its candidates for general state J58 0640 1 offices by majorities, the failure was due to a lingering J58 0640 11 remnant of the Know-Nothing party, which called itself J58 0650 9 the American Republican party. The American Republicans J58 0660 5 and the Republicans both nominated Lieutenant-Governor J58 0670 3 Turner for governor. Elisha R& Potter was the Democratic J58 0680 4 candidate. The results of the election of 1859 found J58 0690 2 Republican candidates not only winning the offices J58 0690 9 of governor and lieutenant-governor but also obtaining J58 0700 7 the two Congressional offices from the eastern and J58 0710 5 western sections of the state. J58 0710 10 During the month of November hardly a day passed J58 0720 9 when there was not some mention of John Brown in the J58 0730 6 Rhode Island newspapers. On November 7, 1859, the Providence J58 0740 5 Daily Journal reprinted a letter sent to John Brown J58 0750 4 from "E& B&", a Quaker lady in Newport. In reference J58 0760 2 to Brown's raid she wrote, "though we are non-resistants J58 0770 1 and religiously believe it better to reform by moral J58 0770 10 and not by carnal weapons **h we know thee was anemated J58 0780 8 [sic] by the most generous and philanthropic motives". J58 0790 4 "E& B&" compared John Brown to Moses in that they were J58 0800 7 both acting to deliver millions from oppression. In J58 0810 3 contrast to "E& B&", most Rhode Islanders hardly thought J58 0820 3 of John Brown as being another Moses. Most attempts J58 0830 1 to develop any sympathy for Brown and his actions found J58 0830 11 an unresponsive audience in Rhode Island. J58 0840 5 On Wednesday evening, November 23, 1859, in Warren, J58 0850 5 Rev& Mark Trafton of New Bedford, gave a "Mission of J58 0860 4 Sympathy" lecture in which he favorably viewed the J58 0870 1 Harper's Ferry insurrection. The Warren Telegraph stated J58 0880 1 that many of Rev& Trafton's remarks were inappropriate J58 0880 9 and savored strongly of radicalism and fanaticism. J58 0890 6 In its account of the Trafton lecture, the Providence J58 0900 4 Daily Post said that the remarks of Rev& Trafton made J58 0920 4 the people indignant. J58 0920 7 No sympathy or admiration for Brown could be found J58 0930 6 in the Providence Daily Post, for the editor claimed J58 0940 5 that there were a score of men in the state prison J58 0950 1 who were a thousand times more deserving of sympathy. J58 0950 10 The Providence Daily Journal, however, stated that J58 0960 6 Brown's courage, bravery, and heroism "in a good cause J58 0980 7 would make a man a martyr; it gives something of dignity J58 0990 4 even to a bad one". The Woonsocket Patriot admitted J58 1000 2 that John Brown might deserve punishment or imprisonment J58 1010 1 "but he should no more be hung than Henry A& Wise or J58 1010 13 James Buchanan". The Newport Mercury exhibited more J58 1020 7 concern over the possibility of the abolitionists making J58 1030 7 a martyr of Brown than it did over the development J58 1040 5 of sympathy for him. J58 1040 9 In her letter to John Brown, "E& B&", the Quakeress J58 1050 8 from Newport, had suggested that the American people J58 1060 6 owed more honor to John Brown for seeking to free the J58 1070 5 slaves than they did to George Washington. During the J58 1080 2 latter days of November to the day of Brown's execution, J58 1090 1 it seems that most Rhode Islanders did not concur in J58 1090 11 "E& B&'s" suggestion. On November 22, 1859, the Providence J58 1100 8 Daily Journal stated that although Brown's "pluck" J58 1120 6 and honest fanaticism must be admired, any honor paid J58 1130 7 to Brown would only induce other fanatics to imitate J58 1140 3 his actions. A week later the Daily Journal had discovered J58 1160 2 the initial plans of some Providence citizens to hold J58 1160 11 a meeting honoring John Brown on the day of his execution. J58 1170 11 The editor of the Daily Journal warned, "**h that if J58 1180 9 such a demonstration be made, it will not find support J58 1190 8 or countenance from any of the men whose names are J58 1200 4 recognized as having a right to speak for Providence". J58 1210 1 The Providence Daily Post's editor wrote that he could J58 1220 1 not believe that a meeting honoring Brown was to be J58 1230 10 held in Providence. He further called upon the people J58 1240 7 of Providence to rebuke the meeting and avoid disgrace. J58 1250 4 On December 2, 1859, John Brown was hanged at Charles J58 1260 4 Town, Virginia. Extraordinary precautions were taken J58 1270 2 so that no stranger be allowed in the city and no citizen J58 1270 14 within the enclosure surrounding the scaffold. In many J58 1280 8 Northern towns and cities meetings were held and church J58 1290 7 bells were tolled. Such was not the case in Rhode Island. J58 1300 6 The only public demonstration in honor of John Brown J58 1310 4 was held at Pratt's Hall in Providence, on the day J58 1320 2 of his execution. J58 1320 5 Despite the opposition of the city newspapers, the J58 1330 2 Pratt Hall meeting "brought together a very respectable J58 1340 1 audience, composed in part of those who had been distinguished J58 1340 11 for years for their radical views upon the subject J58 1350 8 of slavery, of many of our colored citizens, and of J58 1360 5 those who were attracted to the place by the novelty J58 1370 2 of such a gathering". Seated on the platform were Amos J58 1370 12 C& Barstow, ex-mayor of Providence and a wealthy Republican J58 1380 10 stove manufacturer; Thomas Davis, an uncompromising J58 1390 6 Garrisonian; the Reverend Augustus Woodbury, a Unitarian J58 1400 6 minister; the Reverend George T& Day, a Free-Will Baptist; J58 1410 8 Daniel w& Vaughan, and William H& H& Clements. The J58 1420 7 latter two were appointed secretaries. The first speaker J58 1430 4 was Amos C& Barstow who had been unanimously chosen J58 1440 2 president of the meeting. He spoke of his desire to J58 1440 12 promote the abolition of slavery by peaceable means J58 1450 8 and he compared John Brown of Harper's Ferry to the J58 1460 7 John Brown of Rhode Island's colonial period. Barstow J58 1470 4 concluded that as Rhode Island's John Brown became J58 1480 3 a canonized hero, if not a saint, so would it be with J58 1490 1 John Brown of Harper's Ferry. J58 1490 6 The next speaker was George T& Day. Although admitting J58 1500 5 Brown's guilt on legal grounds, Day said that, "Brown J58 1510 5 is no common criminal; his deed was not below, but J58 1520 3 above the law". Following Day was Woodbury who spoke J58 1530 7 of his disapproval of Brown's attempt at servile insurrection, J58 1540 8 his admiration of Brown's character, and his opposition J58 1550 7 to slavery. Woodbury's remarks were applauded by a J58 1560 6 portion of the audience several times and once there J58 1570 4 was hissing. J58 1570 6 The fourth and last speaker was Thomas Davis. By J58 1580 3 this time large numbers of the audience had left the J58 1590 1 hall. Davis commenced his remarks by an allusion to J58 1590 10 the general feeling of opposition which the meeting J58 1600 6 had encountered from many of the citizens and all the J58 1610 5 newspapers of the city. He said that the propriety J58 1620 1 or impropriety of such a gathering was a question that J58 1620 11 was to be settled by every man in accordance with the J58 1630 8 convictions of private judgments. In the remainder J58 1640 4 of his speech Davis spoke of his admiration for Brown J58 1650 2 and warned those who took part in the meeting that J58 1650 12 they "are liable to the charge that they are supporting J58 1660 9 traitors and upholding men whom the laws have condemned". J58 1670 7 He recalled that in Rhode Island a party opposed to J58 1680 5 the state's condemnation of a man (Thomas W& Dorr) J58 1690 2 proclaimed the state's action as a violation of the J58 1690 11 law of the land and the principles of human liberty. J58 1700 10 At the close of Davis' speech the following preamble J58 1710 5 and resolutions were read by the president, and on J58 1720 3 the question of their adoption passed unanimously: J58 1730 1 Whereas, John Brown has cheerfully risked his life J58 1730 9 in endeavoring to deliver those who are denied all J58 1750 8 rights **h and is this day doomed to suffer death for J58 1760 5 his efforts in behalf of those who have no helper: J58 1770 1 Therefore, J58 1770 2 Resolved that, while we most decidedly disapprove J58 1780 1 the methods he adopted to accomplish his objects, yet J58 1780 10 **h in his willingness to die in aid of the great cause J58 1790 10 of human freedom, we still recognize the qualities J58 1800 4 of a noble nature and the exercise of a spirit which J58 1810 2 true men have always admired and which history never J58 1810 11 fails to honor. J58 1820 3 Resolved that his wrongs and bereavements in Kansas, J58 1830 1 occasioned by the violence and brutality of those who J58 1830 10 were intent on the propagation of slavery in that territory, J58 1840 8 call for a charitable judgment upon his recent efforts J58 1850 6 in Virginia to undermine the despotism from which he J58 1860 4 had suffered, and commend his family to the special J58 1870 1 sympathy and aid of all who pity suffering and reverence J58 1870 11 justice. J58 1880 1 Resolved **h that the anti-slavery sentiment is J58 1880 9 becoming ripe for resolute action. J58 1890 3 Resolved, that we find in this fearful tragedy at J58 1900 2 Harper's Ferry a reason for more earnest effort to J58 1900 11 remove the evil of slavery from the whole land as speedily J58 1910 10 as possible **h. J58 1920 1 On the morning following the Pratt Hall meeting J58 1920 9 the editor of the Providence Daily Journal wrote that J58 1930 6 although the meeting was milder and less extreme than J58 1940 6 those held in other areas for similar purposes, it J58 1950 2 could have been avoided completely. J59 0010 1 Rather than being deceived, the eye is puzzled; instead J59 0010 10 of seeing objects in space, it sees nothing more than- J59 0020 8 a picture. J59 0020 10 Through 1911 and 1912, as the Cubist facet-plane's J59 0030 9 tendency to adhere to the literal surface became harder J59 0040 6 and harder to deny, the task of keeping the surface J59 0050 3 at arm's length fell all the more to eye-undeceiving J59 0060 1 contrivances. To reinforce, and sometimes to replace, J59 0060 8 the simulated typography, Braque and Picasso began J59 0070 6 to mix sand and other foreign substances with their J59 0080 4 paint; the granular texture thus created likewise called J59 0090 2 attention to the reality of the surface and was effective J59 0100 1 over much larger areas. In certain other pictures, J59 0100 9 however, Braque began to paint areas in exact simulation J59 0110 7 of wood graining or marbleizing. These areas by virtue J59 0120 5 of their abrupt density of pattern, stated the literal J59 0130 2 surface with such new and superior force that the resulting J59 0140 1 contrast drove the simulated printing into a depth J59 0140 9 from which it could be rescued- and set to shuttling J59 0150 7 again- only by conventional perspective; that is, by J59 0160 4 being placed in such relation to the forms depicted J59 0170 1 within the illusion that these forms left no room for J59 0170 11 the typography except near the surface. J59 0180 5 The accumulation of such devices, however, soon J59 0190 3 had the effect of telescoping, even while separating, J59 0200 1 surface and depth. The process of flattening seemed J59 0200 9 inexorable, and it became necessary to emphasize the J59 0210 6 surface still further in order to prevent it from fusing J59 0220 5 with the illusion. It was for this reason, and no other J59 0230 3 that I can see, that in September 1912, Braque took J59 0230 13 the radical and revolutionary step of pasting actual J59 0240 7 pieces of imitation-woodgrain wallpaper to a drawing J59 0250 5 on paper, instead of trying to simulate its texture J59 0260 3 in paint. Picasso says that he himself had already J59 0260 12 made his first collage toward the end of 1911, when J59 0270 10 he glued a piece of imitation-caning oilcloth to a J59 0280 4 painting on canvas. It is true that his first collage J59 0290 2 looks more Analytical than Braque's, which would confirm J59 0300 1 the date he assigns it. But it is also true that Braque J59 0300 13 was the consistent pioneer in the use of simulated J59 0310 8 textures as well as of typography; and moreover, he J59 0320 4 had already begun to broaden and simplify the facet-planes J59 0330 3 of Analytical Cubism as far back as the end of 1910. J59 0340 1 ## J59 0340 2 When we examine what each master says was his first J59 0340 12 collage we see that much the same thing happens in J59 0350 9 each. (It makes no real difference that Braque's collage J59 0360 4 is on paper and eked out in charcoal, while Picasso's J59 0370 3 is on canvas and eked out in oil.) By its greater corporeal J59 0380 2 presence and its greater extraneousness, the affixed J59 0380 9 paper or cloth serves for a seeming moment to push J59 0390 10 everything else into a more vivid idea of depth than J59 0400 6 the simulated printing or simulated textures had ever J59 0410 3 done. But here again, the surface-declaring device J59 0410 11 both overshoots and falls short of its aim. For the J59 0420 10 illusion of depth created by the contrast between the J59 0430 6 affixed material and everything else gives way immediately J59 0440 4 to an illusion of forms in bas-relief, which gives J59 0450 1 way in turn, and with equal immediacy, to an illusion J59 0450 11 that seems to contain both- or neither. J59 0460 6 Because of the size of the areas it covers, the J59 0470 4 pasted paper establishes undepicted flatness bodily, J59 0480 1 as more than an indication or sign. Literal flatness J59 0480 10 now tends to assert itself as the main event of the J59 0490 9 picture, and the device boomerangs: the illusion of J59 0500 4 depth is rendered even more precarious than before. J59 0510 1 Instead of isolating the literal flatness by specifying J59 0510 9 and circumscribing it, the pasted paper or cloth releases J59 0520 8 and spreads it, and the artist seems to have nothing J59 0530 7 left but this undepicted flatness with which to finish J59 0540 4 as well as start his picture. The actual surface becomes J59 0550 2 both ground and background, and it turns out- suddenly J59 0550 11 and paradoxically- that the only place left for a J59 0560 10 three-dimensional J59 0560 12 illusion is in front of, upon, the surface. In their J59 0570 10 very first collages, Braque and Picasso draw or paint J59 0580 7 over and on the affixed paper or cloth, so that certain J59 0590 7 of the principal features of their subjects as depicted J59 0600 4 seem to thrust out into real, bas-relief space- or J59 0610 4 to be about to do so- while the rest of the subject J59 0610 16 remains imbedded in, or flat upon, the surface. And J59 0620 9 the surface is driven back, in its very surfaceness, J59 0630 5 only by this contrast. J59 0630 9 In the upper center of Braque's first collage, Fruit J59 0640 7 Dish (in Douglas Cooper's collection), a bunch of grapes J59 0650 7 is rendered with such conventionally vivid sculptural J59 0660 3 effect as to lift it practically off the picture plane. J59 0670 2 The trompe-l'oeil illusion here is no longer enclosed J59 0680 1 between parallel flatnesses, but seems to thrust through J59 0680 9 the surface of the drawing paper and establish depth J59 0690 8 on top of it. Yet the violent immediacy of the wallpaper J59 0700 6 strips pasted to the paper, and the only lesser immediacy J59 0710 4 of block capitals that simulate window lettering, manage J59 0720 2 somehow to push the grape cluster back into place on J59 0720 12 the picture plane so that it does not "jump". At the J59 0730 10 same time, the wallpaper strips themselves seem to J59 0740 5 be pushed into depth by the lines and patches of shading J59 0750 4 charcoaled upon them, and by their placing in relation J59 0760 1 to the block capitals; and these capitals seem in turn J59 0760 11 to be pushed back by their placing, and by contrast J59 0770 8 with the corporeality of the woodgraining. Thus every J59 0780 6 part and plane of the picture keeps changing place J59 0790 3 in relative depth with every other part and plane; J59 0790 12 and it is as if the only stable relation left among J59 0800 11 the different parts of the picture is the ambivalent J59 0810 7 and ambiguous one that each has with the surface. And J59 0820 4 the same thing, more or less, can be said of the contents J59 0830 1 of Picasso's first collage. J59 0830 5 In later collages of both masters, a variety of J59 0840 5 extraneous materials are used, sometimes in the same J59 0850 2 work, and almost always in conjunction with every other J59 0850 11 eye-deceiving and eye-undeceiving device they can think J59 0860 8 of. The area adjacent to one edge of a piece of affixed J59 0870 9 material- or simply of a painted-in form- will be shaded J59 0880 4 to pry that edge away from the surface, while something J59 0890 2 will be drawn, painted or even pasted over another J59 0890 11 part of the same shape to drive it back into depth. J59 0900 10 Planes defined as parallel to the surface also cut J59 0910 6 through it into real space, and a depth is suggested J59 0920 2 optically which is greater than that established pictorially. J59 0930 1 All this expands the oscillation between surface and J59 0930 9 depth so as to encompass fictive space in front of J59 0940 7 the surface as well as behind it. Flatness may now J59 0950 4 monopolize everything, but it is a flatness become J59 0960 1 so ambiguous and expanded as to turn into illusion J59 0960 10 itself- at least an optical if not, properly speaking, J59 0970 7 a pictorial illusion. Depicted, Cubist flatness is J59 0980 4 now almost completely assimilated to the literal, undepicted J59 0990 2 kind, but at the same time it reacts upon and largely J59 0990 13 transforms the undepicted kind- and it does so, moreover, J59 1000 9 without depriving the latter of its literalness; rather, J59 1010 7 it underpins and reinforces that literalness, re-creates J59 1020 5 it. J59 1020 6 ## J59 1020 7 Out of this re-created literalness, the Cubist subject J59 1030 4 reemerged. For it had turned out, by a further paradox J59 1040 3 of Cubism, that the means to an illusion of depth and J59 1050 1 plasticity had now become widely divergent from the J59 1050 9 means of representation or imaging. In the Analytical J59 1060 6 phase of their Cubism, Braque and Picasso had not only J59 1070 6 had to minimize three-dimensionality simply in order J59 1080 3 to preserve it; they had also had to generalize it- J59 1090 1 to the point, finally, where the illusion of depth J59 1090 10 and relief became abstracted from specific three-dimensional J59 1100 5 entities and was rendered largely as the illusion of J59 1110 5 depth and relief as such: as a disembodied attribute J59 1120 2 and expropriated property detached from everything J59 1120 8 not itself. In order to be saved, plasticity had had J59 1130 9 to be isolated; and as the aspect of the subject was J59 1150 2 transposed into those clusters of more or less interchangeable J59 1160 1 and contour-obliterating facet-planes by which plasticity J59 1170 1 was isolated under the Cubist method, the subject itself J59 1170 10 became largely unrecognizable. Cubism, in its 1911-1912 J59 1180 7 phase (which the French, with justice, call "hermetic") J59 1190 5 was on the verge of abstract art. J59 1200 1 It was then that Picasso and Braque were confronted J59 1200 10 with a unique dilemma: they had to choose between illusion J59 1210 10 and representation. If they opted for illusion, it J59 1220 7 could only be illusion per se- an illusion of depth, J59 1230 7 and of relief, so general and abstracted as to exclude J59 1240 3 the representation of individual objects. If, on the J59 1240 11 other hand, they opted for representation, it had to J59 1250 9 be representation per se- representation as image pure J59 1260 5 and simple, without connotations (at least, without J59 1270 3 more than schematic ones) of the three-dimensional J59 1270 11 space in which the objects represented originally existed. J59 1280 8 It was the collage that made the terms of this dilemma J59 1290 9 clear: the representational could be restored and preserved J59 1300 6 only on the flat and literal surface now that illusion J59 1310 4 and representation had become, for the first time, J59 1320 1 mutually exclusive alternatives. J59 1320 4 In the end, Picasso and Braque plumped for the J59 1330 4 representational, J59 1330 5 and it would seem they did so deliberately. (This provides J59 1340 4 whatever real justification there is for the talk about J59 1350 4 "reality".) But the inner, formal logic of Cubism, J59 1360 1 as it worked itself out through the collage, had just J59 1360 11 as much to do with shaping their decision. When the J59 1370 7 smaller facet-planes of Analytical Cubism were placed J59 1380 4 upon or juxtaposed with the large, dense shapes formed J59 1390 2 by the affixed materials of the collage, they had to J59 1390 12 coalesce- become "synthesized"- into larger planar J59 1400 8 shapes themselves simply in order to maintain the integrity J59 1410 8 of the picture plane. Left in their previous atom-like J59 1420 6 smallness, they would have cut away too abruptly into J59 1430 2 depth; and the broad, opaque shapes of pasted paper J59 1430 11 would have been isolated in such a way as to make them J59 1440 12 jump out of plane. Large planes juxtaposed with other J59 1450 6 large planes tend to assert themselves as independent J59 1460 3 shapes, and to the extent that they are flat, they J59 1470 2 also assert themselves as silhouettes; and independent J59 1470 9 silhouettes are apt to coincide with the recognizable J59 1480 8 contours of the subject from which a picture starts J59 1490 6 (if it does start from a subject). It was because of J59 1500 3 this chain-reaction as much as for any other reason- J59 1500 13 that is, because of the growing independence of the J59 1510 9 planar unit in collage as a shape- that the identity J59 1520 7 of depicted objects, or at least parts of them, re-emerged J59 1530 6 in Braque's and Picasso's papiers colles and continued J59 1540 3 to remain more conspicuous there- but only as flattened J59 1550 2 silhouettes- than in any of their paintings done wholly J59 1550 11 in oil before the end of 1913. J59 1560 7 Analytical Cubism came to an end in the collage, J59 1570 4 but not conclusively; nor did Synthetic Cubism fully J59 1580 1 begin there. Only when the collage had been exhaustively J59 1580 10 translated into oil, and transformed by this translation, J59 1590 8 did Cubism become an affair of positive color and flat, J59 1600 8 interlocking silhouettes whose legibility and placement J59 1610 3 created allusions to, if not the illusion of, unmistakable J59 1620 2 three-dimensional identities. J59 1620 5 Synthetic Cubism began with Picasso alone, late J59 1630 5 in 1913 or early in 1914; this was the point at which J59 1640 4 he finally took the lead in Cubist innovation away J59 1640 13 from Braque, never again to relinquish it. But even J59 1650 9 before that, Picasso had glimpsed and entered, for J59 1660 6 a moment, a certain revolutionary path in which no J59 1670 4 one had preceded him. It was as though, in that instant, J59 1680 1 he had felt the flatness of collage as too constricting J59 1680 11 and had suddenly tried to escape all the way back- J59 1690 8 or forward- to literal three-dimensionality. This he J59 1700 3 did by using utterly literal means to carry the forward J59 1710 3 push of the collage (and of Cubism in general) literally J59 1720 1 into the literal space in front of the picture plane. J59 1720 11 Some time in 1912, Picasso cut out and folded a J59 1730 10 piece of paper in the shape of a guitar; to this he J59 1740 8 glued and fitted other pieces of paper and four taut J59 1750 4 strings, thus creating a sequence of flat surfaces J59 1750 12 in real and sculptural space to which there clung only J59 1760 9 the vestige of a picture plane. The affixed elements J59 1770 5 of collage were extruded, as it were, and cut off from J59 1780 5 the literal pictorial surface to form a bas-relief. J60 0010 1 (Los Angeles in 1957 finally bowed to the skyscraper.) J60 0010 10 And without high density in the core, rapid-transit J60 0020 8 systems cannot be maintained economically, let alone J60 0030 4 built from scratch at today's prices. J60 0040 1 However, the building of freeways and garages cannot J60 0040 8 continue forever. The new interchange among the four J60 0050 7 Los Angeles freeways, including the grade-constructed J60 0060 4 accesses, occupies by itself no less than eighty acres J60 0070 2 of downtown land, one-eighth of a square mile, an area J60 0080 1 about the size of Rockefeller Center in New York. It J60 0080 11 is hard to believe that this mass of intertwined concrete J60 0090 7 constitutes what the law calls "the highest and best J60 0100 6 use" of centrally located urban land. As it affects J60 0110 4 the city's fiscal situation, such an interchange is J60 0120 1 ruinous; it removes forever from the tax rolls property J60 0120 10 which should be taxed to pay for the city services. J60 0130 9 Subways improved land values without taking away land; J60 0140 5 freeways boost valuation less (because the garages J60 0150 2 they require are not prime buildings by a long shot), J60 0150 12 and reduce the acreage that can be taxed. Downtown J60 0160 8 Los Angeles is already two-thirds freeway, interchange, J60 0170 5 street, parking lot and garage- one of those preposterous J60 0180 4 "if" statistics has already come to pass. J60 0190 1 The freeway with narrowly spaced interchanges concentrates J60 0190 8 and mitigates the access problem, but it also acts J60 0200 9 inevitably as an artificial, isolating boundary. City J60 0210 4 planners do not always use this boundary as effectively J60 0220 3 as they might. Less ambitious freeway plans may be J60 0230 1 more successful- especially when the roadways and interchanges J60 0230 9 are raised, allowing for cross access at many points J60 0240 9 and providing parking areas below the ramp. J60 0250 5 ## J60 0250 6 Meanwhile, the automobile and its friend the truck J60 0260 3 have cost the central city some of its industrial dominance. J60 0270 1 In ever greater numbers, factories are locating in J60 0270 9 the suburbs or in "industrial parks" removed from the J60 0280 7 city's political jurisdiction. The appeal of the suburb J60 0290 6 is particularly strong for heavy industry, which must J60 0300 3 move bulky objects along a lengthy assembly line and J60 0300 12 wants enough land area to do the entire job on one J60 0310 11 floor. To light industry, the economies of being on J60 0320 6 one floor are much slighter, but efficiency engineers J60 0330 2 usually believe in them, and manufacturers looking J60 0330 9 for ways to cut costs cannot be prevented from turning J60 0340 10 to efficiency engineers. J60 0350 1 This movement of industry away from the central J60 0350 9 cities is not so catastrophically new as some prophets J60 0360 9 seem to believe. It is merely the latest example of J60 0370 7 the leapfrog growth which formed the pattern of virtually J60 0380 3 all American cities. The big factories which are relatively J60 0390 2 near the centers of our cities- the rubber factories J60 0390 11 in Akron, Chrysler's Detroit plants, U&S&Steel's Pittsburgh J60 0410 1 works- often began on these sites at a time when that J60 0410 11 was the edge of the city, yet close to transport (river), J60 0420 10 storage (piers) and power (river). The "leapfrog" was J60 0430 6 a phenomenon of the railroad and the steam turbine, J60 0440 4 and the time when the belts of residence surrounding J60 0450 1 the old factory area were not yet blighted. J60 0450 9 The truck and the car gave the manufacturer a new J60 0460 8 degree of freedom in selecting his plant site. Until J60 0470 4 internal combustion became cheap, he had to be near J60 0480 1 a railroad siding and a trolley line or an existing J60 0480 11 large community of lower-class homes. The railroad J60 0490 7 siding is still important- it is usually, though not J60 0500 5 always, true that long-haul shipment by rail is cheaper J60 0510 2 than trucking. But anybody who promises a substantial J60 0510 10 volume of business can get a railroad to run a short J60 0520 11 spur to his plant these days, and many businesses can J60 0530 6 live without the railroad. And there are now many millions J60 0540 5 of workers for whom the factory with the big parking J60 0550 1 lot, which can be reached by driving across or against J60 0550 11 the usual pattern of rush hour traffic and grille-route J60 0560 9 bus lines, is actually more convenient than the walk-to J60 0570 7 factory. J60 0570 8 Willow Run, General Electric's enormous installations J60 0580 4 at Louisville and Syracuse, the Pentagon, Boeing in J60 0590 4 Seattle, Douglas and Lockheed in Los Angeles, the new J60 0600 3 automobile assembly plants everywhere- none of these J60 0600 10 is substantially served by any sort of conventional J60 0610 8 mass rapid transit. They are all suburban plants, relying J60 0620 7 on the roads to keep them supplied with workers. And J60 0630 4 wherever the new thruways go up their banks are lined J60 0640 2 by neat glass and metal and colored brick light industry. J60 0640 12 The drive along Massachusetts' Route 128, the by-pass J60 0650 9 which makes an arc about twenty miles from downtown J60 0660 7 Boston, may be a vision of the future. J60 0670 1 The future could be worse. The plants along Route J60 0670 10 128 are mostly well designed and nicely set against J60 0680 9 the New England rocks and trees. They can even be rather J60 0690 8 grand, like Edward Land's monument to the astonishing J60 0700 4 success of Polaroid. But they deny the values of the J60 0710 3 city- the crowded, competitive, tolerant city, the J60 0710 10 "melting pot" which gave off so many of the most admirable J60 0720 11 American qualities. They are segregated businesses, J60 0730 5 combining again on one site the factory and the office, J60 0740 6 drawing their work force from segregated communities. J60 0750 2 It is interesting to note how many of the plants on J60 0750 13 Massachusetts' Route 128 draw most of their income J60 0760 8 either from the government in non-competitive cost-plus J60 0770 6 arrangements, or from the exploitation of patents which J60 0780 4 grant at least a partial monopoly. J60 0780 10 ## J60 0780 11 While the factories were always the center of the labor J60 0790 10 market, they were often on the city's periphery. In J60 0800 7 spreading the factories even farther, the automobile J60 0810 3 may not have changed to any great extent the growth J60 0820 1 pattern of the cities. Even the loss of hotel business J60 0820 11 to the outskirt's motel has been relatively painless; J60 0830 6 the hotel-motel demarcation is becoming harder to find J60 0840 6 every year. What hurts most is the damage the automobile J60 0850 3 has done to central-city retailing, especially in those J60 0860 2 cities where public transit is feeble. J60 0860 8 Some retailing, of course, always spreads with the J60 0870 7 population- grocery stores, drugstores, local haberdasheries J60 0880 3 and dress shops, candy stores and the like. But whenever J60 0890 3 a major purchase was contemplated forty years ago- J60 0890 11 a new bedroom set or a winter coat, an Easter bonnet, J60 0900 11 a bicycle for Junior- the family set off for the downtown J60 0910 10 department store, where the selection would be greatest. J60 0920 5 Department stores congregated in the "one hundred per J60 0930 4 cent location", where all the transit lines converged. J60 0940 1 These stores are still there, but the volume of the J60 0940 11 "downtown store" has been on a relative decline, while J60 0950 9 in many cities the suburban "branch" sells more and J60 0960 5 more dry goods. If the retailer and hotelman's downtown J60 0970 3 unit sales have been decreasing, however, his dollar J60 0980 1 volume continues to rise, and it is dollars which you J60 0980 11 put in the bank. J60 0990 2 In most discussions of this phenomenon, the figures J60 0990 10 are substantially inflated. No suburban shopping-center J60 1000 7 branch- not even Hudson's vast Northland outside Detroit- J60 1010 6 does anything like the unit volume of business or carries J60 1020 8 anything like the variety of merchandise to be found J60 1030 4 in the home store. Telephone orders distort the picture: J60 1040 2 the suburbanite naturally calls a local rather than J60 1040 10 a central-city number if both are listed in an advertisement, J60 1050 9 especially if the local call eliminates city sales J60 1060 7 tax. The suburban branch is thereby credited with a J60 1070 4 sale which would have been made even if its glass doors J60 1080 2 had never opened. Accounting procedures which continue J60 1080 9 to charge a disproportionate overhead and warehouse J60 1090 6 expense to the main store make the branches seem more J60 1100 6 profitable than they are. In many cases that statement J60 1110 3 "We break even on our downtown operation and make money J60 1120 1 on our branches" would be turned around if the cost J60 1120 11 analysis were recalculated on terms less prejudicial J60 1130 6 to the old store. Fear of the competition- always a J60 1140 3 great motivating force in the American economy- makes J60 1150 4 retailers who do not have suburban operations exaggerate J60 1160 1 both the volume and the profitability of their rival's J60 1160 10 shiny new branches. The fact seems to be that very J60 1170 9 many large branch stores are uneconomical, that the J60 1180 4 choice of location in the suburbs is as important as J60 1190 2 it was downtown, and that even highly suburbanized J60 1190 10 cities will support only so many big branches. Moreover, J60 1200 8 the cost of operations is always high in any new store, J60 1210 8 as the conservative bankers who act as controllers J60 1220 4 for retail giants are beginning to discover. J60 1230 1 When all has been said, however, the big branch J60 1230 10 store remains a major break with history in the development J60 1240 7 of American retailing. Just as the suburban factory J60 1250 5 may be more convenient than the downtown plant to the J60 1260 3 worker with a car, the trip to the shopping center J60 1260 13 may seem far easier than to the downtown department J60 1270 7 store, though both are the same distance from home. J60 1280 4 Indeed, there are some cities where the suburban shopping J60 1290 2 pulls customers who are geographically much nearer J60 1290 9 to downtown. Raymond Vernon reports that residents J60 1300 6 of East St& Louis have been driving across the Mississippi, J60 1310 7 through the heart of downtown St& Louis and out to J60 1320 6 the western suburbs for major shopping, simply because J60 1330 2 parking is easier at the big branches than it is in J60 1330 13 the heart of town. To the extent that the problem is J60 1340 10 merely parking, an aggressive downtown management, J60 1350 3 like that of Lazarus Brothers in Columbus, Ohio, can J60 1360 3 fight back successfully by building a garage on the J60 1360 12 lot next door. If the distant patron of the suburban J60 1370 10 branch has been frightened away from downtown by traffic J60 1380 6 problems, however, the city store can only pressure J60 1390 4 the politicians to do something about the highways J60 1400 1 or await the completion of the federal highway program. J60 1400 10 And if the affection for the suburban branch reflects J60 1410 7 a desire to shop with "nice people", rather than with J60 1420 5 the indiscriminate urban mass which supports the downtown J60 1430 3 department store, the central location may be in serious J60 1440 1 trouble. Today, according to land economist Homer Hoyt, J60 1440 9 shopping centers and their associated parking lots J60 1450 7 cover some 46,000 acres of land, which is almost exactly J60 1460 7 the total land area in all the nation's Central Business J60 1470 3 Districts put together. J60 1470 6 The downtown store continues to offer the great J60 1480 7 inducement of variety, both within its gates and across J60 1490 5 the street, where other department stores are immediately J60 1500 1 convenient for the shopper who wants to see what is J60 1500 11 available before making up her mind. If anything may J60 1510 9 be predicted in the quicksilver world of retailing, J60 1520 4 it seems likely that the suburban branch will come J60 1530 2 to dominate children's clothing (taking the kid downtown J60 1530 10 is too much of a production), household gadgetry and J60 1540 9 the discount business in big-ticket items. Department J60 1550 6 stores were built on dry goods, especially ladies' J60 1560 2 fashions, and in this area, in the long run, the suburban J60 1570 1 branches will be hard put to compete against downtown. J60 1570 10 If this analysis is correct, the suburban branches J60 1580 7 will turn out to be what management's cost accountants J60 1590 3 refuse to acknowledge, marginal operations rather than J60 1600 3 major factors. J60 1600 5 Historically in America the appeal of cities has J60 1610 4 been their color and life, the variety of experience J60 1620 1 they offered. "How ya gonna keep 'em down on the farm"? J60 1620 12 was a question that had to be asked long before they J60 1630 11 saw Paree. Though Americans usually lived in groups J60 1640 6 segregated by national origin or religious belief, J60 1650 2 they liked to work and shop in the noise and vitality J60 1660 1 of downtown. Only a radical change in the nature of J60 1660 11 the population in the central city would be likely J60 1670 7 to destroy this preference- and we must now turn our J60 1680 5 attention to the question of whether such a change, J60 1690 1 gloomily foreseen by so many urban diagnosticians, J60 1690 8 is actually upon us. J60 1700 1 #4. SUBURBS AND NEGROES# J60 1700 5 In their book American Skyline, Christopher Tunnard J60 1710 3 and Henry Hope Reed argue that Franklin Roosevelt's J60 1720 1 New Deal was what made the modern suburb a possibility- J60 1730 3 a fine ironical argument, when you consider how suburbanites J60 1730 12 tend to vote. The first superhighways- New York's Henry J60 1740 8 Hudson and Chicago's Lake Shore, San Francisco's Bay J60 1750 6 Bridge and its approaches, a good slice of the Pennsylvania J60 1760 7 Turnpike- were built as part of the federal works program J60 1770 7 which was going to cure the depression. At the same J60 1780 4 time, Roosevelt's Federal Housing Administration, coupled J60 1790 2 with Henry Morgenthau's cheap-money policy, permitted J60 1800 1 ordinary lower-middle-class families to build their J60 1800 9 own homes. Bankers who had been reluctant to lend without J60 1810 8 better security than the house itself got that security J60 1820 5 from the U& S& government; householders who had been J60 1830 4 unable to pick up the burden of short-term high-interest J60 1840 1 mortgages found they could borrow for twenty-five years J60 1840 10 at 4 per cent, under government aegis. J61 0010 1 Before losing itself in the sands of the 19th Century, J61 0010 11 the grand stream of Italian Renaissance architectural J61 0020 5 decoration made a last appearance in the Brumidi frescos J61 0030 5 of the Capitol Rotunda in Washington. J61 0040 1 The artistic generation after Brumidi was trained J61 0040 8 in the Paris of that time to a more meticulous standard J61 0050 9 of execution, and tended to overlook greatness of conception J61 0060 6 where faults and weakness were easy to find. But it J61 0070 6 is a great conception. The open ceiling, with allegorical J61 0080 2 and classical figures thrown in masses against the J61 0080 10 sky: the closed frieze, formally divided into historical J61 0090 8 scenes and tightly tied to the stone walls, belong J61 0100 7 in their large ordering to the line of Correggio and J61 0110 4 his Baroque followers. The descent may be remote, but J61 0120 2 this is surely the only full-scale example of that J61 0120 12 vigorous inheritance in the United States. J61 0130 5 Constantino Brumidi designed the decorative scheme J61 0140 3 as a whole, in collaboration with the architect Charles J61 0150 1 U& Walter, at the time when plans were being made to J61 0150 12 replace the wooden dome of Bullfinch with the present J61 0160 9 much larger iron structure. After many years and many J61 0170 6 interruptions he was able to finish the canopy fresco, J61 0180 4 and slightly less than half the frieze, beginning with J61 0190 2 the Liberty group opposite the East door, and ending J61 0190 11 with William Penn, all but one leg, when a tragic accident J61 0200 10 ended his career. He left at his death sketches, drawn J61 0210 8 to scale, for the rest of the circle. These were carried J61 0220 4 out not too faithfully by Filippo Costaggini, who began J61 0230 3 by supplying the missing member to the founder of Pennsylvania J61 0240 1 and noting in pencil, in Italian, that he "began at J61 0240 11 this point". J61 0250 1 When Costaggini had used up all the sketches thirty-six J61 0260 1 feet of empty frieze were left over. A blank undecorated J61 0260 11 void, plastered in roughcast, disfigured the wall of J61 0270 7 the Rotunda until 1951. Then, advised by the Architect J61 0280 5 of the Capitol, the Joint Committee for the Library, J61 0290 4 traditionally responsible for the works of art in the J61 0300 1 building, ordered the space cleared and painted in J61 0300 9 fresco, to show "the Peace after the Civil War", "the J61 0310 8 Spanish-American War", and "the Birth of Aviation", J61 0320 6 to match as nearly as feasible Brumidi's technique J61 0330 3 and composition. Later the cleaning and restoration J61 0340 1 were ordered, first of the older part of the frieze, J61 0340 11 finally of the canopy. What follows is therefore a J61 0350 8 description of three separate undertakings, the new J61 0360 4 frescoing of the gap, and the successive essays in J61 0370 2 conservation, with some discussion of problems that J61 0370 9 arose in connection with each. J61 0380 3 For the use of students and future restorers, a J61 0390 2 full, day-by-day record was kept of all three undertakings, J61 0390 13 complete technical reports on what we found and what J61 0400 9 we did. These may be consulted in the office of the J61 0410 6 Architect of the Capitol, or the Library of Congress. J61 0420 3 The first preliminary was inspecting the unfinished J61 0430 1 length of frieze, a jumble of roughcast and finish J61 0430 10 coats, all in bad condition. It was decided to strip J61 0450 8 the whole area down to the bricks, and to replace the J61 0460 5 rough coats up to one inch thickness to agree with J61 0470 2 the older artists' preparation, with a mortar, one J61 0470 10 part slaked lime, three parts sand, to be put on in J61 0480 10 two layers. Cartoons were drawn full size, after sketches J61 0490 5 had been made to satisfy all the authorities. There J61 0500 2 was some difficulty here. One had to manage the given J61 0500 12 subjects, three diverse recent events, so as to make J61 0510 9 them part of a classical frieze,- that is, a pattern J61 0520 5 of large figures filling the space, with not much else, J61 0530 5 against a blank background. Moreover, all three representations J61 0540 2 must be squeezed comfortably into little more than J61 0540 10 the length Brumidi allowed for each one of his. J61 0550 9 When it was all arranged to fit, and not to interrupt J61 0560 8 the lengthwise flow of movement in the frieze, the J61 0570 5 cartoons were tried in place. The scaffolding, a confusion J61 0580 2 of heavy beams hanging from the gallery above, was J61 0580 11 strong and safe, but obscured visibility. Nothing could J61 0590 7 be seen from the floor, but by moving around the gallery J61 0600 7 one could get glimpses; and we were able to decide J61 0610 4 on some amplification of scale. To be sure of matching J61 0620 1 color as well as form, pieces of cartoon were traced J61 0620 11 on the roughcast, and large samples painted in fresco, J61 0630 7 then left two months to dry out to their final key. J61 0640 6 Later it was gratifying to note that they had set so J61 0650 3 solidly as to be hard to remove when the time came. J61 0650 14 The scaffold was the length of the space to be painted. J61 0660 11 What bits of Brumidi and Costaggini could be reached J61 0670 6 at either end seemed in good order, though the roughish J61 0680 5 sandy surface was thick with dust. Washed, they came J61 0690 3 out surprisingly clear and bright. It could be seen J61 0690 12 that both artists used a very thick final coat of plaster, J61 0700 11 one half inch, and that both followed the traditional J61 0710 7 Italian fresco technique as described by Cennino Cennini J61 0720 4 in the 14th Century, and current in Italy to this day. J61 0730 4 That is, they used opaque color throughout, getting J61 0730 12 solid highlights with active lime white. Painting "a J61 0740 8 secco" is much in evidence. A brown hatching reinforces J61 0750 7 and broadens shadows, and much of the background is J61 0760 6 solidly covered with a dark coat. This brown is sometimes J61 0770 3 so rich in medium as to appear to be oil paint. J61 0780 1 In our own practice, to have the last "intonaco" J61 0780 9 plaster coat thick enough to match, and at the same J61 0790 8 time to avoid fine cracks in drying, we found that J61 0800 4 it had to be put on in two layers, letting the first J61 0810 1 set awhile before applying the second. The mortar was J61 0810 10 three parts sand to two of lime. Some of the lime that J61 0820 10 is always on hand in the Capitol basement for plaster J61 0830 4 repairs was slaked several months for us; but to make J61 0840 4 it stiffer, of a really putty-like consistency to avoid J61 0840 14 cracking, we added a little hydrated lime- hard on J61 0850 9 the hands, but we could see no other disadvantage. J61 0860 6 I am told that a mortar longer slaked might have remained J61 0870 4 longer in condition for painting. As it was, it took J61 0880 2 the pigment well for six hours, enough for our purpose, J61 0880 12 and held it firmly in setting. It was obvious that J61 0890 9 to match Brumidi, white must be mixed with all but J61 0900 6 the darkest tones. Lime white, hard and brilliant, J61 0910 1 has a tendency to "jump" away from the other colors J61 0910 11 in drying, and also by its capacity to set, to preclude J61 0920 10 the use of ready-made gradations, so useful in decorative J61 0930 6 work. In older Italian practice, lime, dried and reground J61 0940 5 "bianco sangiovanni", entered into such prepared shades. J61 0950 3 For convenience we chose a stronger pigment, unknown J61 0970 1 to the early Italians or to Brumidi, titanium oxide, J61 0970 10 reserving the active lime white for highest lights, J61 0980 7 put on at the end of the day's stint. Other pigments J61 0990 4 were mostly raw umber, some burnt umber, and a little J61 1000 3 yellow ochre. This last was probably not in Brumidi's J61 1000 12 palette, but was needed to take the chill, bluish look J61 1010 10 off the new work next to the old, where softening effects J61 1020 1 of time were seen, even after thorough cleaning. The J61 1030 3 use of "secco" we tried to restrict to covering joints. J61 1040 2 Experience showed, however, that it is very difficult J61 1040 10 to paint a dark umber background in fresco that will J61 1050 10 not dry out spotty and uneven. Later Brumidi and Costaggini J61 1060 7 will be seen coping with this same problem. We were J61 1070 5 forced, as they were, to work a good deal of tempera J61 1080 2 into background and dark areas. We made it by Doerner's J61 1090 1 recipe, five parts thoroughly washed cheese curd to J61 1090 9 one of lime putty; ground together they made a strong J61 1100 7 adhesive, which became waterproof in drying. J61 1110 3 Figure 1 was taken in 1953. The new part is finished. J61 1120 1 On the right is the Brumidi Liberty group, as it looked J61 1120 12 after cleaning operations, which had not yet come around J61 1130 9 to the other end; where, of Costaggini, only some foliage J61 1140 7 has been washed, at the point where his work stopped. J61 1150 5 One is led to speculate as to why the empty space was J61 1160 3 there, left for our century to finish. Costaggini said J61 1160 12 it was Brumidi's fault in not providing enough material J61 1170 9 to fill the circle. Brumidi's son later maintained J61 1180 5 that Costaggini had compressed and mutilated his father's J61 1190 5 designs, ambitiously coveting a bit he could claim J61 1200 3 for his very own. This question might be settled by J61 1200 13 comparing the measurement of the actual circumference J61 1210 7 with the dimensions noted, presumably in Brumidi's J61 1220 5 hand, above the various sections of his long preparatory J61 1230 4 drawing, which has been kept. Whose ever fault, it J61 1250 2 is evident that Brumidi intended to fill out the whole J61 1250 12 frieze with his "histories" and come full circle with J61 1260 8 the scene of the discovery of California gold. In painting J61 1270 6 a fresco, the handling of wet mortar compels one always J61 1280 4 to move from top to bottom and from left to right, J61 1290 1 not to spoil yesterday's work with today's plastering. J61 1290 9 At the very first, then, Brumidi was required, by the J61 1300 9 classically pyramidal shape of his central group, to J61 1310 7 fill in the triangular space above the seated girl J61 1320 3 on Liberty's right, before starting on the allegorical J61 1330 1 figures themselves. Here he put a small man, whose J61 1330 10 missing hands might have left his function doubtful, J61 1340 7 until comparison with the first sketches showed that J61 1350 4 when the artist came back to the beginning, this was J61 1360 2 to be the closing figure of the party of "forty-niners", J61 1360 13 and was to hold a basket. One sees Costaggini's rendering J61 1370 10 of the same figure more than thirty feet away. The J61 1380 8 photograph, Figure 1 of the completed frieze, shows J61 1390 3 how, having been separated from his fellows in useless J61 1400 2 isolation for eighty years, he has now been given a J61 1400 12 hand, and by juxtaposition (and the permission of the J61 1410 8 Committee), given a new job, to represent the witnesses J61 1420 5 of the first flight at Kitty Hawk in 1903. J61 1430 2 The startlingly bright effect of the first washings J61 1430 10 led the Committee to order the rest of the Brumidi-Costaggini J61 1440 11 cycle cleaned and restored to go with them. The fixed J61 1450 9 wooden scaffold was removed, and, so as to reach all J61 1460 7 the frieze, one of pipe, on wheels, built up from the J61 1470 4 floor. Every few days, in the early morning, as the J61 1470 14 work progressed, twenty men would appear to push it J61 1480 9 ahead and to shift the plank foundation that distributed J61 1490 5 its weight widely on the Rotunda pavement, supported J61 1500 3 as it is by ancient brick vaulting. J61 1500 10 On this giddy and oscillating platform over fifty J61 1510 7 feet from the floor, after a first dusting, we began J61 1520 6 to wash. A most useful tool for wetting the surface J61 1530 2 without running down was made from a greenhouse "mist J61 1530 11 spray" nozzle welded to a hose connection, to be used J61 1540 10 at low water pressure. A valve in the handle let us J61 1550 8 cut the pressure still lower. One man sprayed, with J61 1560 4 a sponge in hand to check excess wetting. A second J61 1570 1 assistant mopped with two sponges. In parts a repeated J61 1570 10 sponging was needed, but everywhere we found that water J61 1580 8 alone was enough to restore the original brightness. J61 1590 4 No soap or other cleaning agent was used that might J61 1600 2 bring in unwanted chemical reactions. The painting J61 1600 9 "a fresco" stood up superbly; a little of the "secco" J61 1610 9 came off. Necessary retouching was put on at once. J61 1620 7 Altogether we found the craftsmanship first rate, especially J61 1630 4 Brumidi's. We were greatly helped by there being no J61 1640 4 traces of former restoring. Apparently not more than J61 1650 1 dusting had ever been done, and not much of that. The J61 1650 12 plaster was sound, the intonaco firmly attached all J61 1660 6 over, and the pigment solidly incorporated with it J61 1670 3 in all but a few unimportant places. J61 1670 10 The greatest source of trouble was rain which had J61 1680 8 repeatedly flowed from openings above, soaking the J61 1690 4 surface and leaving streaks of dissolved lime, very J61 1700 2 conspicuous even after cleaning, particularly in the J61 1700 9 "Landing of Columbus", "Oglethorpe and the Indians", J61 1710 7 and "Yorktown". Here the Architect, referring to the J61 1720 7 use of the Capitol as a public building, not a museum, J61 1730 6 requested some repainting to maintain decorative effect, J61 1740 2 rather than leaving blank, unsightly patches. J61 1750 1 These frescos have had no care for eighty years. J61 1750 9 With naked gas jets below and leaky windows above, J61 1760 6 enough to ruin wall paintings in any medium, they have J61 1770 4 survived, in a building long unheated in winter, hot J61 1780 1 and damp under the iron dome in summer. J62 0010 1 Those whom I wish to address with this letter are J62 0010 11 for the most part unknown to me. It may well be that, J62 0020 10 when Rudy Pozzatti and I visited your country last J62 0030 5 spring, you were living and working close to the places J62 0040 4 we saw and the streets we walked. As American artists, J62 0050 1 it was natural that we would want to meet as many Soviet J62 0050 13 artists as possible. This letter might not have been J62 0060 8 necessary had our efforts to meet and talk with you J62 0070 7 been more successful. Even though we did not see many J62 0080 3 of your faces, it appears now quite evident that a J62 0080 13 considerable number of your profession heard, from J62 0090 7 those whom we had the fortune to encounter, that we J62 0100 5 had been in your midst. I am very pleased that quite J62 0110 2 a number of you found ways to communicate to me your J62 0110 13 desire to hear of our reactions and experiences in J62 0120 8 the U&S&S&R&. I can well understand your curiosity. J62 0130 6 We, ourselves, are always eager to know how others J62 0140 5 feel about us and the way in which we live. it is my J62 0150 2 hope that this written message and report will reach J62 0150 11 you through the good offices of the Union of Soviet J62 0160 8 Artists. J62 0160 9 There should be no reason to misinterpret or ignore J62 0170 8 the intent of this letter. Pozzatti and I endeavored J62 0180 4 earnestly to record our impressions without the prejudice J62 0190 2 that the anxiety of our time so easily provokes. The J62 0190 12 time-span of little more than a month cannot entitle J62 0200 9 me to pose as an expert on anything I saw. Too much J62 0210 7 damage is done by "experts" who have spent even less J62 0220 5 time, if any at all, in the U&S&S&R&. J62 0240 1 Nevertheless I consider it reasonable, because of J62 0240 8 my commitment as an artist, to assume that the rights J62 0250 9 and responsibilities of creative individuals are related J62 0260 4 to humanity as a whole rather than to specific geo-political J62 0270 3 interests. If this attitude is seriously questioned J62 0280 1 in the Soviet Union, it does not necessarily follow J62 0280 10 that the majority of the society in which I live is J62 0290 9 too aware of the necessity for clarity on this ethical J62 0300 5 as well as aesthetic point of view. It is a matter J62 0310 3 of some disappointment to me that still many of my J62 0310 13 own countrymen are too shortsighted to ascribe any J62 0320 7 symbolic significance to the plight of a minority, J62 0330 5 such as artists, in any social order. I encountered J62 0340 1 many questions and great interest upon my return from J62 0340 10 the Soviet Union about my reactions to that experience. J62 0350 7 That which I found most profound and most disturbing J62 0360 5 appeared to evoke a curiously muted reaction. Almost J62 0370 2 as if I were talking about something quite unreal. J62 0370 11 Apparently this is not the time and the climate in J62 0380 10 which people will listen objectively, or at least J62 0390 5 dispassionately, J62 0390 6 to individual impressions of a subject which preoccupies J62 0400 6 a good deal of their waking moments. Personal predispositions J62 0410 2 tend to blunt the ear and, in turn, the voice as well. J62 0420 3 I cannot be content with the anecdotal small talk of J62 0420 13 a somewhat unusual travelogue. I am equally impatient J62 0430 7 with the shrug of the shoulder, shake of the head of J62 0440 7 those who no longer care because they have known it J62 0450 4 for so long; the aggressive disbelief of those who J62 0450 13 are romantically lost in a semantic jungle of the word J62 0460 10 "Revolution"; the belligerent denunciations by the J62 0470 6 sick fanatics of ignorance who try to build a papier-mache J62 0480 7 wall of pseudo-patriotism on our physical horizons. J62 0490 2 Difficult as it may have been at times, Pozzatti and J62 0490 12 I saw enough, talked to enough artists, historians J62 0500 7 and others to realize that the issue is quite clear. J62 0510 7 Artists and poets are the raw nerve-ends of humanity; J62 0520 3 they are small in number and their contribution is J62 0520 12 not immediately decisive in everyday life. By themselves J62 0530 8 they may not be able to save the life on this planet, J62 0540 10 but without them there would be very little left worth J62 0550 6 saving. J62 0550 7 It cannot be said that our very first day in the J62 0560 6 Soviet Union turned out to be an ordinary one. On that J62 0570 3 cold, but bright, April day we were guests of your J62 0570 13 government in the reviewing stand of Red Square to J62 0580 9 witness the poeple's celebration for Yuri Gagarin and J62 0590 5 later on that day we attended the somewhat more exclusive J62 0600 3 reception for him in one of the impressive palaces J62 0610 1 of the Kremlin. If we thus spent our very first day J62 0610 12 in the midst of a large number of your people honoring J62 0620 8 a new hero and a great national achievement, our last J62 0630 4 day, to us at least, was equally impressive and very J62 0640 2 moving, even though the crowds were absent and there J62 0640 11 was almost complete silence. We stood under a gigantic J62 0650 8 tree in the rolling country just outside of Moscow J62 0660 5 looking at silent flowers on the grave of a Russian J62 0670 3 poet and writer who cherished the love for his country J62 0670 13 to the point of foregoing the highest international J62 0680 8 honor. The grave, about half-way between his home and J62 0690 7 the blue turrets of a small church, rose above the J62 0700 4 forms and spaces of gently undisciplined pastures of J62 0700 12 green, the sounds of birds, the silence of other graves J62 0710 10 and the casual paths through small forests. Just yesterday J62 0720 7 we had met and talked with a living writer, a contemporary J62 0730 6 of the dead poet, who is known for his ability of manipulating J62 0740 4 his ideas and his craft more advantageously. But today J62 0750 3 we were aware of only two men. One had taken a flight J62 0750 15 into uncharted space, in the service of science, to J62 0760 9 return as a living hero. The other had assumed the J62 0770 6 right to explore the equally uncharted space of the J62 0780 4 human spirit. The flowers on his grave attested to J62 0780 13 the fact that he as well was somebody's hero. J62 0790 9 These two recollections form the frame around a J62 0800 6 series of experiences and sights which, to me at least, J62 0810 5 symbolize the extremes in the aesthetic as well as J62 0810 14 ethical conflict between materialism and humanism. J62 0820 6 A struggle that is being waged all over the world in J62 0830 8 the half-light of disinterest. The prevalent opinion J62 0840 3 which we encountered in a variety of expressions in J62 0850 1 your country denied not only the existence of this J62 0850 10 conflict but it was elaborated even further with an J62 0860 6 incredible semantic dexterity. The socialist environment, J62 0870 2 it was stated, had cross-fertilized these two extreme J62 0880 1 seeds and was about to produce a new plant and fruit. J62 0880 12 When I speculated on one such occasion that the new J62 0890 8 growth, like other mutations, might be unable to propagate, J62 0900 6 I was immediately accused of preaching racial prejudice. J62 0910 3 I could not bring myself to answer that "some of my J62 0920 3 best friends are non-propagating mules". J62 0920 9 This kind of reasoning and logic takes a little J62 0930 7 time to get used to. After a while we were perhaps J62 0940 4 less surprised, but still puzzled, when a friendly J62 0950 1 discussion would suddenly jump the track into the most J62 0950 10 irrelevant and illogical comparisons. A chance remark J62 0960 6 about Lenin's sealed train brought the rejoinder that J62 0970 5 this was a myth akin to George Washington's cherry J62 0980 2 tree. Theories of the behavior pattern of population J62 0980 10 masses were compared to scientific discoveries concerning J62 0990 7 the motion-pattern of gaseous masses. No wonder that J62 1000 7 Pozzatti and I had at times difficulty in remembering J62 1010 3 the real purpose of our presence, namely, Cultural J62 1020 1 Exchange. J62 1020 2 Typical of such an experience was the occasion of J62 1030 2 a somewhat formal official welcome in the offices of J62 1030 11 the Union of Soviet Artists. We had looked forward J62 1040 8 to what we hoped to be our first informal meeting with J62 1050 5 a number of Moscow's artists. Instead, we became involved J62 1060 4 in a series of friendly, but overly formal, welcoming J62 1070 1 addresses to which we had no choice but to reply in J62 1070 12 kind. The terms of friendship, understanding, cooperation, J62 1080 5 etc&, tend to become somewhat shopworn because of constant J62 1090 6 and indiscriminate use. I can only hope that the continuing J62 1100 5 exchange of groups and individuals between our countries J62 1110 3 will not wear out all language pertinent to the occasion. J62 1120 1 The presiding female functionary, of massive proportions J62 1120 8 and forbidding appearance, initially did not contribute J62 1130 6 to the expressions of friendship and welcome by a number J62 1140 7 of dignified gentlemen representing the arts. It was J62 1150 5 only after we had responded, with what I fear were J62 1160 1 similar cliches, that she went into action by questioning J62 1160 10 our desire for friendship and understanding with a J62 1170 7 challenge about aggressive and warlike actions by the J62 1180 5 U&S& Government in Cuba and Laos. She retreated by J62 1190 3 leaving the room when we suggested that our meeting J62 1190 12 might well terminate right then and there. Unfortunately J62 1200 8 she returned later, just as I had taken advantage of J62 1210 8 the friendlier atmosphere in the room by stating that J62 1220 5 perhaps an unexpected result of the Cultural Exchange J62 1230 1 Program would be the re-emergence of Abstract Art in J62 1230 11 Russia, with Social Realism regaining dominance in J62 1240 7 the U&S&. This gave her an opportunity to ring down J62 1250 8 the curtain with the petulant admonition that we should J62 1260 4 not presume to lecture her on Abstraction. She did J62 1270 2 not go so far as to say, as was done on other occasions, J62 1270 15 that Abstraction as well as Impressionism were a Russian J62 1280 9 invention that had been discarded as unwanted by the J62 1290 8 people of the U&S&S&R& J62 1300 1 Pozatti and I could not know then that we would J62 1300 11 experience this sort of treatment more often in Moscow J62 1310 9 than elsewhere. We were to discover, in fact, that J62 1320 6 quite a number of people share with us the impression J62 1330 2 that, in contrast to other Soviet regions, Moscow's J62 1330 10 atmosphere is depressingly subdued and official. To J62 1340 7 have one's intentions deliberately or unintentionally J62 1350 4 misunderstood is always a waste of time. Until our J62 1360 5 Moscow experience, I had not considered it necessary J62 1370 1 to prepare any argument formally or informally. Artists J62 1370 9 simply do not talk to each other in that fashion; and, J62 1380 10 furthermore, I could not presume the implication that J62 1390 6 I spoke for American artists as a group. To save time, J62 1400 5 some clarification seemed necessary. The following J62 1410 1 is a statement read to a large and friendly group of J62 1410 12 your fellow artists in Leningrad: J62 1420 3 "We have come to your land with the express intention J62 1430 3 of understanding and respecting your ideas and your J62 1440 1 ways. Our presence here should also be considered further, J62 1440 10 sincere evidence of the attempts by our people and J62 1450 8 their chosen government to seek any and all possible J62 1460 5 ways to effect closer, peaceful ties among all people. J62 1470 2 We are quite convinced that one of the main hopes for J62 1470 13 the future depends upon the informal contacts and exchanges J62 1480 8 of ideas between individuals. J62 1500 1 In spite of the relatively short period of time J62 1500 10 that we have experienced among you, we have already J62 1510 8 seen many indications of your character and spirit. J62 1520 5 We are acutely aware that yours is a society which, J62 1530 2 in spite of several wars and many privations, has developed J62 1540 1 itself into one of the foremost nations of the world. J62 1540 11 Your past history is resplendent with the fruits of J62 1550 7 the intellect. Your present history is equally admirable J62 1560 4 for its industrial and scientific achievements. J62 1580 1 We have come to you to experience something of your J62 1580 11 way of life while also attempting to acquaint you with J62 1600 7 that of ours. While we, as American artists, believe J62 1610 2 deeply in the universal character of all intellectual J62 1620 1 activity, we would be less than honest with you, or J62 1620 11 ourselves, if we failed to state a specific attitude J62 1630 9 toward our own society as well as the international J62 1640 5 community as a whole. In stating this position, we J62 1650 2 should like to make it clear to you that we cannot J62 1650 13 expect artists and intellectuals in other lands to J62 1660 7 share our opinion in every respect. As a matter of J62 1670 5 fact, we prize the diversity among our own people so J62 1680 2 much that we will not presume to speak for all other J62 1680 13 American artists. But certainly, all will agree that J62 1690 7 it is not so much the knowledge and search for similarities J62 1700 5 between you and us, but rather the thoughtful exploration J62 1710 2 and acceptance of our differences which may lead us J62 1720 2 to our respective and desired goals with a minimum J62 1720 11 of misunderstanding. J62 1730 1 Like yourselves, we have pride and love for our J62 1730 10 country. To many of us, this is a land to which we J62 1740 12 or our parents fled from totalitarian terror in order J62 1750 4 to live in dignified freedom. As artists we feel the J62 1760 3 same obligation, as do other individuals, in considering J62 1760 11 ourselves responsible citizens of a great nation. J63 0010 1 ## J63 0010 2 The Sane Society is an ambitious work. Its scope is J63 0010 12 as broad as the question: What does it mean to live J63 0020 11 in modern society? A work so broad, even when it is J63 0030 9 directed by a leading idea and informed by a moral J63 0040 4 vision, must necessarily "fail". Even a hasty reader J63 0050 1 will easily find in it numerous blind spots, errors J63 0050 10 of fact and argument, important exclusions, areas of J63 0060 6 ignorance and prejudice, undue emphases on trivia, J63 0070 4 examples of broad positions supported by flimsy evidence, J63 0080 2 and the like. Such books are easy prey for critics. J63 0080 12 Nor need the critic be captious. a careful and orderly J63 0090 9 man, who values precision and a kind of tough intellectual J63 0100 7 responsibility, might easily be put off by such a book. J63 0110 7 It is a simple matter, for one so disposed, to take J63 0120 2 a work like The Sane Society and shred it into odds J63 0120 13 and ends. The thing can be made to look like the cluttered J63 0130 12 attic of a large and vigorous family- a motley jumble J63 0140 7 of discarded objects, some outworn and some that were J63 0150 5 never useful, some once whole and bright but now chipped J63 0160 3 and tarnished, some odd pieces whose history no one J63 0160 12 remembers, here and there a gem, everything fascinating J63 0170 8 because it suggests some part of the human condition- J63 0180 7 the whole adding up to nothing more than a glimpse J63 0190 4 into the disorderly history of the makers and users. J63 0200 1 That could be easily done, but there is little reason J63 0200 11 in it. It would come down to saying that Fromm paints J63 0210 10 with a broad brush, and that, after all, is not a conclusion J63 0230 8 one must work toward but an impression he has from J63 0240 4 the outset. I mention these features of the book because J63 0250 2 they are inherent in the book's character and therefore J63 0250 11 must be mentioned. It would be superfluous to build J63 0260 9 a critique around them. There are more substantial J63 0270 5 criticisms to be made of Fromm's account of capitalist J63 0280 3 civilization. J63 0280 4 It is worthwhile to recall that Fromm's treatment J63 0290 3 has both descriptive and normative aspects. Since I J63 0300 2 have already discussed his moral position, that discussion J63 0300 10 is incorporated by reference into the following pages, J63 0310 8 which will focus on the empirical and analytic side J63 0320 7 of Fromm's treatment. I shall first indicate a couple J63 0330 5 of weaknesses in Fromm's analysis, then argue that, J63 0340 2 granted these weaknesses, he still has much left that J63 0340 11 is valuable, and, finally, raise the general question J63 0350 7 of a philosophical versus a sociological approach to J63 0360 5 the question of alienation. J63 0360 9 Almost no empirical work has been done on the problem J63 0370 10 of alienation. Despite its rather long intellectual J63 0380 5 history, alienation is still a promising hypothesis J63 0390 2 and not a verified theory. The idea has received much J63 0400 1 attention in philosophy, in literature, and in a few J63 0400 10 works of general social criticism, such as The Sane J63 0410 7 Society. What is missing is work that would answer, J63 0420 5 presumably by the use of survey methods and Guttman-type J63 0430 1 attitude scales, such questions as these: What are J63 0430 9 the components of the feeling-state described as alienation? J63 0450 8 How widespread is alienation? What is its incidence J63 0460 7 among the various classes and subgroups of the population? J63 0470 6 Taking alienation as a dependent variable, with what J63 0480 3 socio-structural factors is it most highly associated? J63 0490 1 Considered as an independent variable, how does it J63 0490 9 affect behavior in various sectors of life? Until such J63 0500 8 work is done, there must remain the nagging suspicion J63 0510 5 that alienation may be little more than an expression J63 0520 3 of the malaise of the intellectual, who, rejected by J63 0520 12 and in turn rejecting the larger society, projects J63 0530 8 his own fear and despair onto the broader social screen. J63 0540 6 I am not suggesting that Fromm ought to do this J63 0550 6 kind of work. Nor do I think that alienation is nothing J63 0560 3 more than a projection of the malaise of the intellectual. J63 0570 1 I am saying only that until a fuller and different J63 0570 11 kind of evidence comes in, any discussion of alienation J63 0580 7 must be understood to have certain important limitations. J63 0590 3 Until such evidence appears, we must make do with J63 0600 4 the evidence we have. Here, perhaps, Fromm is vulnerable, J63 0610 1 for he does not always use the best and most recent J63 0610 12 evidence available, and he sometimes selects and interprets J63 0620 7 the evidence in rather special ways. Three examples J63 0630 5 follow. J63 0630 6 Fromm's analysis of alienation in the sphere of J63 0640 5 production centers around the concepts of the bureaucratization J63 0650 2 of the corporation, the separation of ownership from J63 0660 1 control, and the broad (and thus from the point of J63 0660 11 view of corporate control, ineffective) dispersion J63 0670 4 of stock ownership. For all these points he relies J63 0680 4 exclusively on Berle and Means's study of 1932, The J63 0690 1 Modern Corporation and Private Property. The broad J63 0690 8 conclusions of that pioneering work remain undisturbed, J63 0710 7 but subsequent research has expanded and somewhat altered J63 0720 6 their empirical support, has suggested important revisions J63 0730 3 in the general analytic frame of reference, and has J63 0740 2 sharpened the meaning of particular analytic concepts J63 0740 9 in this area. Fromm seems unaware of these developments. J63 0750 7 Another example is his very infrequent use of the J63 0760 8 large amount of data from surveys designed to discover J63 0770 4 what and how people actually do feel and think on a J63 0780 2 broad range of topics: he cites such survey-type findings J63 0790 10 just three times. Moreover, the conclusions he draws J63 0800 7 from the findings are not always the only ones possible. J63 0810 6 For example, he cites the following data from two studies J63 0820 5 on job satisfaction: in the first study, 85 per cent J63 0830 2 of professionals and executives, 64 per cent of white J63 0830 11 collar people, and 41 per cent of factory workers expressed J63 0840 9 satisfaction with their jobs; in the second study, J63 0850 7 the percentages were 86 for professionals, 74 for managerial J63 0860 4 persons, 42 for commercial employees, 56 for skilled J63 0870 2 workers, and 48 for semi-skilled workers. He concludes J63 0870 11 that these data show a "remarkably high" percentage J63 0890 7 of consciously dissatisfied and unhappy persons among J63 0900 5 factory and clerical workers. Starting from other value J63 0910 4 premises than Fromm's, some analysts might conclude J63 0920 1 that the percentages really tell us very little at J63 0920 10 all, while others might even conclude that the figures J63 0930 7 are remarkably low. Eric Hoffer, for example, once J63 0940 4 said that America was a paradise- the only one in the J63 0950 4 history of the world- for workingmen and small children. J63 0960 1 What matters is that while Fromm's reading of the data J63 0960 11 is not the only one possible, it is precisely the one J63 0970 9 we would expect from a writer who earnestly believes J63 0980 4 that every man can and ought to be happy and satisfied. J63 0990 2 Fromm also cites a poll on attitudes toward work restriction J63 1000 1 conducted by the Opinion Research Corporation in 1945, J63 1000 9 in which 49 per cent of manual workers said a man ought J63 1010 11 to turn out as much as he could in a day's work, while J63 1020 8 41 per cent said he should not do his best but should J63 1030 5 turn out only the average amount. Fromm says these J63 1040 1 data show that job dissatisfaction and resentment are J63 1040 9 widespread. That is one way to read the findings, but J63 1050 9 again there are other ways. One might use such findings J63 1060 5 to indicate the strength of informal primary associations J63 1070 2 in the factory, an interpretation which would run counter J63 1080 1 to Fromm's theory of alienation. Or, he might remind J63 1080 10 Fromm that the 41 per cent figure is really astonishingly J63 1090 9 low: after all, the medieval guild system was dedicated J63 1100 6 to the proposition that 100 per cent of the workers J63 1110 5 ought to turn out only the average amount; and today's J63 1120 1 trade unions announce pretty much the same view. J63 1120 9 In view of these shortcomings in both the amount J63 1130 8 and the interpretation of survey-type findings on public J63 1140 6 opinion, and considering the criticisms which can be J63 1150 4 brought against Fromm's philosophical anthropology, J63 1160 1 such a passage as the following cannot be taken seriously. J63 1160 11 "Are people happy, are they as satisfied, unconsciously, J63 1170 7 as they believe themselves to be? Considering the nature J63 1180 6 of man, and the conditions for happiness, this can J63 1190 4 hardly be so". J63 1190 7 The ambiguities suggested above stem from a more J63 1200 6 basic difficulty in Fromm's style of thought. He seems J63 1210 3 to use the term alienation in two different ways. Sometimes J63 1220 1 he uses it as a subjective, descriptive term, and sometimes J63 1220 11 as an objective, diagnostic one. That is, sometimes J63 1230 7 it is used to describe felt human misery, and other J63 1240 6 times it is postulated to explain unfelt anxiety and J63 1250 3 discontent. The failure to keep these two usages distinct J63 1260 2 presents hazards to the reader. It also permits Fromm J63 1260 11 to do some dubious things with empirical findings. J63 1270 7 When alienation is used as an objective and diagnostic J63 1280 6 category, for example, it becomes clear that Fromm J63 1290 3 would have to say that awareness of alienation goes J63 1290 12 far toward conquering it. (He in effect does say this J63 1300 10 in his discussion of the pseudo-happiness of the automaton J63 1310 7 conformist.) Starting from this, and accepting his J63 1320 4 estimate of the iniquities of modern society, it would J63 1330 2 follow that the really disturbing evidence of alienation J63 1330 10 would be that of a work-satisfaction survey which reported J63 1340 10 widespread, stated worker satisfaction, rather than J63 1350 5 widespread, stated worker dissatisfaction. J63 1360 1 The point is that in a system such as Fromm's which J63 1370 1 recognizes unconscious motivations, and which rests J63 1370 7 on certain ethical absolutes, empirical data can be J63 1380 6 used to support whatever proposition the writer is J63 1390 4 urging at the moment. Thus, in the example cited above J63 1400 1 Fromm rests his whole case on the premise that the J63 1400 11 workers are being deprived unconsciously, unknowingly, J63 1410 4 of fulfillment, and then supports this with survey J63 1420 4 data reporting conscious, experienced frustrations. J63 1430 1 He has his cake and eats it too: if the workers say J63 1430 13 they are dissatisfied, this shows conscious alienation; J63 1440 5 if they say they are satisfied, this shows unconscious J63 1450 4 alienation. This sort of manipulation is especially J63 1460 2 troublesome in Fromm's work because, although his system J63 1470 1 is derived largely from certain philosophic convictions, J63 1470 8 he asserts that it is based on empirical findings drawn J63 1490 7 both from social science and from his own consulting J63 1500 5 room. While the "empirical psychoanalytic" label which J63 1510 3 Fromm claims sheds no light on the validity of his J63 1510 13 underlying philosophy, it does increase the marketability J63 1520 7 of his product. J63 1530 1 The final example of the failure to use available J63 1530 10 evidence, though evidence of a different kind from J63 1540 8 that which has so far been considered, comes from Fromm's J63 1550 4 treatment of some other writers who have dealt with J63 1560 3 the same themes. In a brief chapter dealing with "Various J63 1570 1 Other Diagnoses", he quotes isolated passages from J63 1570 8 some writers whose views seem to corroborate his own, J63 1580 8 and finds it "most remarkable that a critical view J63 1590 5 of twentieth-century society was already held by a J63 1600 3 number of thinkers living in the nineteenth **h". He J63 1600 12 finds it equally "remarkable that their critical diagnosis J63 1610 8 and prognosis should have so much in common among themselves J63 1620 9 and with the critics of the twentieth century". There J63 1630 5 is nothing remarkable about this at all. It is largely J63 1640 5 a matter of finding passages that suit one's purposes. J63 1650 1 There is a difference between evidence and illustration, J63 1650 9 and Fromm's citation of the other diagnosticians fits J63 1660 7 the latter category. Glance at the list: Burckhardt, J63 1670 6 Tolstoy, Proudhon, Thoreau, London, Marx, Tawney, Mayo, J63 1680 5 Durkheim, Tannenbaum, Mumford, A& R& Heron, Huxley, J63 1690 4 Schweitzer, and Einstein. This is a delightfully motley J63 1700 2 collection. One can make them say the same thing only J63 1700 12 by not listening to them very carefully and hearing J63 1710 9 only what one wants to hear. The method of selection J63 1720 7 Fromm uses achieves exactly that. Furthermore, the J63 1730 2 list is interesting for its omissions. It omits, for J63 1740 1 example, practically the whole line of great nineteenth J63 1740 9 century English social critics, nearly all the great J63 1750 7 writers whose basic position is religious, and all J63 1760 5 those who are with more or less accuracy called Existentialists. J63 1770 2 Of course, the list also excludes all writers who are J63 1780 1 fairly "optimistic" about the modern situation; these, J63 1780 8 almost by definition, are spokesmen for an alienated J63 1790 8 ideology. It is not hard to find that concurrence of J63 1800 6 opinion which Fromm finds so remarkable when you ignore J63 1810 4 all who hold a different opinion. J63 1810 10 Turning from these problems of the use of evidence, J63 1820 8 one meets another type of difficulty in Fromm's analysis, J63 1830 4 which is his loose and ambiguous use of certain important J63 1840 4 terms. One such instance has already been presented: J63 1850 1 his use of alienation. The only other one I shall mention J63 1850 12 here is his use of the term capitalism. J63 1860 8 For Fromm, capitalism is the enemy, the root of J63 1870 6 all evil. It is of course useful to have a sovereign J63 1880 1 cause in one's social criticism, for it makes diagnosis J63 1880 10 and prescription much easier than they might otherwise J63 1890 8 be. J64 0010 1 If one characteristic distinguishes Boris Godunov, J64 0010 7 it is the consistency with which every person on the J64 0020 9 stage- including the chorus- comes alive in the music. J64 0030 6 Much of this lifelike quality results from Mussorgsky's J64 0040 3 care in basing his vocal line on natural speech inflections. J64 0050 2 In this he followed a path that led back to the very J64 0060 1 source of opera; such composers as Monteverdi, Lully J64 0060 9 and Purcell, with the same goal in mind, had developed J64 0070 9 styles of recitative sensitively attuned to their own J64 0080 5 languages. Through long experimentation in his songs, J64 0090 4 Mussorgsky developed a Russian recitative as different J64 0100 1 from others as the language itself. Giving most of J64 0100 10 his musical continuity to the orchestra, he lets the J64 0110 7 speech fall into place as if by coincidence, but controlling J64 0120 3 the pace and emphasis of the words. J64 0130 1 The moments of sung melody, in the usual sense, J64 0130 9 come most often when the character is actually supposed J64 0140 6 to be singing, as in folk songs and liturgical chants. J64 0150 3 Otherwise Mussorgsky reserves his vocal melodies for J64 0160 2 prolonged expressions of emotion- Boris' first monologue, J64 0160 9 for example. Even then, the flexibility of the phrasing J64 0170 9 suggests that the word comes first in importance. J64 0180 7 Aside from Boris himself, one need but examine the J64 0190 6 secondary roles to place Mussorgsky among the masters J64 0200 3 of musical portraiture. Even those who appear in only J64 0200 12 one or two scenes are full personalities, defined with J64 0210 9 economical precision. Consider the four monks who figure J64 0220 7 prominently in the action: Pimen, Varlaam, Missail J64 0230 4 and the Jesuit Rangoni. Under no circumstances could J64 0240 2 we mistake one for the other; each musical setting J64 0240 11 has an individual touch. J64 0250 4 Pimen is an old man, weak in body- his voice rarely J64 0260 3 rises to a full forte- but firm and clear of mind. J64 0270 1 His calmness offers contrast to Grigori's youthful J64 0270 8 excitement. A quiet but sturdy theme, somewhat folklike J64 0280 7 in character, appears whenever the old monk speaks J64 0300 5 of the history he is recording or of his own past life: J64 0310 2 @ J64 0310 3 This theme comes to represent the outer world, the J64 0320 1 realm of battles and banquets- seen from a distance, J64 0320 10 quite distinct from the quieter spiritual life in the J64 0330 8 monastery. It changes and develops according to the J64 0340 4 text; it introduces Pimen when he comes before Boris J64 0350 2 in the last act. Once he has been identified, however, J64 0350 12 a new melody is used to accompany his narrative, a J64 0360 10 bleak motif with barren octaves creating a rather ancient J64 0370 6 effect: @ J64 0370 8 An imaginative storyteller, Pimen takes on the character J64 0380 7 he describes, as if he were experiencing the old shepherd's J64 0390 6 blindness and miraculous cure. Here the composer uses J64 0400 5 a favorite device of his, the intensification of the J64 0410 3 mood through key relationships. The original ~D minor J64 0410 11 seems to symbolize blindness, inescapable in spite J64 0420 7 of all attempts to move away from it. As the child J64 0430 7 addresses the shepherd in a dream, light- in the form J64 0440 6 of the major mode- begins to appear, and at the moment J64 0450 1 of the miracle we hear a clear and shining ~D major. J64 0450 12 Varlaam and Missail always appear together and often J64 0460 8 sing together, in a straightforward, rhythmically vigorous J64 0470 2 idiom that distinguishes them from the more subtle J64 0480 4 and well-educated Pimen. Their begging song might easily J64 0490 2 be a folk melody: @ J64 0490 7 The same could be said for the song to which they J64 0500 5 make their entrance in the final scene. Apparently J64 0510 1 their origin is humble, their approach to life direct J64 0510 10 and unsophisticated. Whatever learning they may have J64 0520 6 had in their order doesn't disturb them now. J64 0530 3 Missail is the straight man, not very talkative, J64 0540 1 mild-mannered when he does speak. Varlaam is loud, J64 0540 10 rowdy, uninhibited in his pleasures and impatient with J64 0550 7 anyone who is not the same. A rough ostinato figure, J64 0560 4 heard first in the introduction to the inn scene, characterizes J64 0570 3 him amusingly and reappears whenever he comes into J64 0580 1 the action: @ J64 0580 4 The Song of Kazan, in which this figure becomes J64 0590 2 a wild-sounding accompaniment, fills in the picture J64 0590 10 of undisciplined high spirits. The phrasing is irregular, J64 0600 7 and the abrupt key changes have a primitive forcefulness. J64 0610 6 (We can imagine how they startled audiences of the J64 0620 4 1870's.) J64 0620 5 Varlaam's music begins to ramble as he feels the J64 0630 5 effects of the wine, but he pulls himself together J64 0640 1 when the need arises. Both monks respond to the guard's J64 0640 11 challenge with a few phrases of their begging song; J64 0650 9 a clever naturalistic touch is Varlaam's labored reading J64 0660 5 of the warrant. As the knack gradually comes back to J64 0670 4 him, his rhythm becomes steadier, with the rigid monotony J64 0680 1 of an unskilled reader. For the only time in the opera, J64 0680 12 words are not set according to their natural inflection; J64 0690 9 to do so would have spoiled the dramatic point of the J64 0700 8 scene. J64 0700 9 Musically and dramatically, Rangoni is as far removed J64 0710 7 from the conventional monk as Varlaam. His music shows J64 0720 5 a sensuality coupled with an eerie quality that suggest J64 0730 3 somehow a blood-kinship with Dappertutto in Offenbach's J64 0740 1 Hoffman. His speech shows none of the native accent J64 0740 10 of the Russian characters; in spite of the Italian J64 0750 8 name, he sounds French. His personality appears more J64 0760 5 striking by contrast with Marina, who is- perhaps purposely- J64 0770 3 rather superficially characterized. J64 0780 1 Rangoni's first entrance is a musical shock, a sudden J64 0780 10 open fifth in a key totally unrelated to what has preceded J64 0790 10 it. The effect is as if he had materialized out of J64 0800 7 nowhere. He speaks quietly, concealing his authority J64 0810 3 beneath a smooth humility, just as the shifting harmonies J64 0820 1 that accompany him all but hide the firm pedal point J64 0820 11 beneath them. He addresses Marina with great deference, J64 0830 7 calling her "Princess" at first; it is only after he J64 0840 8 has involved her emotions in his scheme that he uses J64 0850 4 her given name, placing himself by implication in the J64 0860 1 position of a solicitous father. J64 0860 6 Curiously, this scene is a close parallel to one J64 0870 4 that Verdi was writing at the same time, the scene J64 0880 1 between Amonasro and Aida. Rangoni and Amonasro have J64 0880 9 the same purpose- forcing the girl to charm the man J64 0890 8 she loves into serving her country's cause- and their J64 0900 5 tactics are much the same. Rangoni begins by describing J64 0910 3 the sad state of the Church; this brings a reaction J64 0920 1 of distress from Marina. The music becomes ethereal J64 0920 9 as he calls up a vision of her own sainthood: it is J64 0930 10 she, he tells her, who can bring the truth to Russia J64 0940 6 and convert the heretics. As if in a trance, she repeats J64 0950 3 his words- then realizes, with a shock, her own audacity. J64 0960 1 This is no assignment for a frivolous girl, she assures J64 0960 11 him. J64 0970 1 Now Rangoni comes to the point, and we hear, for J64 0970 11 the first time, a long, downward chromatic scale that J64 0980 7 will become the characteristic motif of his sinister J64 0990 5 power. It is a phrase as arresting as a magician's J64 1000 1 gesture, with a piquant turn of harmony giving an effect J64 1000 11 of strangeness. Another theme, sinuously chromatic, J64 1010 5 appears as he directs her to gain power over Grigori J64 1020 6 by any means, even at the cost of her honor. Coming J64 1030 2 from a priest, the music sounds as odd as the advice: J64 1040 1 @ J64 1040 2 Marina rebels at this suggestion. Her pride is as J64 1040 11 much at stake as her virtue; she is the unattainable J64 1050 9 beauty, the princess who turns away suitors by the J64 1060 6 dozen. Indignantly she denounces Rangoni for his evil J64 1070 4 thoughts and orders him to leave her. J64 1070 11 At once the Jesuit pulls out all the stops. To music J64 1080 9 of a menacing darkness, he describes the powers of J64 1090 6 Satan gaining control of the girl, poisoning her soul J64 1100 3 with pride and destroying her beauty. The combined J64 1100 11 threat of hell-fire and ugliness is too much for her, J64 1110 11 and she falls terrified at his feet. With another sudden J64 1120 7 change of mood, he is again calm and protective, exhorting J64 1130 3 her to trust and obey him as God's spokesman- and the J64 1140 5 chromatic scale descends in ominous contradiction. J64 1140 11 Whatever the source of Rangoni's power, Marina is his J64 1150 9 captive now; we are reminded of this at the end of J64 1160 9 the next scene, when his theme cuts through the warmth J64 1170 4 of the love duet, again throwing a chill over the atmosphere. J64 1180 2 The most unusual feature of Boris, however, is the J64 1190 3 use of the greatest character of all, the chorus. This J64 1190 13 is the real protagonist of the drama; the conflict J64 1200 8 is not Boris versus Grigori or Shuiski or even the J64 1210 6 ghost of the murdered child, but Boris versus the Russian J64 1220 4 people. Mussorgsky makes this quite clear by the extent J64 1230 2 to which choral scenes propel the action. Boris' first J64 1230 11 entrance seems almost a footnote to the splendor of J64 1240 9 the Coronation Scene, with its dazzling confusion of J64 1250 6 tonalities. We have a brief glimpse of the Tsar's public J64 1260 5 personality, the "official Boris", but our real focus J64 1270 3 is on the excitement of the crowd- a signigicant contrast J64 1280 1 with its halfhearted acclamation in the opening scene, J64 1280 9 its bitter resentment and fury in the final act. J64 1290 8 One reason for the unique vitality of the chorus J64 1300 5 is its great variety in expression. It rarely speaks J64 1310 2 as a unit. Even in its most conventional appearance, J64 1310 11 the guests' song of praise to Marina, there are a few J64 1320 10 female dissenters criticizing the princess for her J64 1330 5 coldness. In many passages- for example, the council J64 1340 3 of boyars- each section of the chorus becomes a character J64 1350 1 group with a particular opinion. Hot arguments arise J64 1350 9 between tenors and basses, who will sing in harmony J64 1360 9 only when they agree on an idea. J64 1370 2 The opening scene shows this method at its most J64 1370 11 individual. Mussorgsky paints a telling picture of J64 1380 7 the common people, those who must suffer the effects J64 1390 6 of their rulers' struggle for power without understanding J64 1400 2 the causes. They are held in control by force, but J64 1410 1 barely. They will kneel and plead for Boris' leadership J64 1410 10 in a strangely intense song, its phrases irregularly J64 1420 6 broken as if gasping for breath, but when the police J64 1430 5 with their cudgels move away, they mock and grumble J64 1440 2 and fight among themselves. There is a quick change J64 1440 11 from the plaintive song to a conversational tone. "Hey, J64 1450 8 Mityukh", asks one group, "what are we shouting about"? J64 1460 7 And Mityukh, apparently the intellectual leader of J64 1470 5 the crowd, replies that he has no notion. The jokes J64 1480 3 and arguments grow louder until the police return; J64 1480 11 then the people strike up their song with even more J64 1490 10 fervor than before, ending it with a wail of despair. J64 1500 7 Mussorgsky frequently uses liturgical music with J64 1510 3 considerable dramatic force. In Pimen's cell the soft J64 1520 2 prayers of the monks, heard from offstage, not only J64 1520 11 help to set the scene but emphasize the contrast between J64 1530 8 young Grigori's thoughts and his situation. This is J64 1540 6 especially striking between Pimen's quiet exit and J64 1550 4 Grigori's vehement outburst against Boris. J64 1560 1 Again, as Boris feels himself nearing death, a procession J64 1560 9 files into the hall singing a hymn, its modal harmonies J64 1570 9 adding a churchly touch to the grim atmosphere: @ The J64 1580 7 words are hardly calculated to put the Tsar's mind J64 1590 6 at ease. They echo the words with which he has described J64 1600 4 his own vision of the dying child who "trembles and J64 1610 1 begs for mercy- and there is no mercy". The living J64 1610 11 as well as the dead now accuse him; this final reminder J64 1620 9 of his guilt is the fatal one. J64 1630 2 One of the outstanding assets of the present production J64 1640 1 is the restoration of the St& Basil's scene, usually J64 1640 10 omitted from performances and rarely included in a J64 1650 8 published score. Though brief, it has a sharp dramatic J64 1660 6 edge and great poignancy. In addition, it is an important J64 1670 5 link in the plot, giving us a revealing glimpse of J64 1680 1 the people's attitude toward Boris and the false Dimitri. J64 1680 10 The mayhem in the forest of Kromy is a natural sequel. J64 1690 10 The St& Basil's scene opens with little groups of J64 1700 7 beggars milling around the square, the ever present J64 1710 5 police keeping them under scrutiny. In the orchestra J64 1720 2 we hear first a hushed, hesitant pizzicato figure, J64 1720 10 then the insistent "police" motif as it appeared in J64 1730 9 the opening scene. J64 1740 1 The service is over, and a number of people come J64 1740 11 from the church with their spokesman Mityukh in the J64 1750 7 lead. They bring the news that the Pretender has been J64 1760 5 excommunicated; this is met with scorn by the hearers, J64 1770 3 who claim that Mityukh is lying or drunk. (Mussorgsky J64 1770 12 cleverly contrasts the two groups by their orchestral J64 1780 8 accompaniment, solemn chords or mocking staccatos.) J64 1790 5 There is still more news, Mityukh announces: they have J64 1800 4 prayed for the soul of the Tsarevich. J65 0010 1 SO FAR THESE remarks, like most criticisms of Hardy, J65 0010 10 have tacitly assumed that his poetry is all of a piece, J65 0020 10 one solid mass of verse expressing a sensibility at J65 0030 5 a single stage of development. For critics, Hardy has J65 0040 3 had no poetic periods- one does not speak of early J65 0040 13 Hardy or late Hardy, or of the London or Max Gate period, J65 0050 12 but simply of Hardy, as of a poetic monolith. This J65 0060 9 seems odd when one recalls that he wrote poetry longer J65 0070 6 than any other major English poet: "Domicilium" is J65 0080 2 dated "between 1857 and 1860"; "Seeing the Moon Rise" J65 0090 3 is dated August, 1927. One might expect that in a poetic J65 0100 1 career of seventy-odd years, some changes in style J65 0100 10 and method would have occurred, some development taken J65 0110 6 place. J65 0110 7 This is not, however, the case, and development J65 0120 5 is a term which we can apply to Hardy only in a very J65 0130 5 limited sense. In a time when poetic style, and poetic J65 0140 1 belief as well, seem in a state of continual flux, J65 0140 11 Hardy stands out as a poet of almost perverse consistency. J65 0150 8 Though he struggled with philosophy all his life, he J65 0160 6 never got much beyond the pessimism of his twenties; J65 0170 2 the "sober opinion" of his letter to Noyes, written J65 0180 1 when Hardy was eighty years old, is essentially that J65 0180 10 of his first "philosophical" notebook entry, made when J65 0190 5 he was twenty-five: "The world does not despise us: J65 0200 6 it only neglects us" (Early Life, p& 63). And though J65 0210 5 in his later years he revised his poems many times, J65 0220 2 the revisions did not alter the essential nature of J65 0220 11 the style which he had established before he was thirty; J65 0230 9 so that, while it usually is easy to recognize a poem J65 0240 7 by Hardy, it is difficult to date one. J65 0250 1 There is only one sense in which it is valid to J65 0250 12 talk about Hardy's development: he did develop toward J65 0260 7 a more consistent and more effective control of that J65 0270 6 tone which we recognize as uniquely his. There is only J65 0280 4 one Hardy style, but in the earlier poems that style J65 0290 1 is only intermittently evident, and when it is not, J65 0290 10 the style is the style of another poet, or of the fashion J65 0300 9 of the time. In the later poems, however, the personal J65 0310 4 tone predominates. The bad early poems are bad Shakespeare J65 0320 3 or bad Swinburne; the bad late poems are bad Hardy. J65 0340 1 There are two ways of getting at a poet's development: J65 0350 1 through his dated poems, and through the revisions J65 0350 9 which he made in later editions of his work. About J65 0360 6 a quarter of Hardy's poems carry an appended date line, J65 0370 5 usually the year of completion, but sometimes inclusive J65 0380 1 years ("1908-1910") or two separate dates when Hardy J65 0380 10 worked on the poem ("1905 and 1926") or an approximate J65 0390 10 date ("During the War"). These dates are virtually J65 0400 7 the only clues we have to the chronology of the poems, J65 0410 6 since the separate volumes are neither chronological J65 0420 1 within themselves nor in relation to each other. With J65 0420 10 the exception of Satires of Circumstance, each volume J65 0430 8 contains dated poems ranging over several decades (Winter J65 0440 7 Words spans sixty-one years); the internal organization J65 0450 5 rarely has any chronological order, except in obvious J65 0460 4 groups like the "Poems of Pilgrimage", the "Poems of J65 0470 3 1912-13", and the war poems. J65 0470 9 From the dated poems we can venture certain conclusions J65 0480 6 about Hardy's career in poetry, always remembering J65 0490 3 that conclusions based on a fraction of the whole must J65 0500 2 remain tentative. The dated poems suggest that while J65 0500 10 Hardy's concern with poetry may have been constant, J65 0510 8 his production was not. He had two productive periods, J65 0520 6 one in the late 1860's, the other in the decade from J65 0530 5 1910 to 1920 (half of the dated poems are from the J65 0540 1 latter period, and these alone total about one-tenth J65 0540 10 of all Hardy's poems). There was one sterile period: J65 0550 7 only one poem is dated between 1872 and 1882 and, except J65 0560 6 for the poems written on the trip to Italy in 1887, J65 0570 3 very few from 1882 to 1890. J65 0570 9 The dated poems also give us an idea of the degree J65 0580 8 to which Hardy drew upon past productions for his various J65 0590 4 volumes, and therefore probably are an indication of J65 0600 2 the amount of poetry he was writing at the time. Poems J65 0600 13 of the Past and the Present and Time's Laughingstocks, J65 0610 7 both published while Hardy was at work on The Dynasts, J65 0620 9 draw heavily on poems written before 1900. Satires J65 0630 5 of Circumstance and Moments of Vision, coming during J65 0640 4 his most productive decade, are relatively self-contained; J65 0650 1 the former contains no poem dated before 1909-10- that J65 0660 1 is, no poem from a period covered by a previous volume- J65 0660 12 and the latter has only a few such. The last three J65 0670 10 volumes are again more dependent on the past, as Hardy's J65 0680 6 creative powers declined in his old age. J65 0690 2 These observations about Hardy's productivity tally J65 0690 8 with the details of his life as we know them. The first J65 0700 12 productive period came when he was considering poetry J65 0710 7 as a vocation, before he had decided to write fiction J65 0720 4 for a living (in his note for Who's Who he wrote that J65 0730 4 he "wrote verses 1865-1868; gave up verse for prose, J65 0740 1 1868-70; but resumed it later"). During the poetically J65 0740 10 sterile years he was writing novels at the rate of J65 0750 10 almost one a year and was, in addition, burdened with J65 0760 5 bad health (he spent six months in bed in 1881, too J65 0770 2 ill to do more than work slowly and painfully at A J65 0770 13 Laodicean). Two entries in the Early Life support the J65 0780 9 assumption that during this period Hardy had virtually J65 0790 7 suspended the writing of poetry. Mrs& Hardy records J65 0800 4 that "**h at the end of November [1881] he makes a J65 0810 4 note of an intention to resume poetry as soon as possible" J65 0820 1 (Early Life, p& 188); and on Christmas Day, 1890, Hardy J65 0830 1 wrote: "While thinking of resuming 'the viewless wings J65 0830 9 of poesy' before dawn this morning, new horizons seemed J65 0840 9 to open, and worrying pettinesses to disappear" (Early J65 0850 5 Life, p& 302). There are more poems dated in the 1890's J65 0860 8 than in the '80's- Hardy had apparently resumed the J65 0870 5 viewless wings as he decreased the volume of his fiction- J65 0880 4 but none in 1891, the year of Tess, and only one in J65 0890 2 1895, the year of Jude. After 1895 the number increases, J65 0890 12 and in the next thirty years there is only one year J65 0900 11 for which there is no dated poem- 1903, when Hardy J65 0910 6 was at work on The Dynasts. J65 0920 1 The second productive period, the decade from 1910 J65 0920 9 to 1920, can be related to three events: the completion J65 0930 8 of The Dynasts in 1909, which left Hardy free of pressure J65 0940 7 for the first time in forty years; the death of Emma J65 0950 5 Hardy in 1912, which had a profound emotional effect J65 0960 2 on Hardy for which he found release in poetry; and J65 0960 12 the First World War. It may seem strange that a poet J65 0970 10 should come to full fruition in his seventies, but J65 0980 6 we have it on Hardy's own authority that "**h he was J65 0990 5 a child till he was sixteen, a youth till he was five-and-twenty, J65 1000 1 and a young man till he was nearly fifty" (Early Life, J65 1010 1 p& 42). We may carry this sequence one step further J65 1010 11 and say that at seventy he was a poet at the height J65 1020 11 of his powers, wanting only the impetus of two tragedies, J65 1030 6 one personal, the other national, to loose those powers J65 1040 4 in poetry. J65 1040 6 Hardy's two productive decades were separated by J65 1050 4 forty years, yet between them he developed only in J65 1060 1 that he became more steadily himself- it was a narrowing, J65 1060 11 not an expanding process. Like a wise gardener, Hardy J65 1070 7 pruned away the Shakespearian sonnets and songs, and J65 1080 5 the elements of meter and poetic diction to which his J65 1090 4 personal style was not suited, and let the main stock J65 1100 1 of his talent flourish. The range of the later poetry J65 1100 11 is considerably narrower, but the number of successful J65 1110 7 poems is far greater. J65 1120 1 We can see the general characteristics of the earlier J65 1120 9 decade if we look at two poems of very different qualities: J65 1130 8 "Revulsion" (1866) and "Neutral Tones" (1867). There J65 1140 6 is not much to be said for "Revulsion". Like about J65 1150 3 half of the 1860-70 poems, it is a sonnet on a conventional J65 1160 4 theme- the unhappiness of love. Almost anyone could J65 1170 1 have written it; it is competent in the sense that J65 1170 11 it makes a coherent statement without violating the J65 1180 5 rules of the sonnet form, but it is entirely undistinguished J65 1190 4 and entirely unlike Hardy. The language is the conventional J65 1200 4 language of the form; there is no phrase or image that J65 1210 2 sounds like Hardy or that is striking enough to give J65 1210 12 individuality to the poem. It is smoother than Hardy J65 1220 9 usually is, but with the smoothness of anonymity. It J65 1230 5 is obviously a young man's poem, written out of books J65 1240 4 and not out of experience; it asserts emotion without J65 1250 2 evoking it- that is to say, it is sentimental. There J65 1250 12 are many such competently anonymous performances among J65 1260 6 the earlier poems. J65 1270 1 "Neutral Tones" we immediately recognize as a fine J65 1270 9 poem in Hardy's most characteristic style: the plain J65 1280 7 but not quite colloquial language, the hard, particular, J65 1290 5 colorless images, the slightly odd stanza-form, the J65 1300 4 dramatic handling of the occasion, the refusal to resolve J65 1310 2 the issue- all these we have seen in Hardy's best poems. J65 1320 1 The poem does not distort the syntax of ordinary speech J65 1320 11 nor draw on exotic sources of diction, yet it is obviously J65 1330 8 not ordinary speech- only Hardy would say "a grin of J65 1340 10 bitterness swept thereby/Like an ominous bird a-wing", J65 1350 5 or "wrings with wrong", or would describe a winter J65 1360 3 sun as "God-curst". J65 1360 7 The details of the setting of "Neutral Tones" are J65 1370 5 not, strictly speaking, metaphorical, but they combine J65 1380 3 to create a mood which is appropriate both to a dismal J65 1390 1 winter day and to the end of love, and in this way J65 1390 13 love and weather, the emotions and the elements, symbolize J65 1400 6 each other in a way that is common to many of Hardy's J65 1410 5 best poems ("Weathers", "The Darkling Thrush", and J65 1420 3 "During Wind and Rain", for example) and to some moving J65 1430 3 passages in the novels as well (Far From the Madding J65 1440 1 Crowd is full of scenes constructed in this way). J65 1440 10 "Neutral Tones" is an excellent example of Hardy's J65 1450 8 mature style, drawn from his earliest productive period; J65 1460 6 I cite it as evidence that he did not develop through J65 1470 5 new styles as he grew older (as Yeats did), but that J65 1480 3 he simply learned to use better what he already had. J65 1480 13 In the poem we recognize and acknowledge one man's J65 1490 8 sense of the world; if it is somber, it is also precise, J65 1500 8 and the precision lends authority to the vision. In J65 1510 4 "Revulsion", on the other hand, the pessimism is a J65 1520 2 case not proven; the poem offers nothing to persuade J65 1520 11 us of the speaker's right to speak as he does. In the J65 1530 9 1860-70 decade there are many poems like "Revulsion", J65 1540 5 but there is only one "Neutral Tones". Hardy was not J65 1550 4 Hardy very often. J65 1550 7 The "Poems of 1912-13" offer a good example of Hardy's J65 1560 7 style as it was manifested in the later productive J65 1570 5 decade. These are the poems Hardy wrote after the death J65 1580 3 of his first wife; they compose a painful elegy to J65 1580 13 what might have been, to a marriage that began with J65 1590 10 a promise of happiness, and ended in long years of J65 1600 7 suffering and hatred. Hardy obviously felt that these J65 1610 3 poems were peculiarly personal and private; he sometimes J65 1620 1 called them "an expiation", and he would not allow J65 1620 10 them to be published in periodicals. They are the only J65 1630 7 poems that he rearranged as a group between their first J65 1640 6 appearance (in Satires of Circumstance) and the publication J65 1650 4 of the Collected Poems. J65 1650 8 The elegiac tone is Hardy's natural tone of voice, J65 1660 8 and it is not surprising that the 1912-13 poems are J65 1670 7 consistently and unmistakably his. The view is always J65 1680 4 toward the past; but the mood is not quite nostalgic- J65 1690 3 Hardy would not allow sentiment to soften his sense J65 1690 12 of the irredeemable pastness of the past, and the eternal J65 1700 8 deadness of the dead. The poems are, the epigraph tells J65 1710 6 us, the "traces of an ancient flame"; the fire of love J65 1720 5 is dead, and Hardy stands, as the speaker does in the J65 1730 3 last poem of the sequence, over the burnt circle of J65 1730 13 charred sticks, and thinks of past happiness and present J65 1740 8 grief, honest and uncomforted. J66 0010 1 Critically invisible, modern revolt, like X-rays and J66 0010 9 radioactivity, is perceived only by its effects at J66 0020 8 more materialistic social levels, where it is called J66 0030 4 delinquency. J66 0030 5 "Disaffiliation", by the way, is the term used by J66 0040 6 the critic and poet, Lawrence Lipton, who has written J66 0050 2 several articles on this subject, the first of which, J66 0050 11 in the Nation, quoted as epigraph, "We disaffiliate J66 0060 7 **h"- John L& Lewis. J66 0070 2 Like the pillars of Hercules, like two ruined Titans J66 0080 1 guarding the entrance to one of Dante's circles, stand J66 0080 10 two great dead juvenile delinquents- the heroes of J66 0090 8 the post-war generation: the great saxophonist, Charlie J66 0100 5 Parker, and Dylan Thomas. If the word deliberate means J66 0110 5 anything, both of them certainly deliberately destroyed J66 0120 2 themselves. J66 0120 3 Both of them were overcome by the horror of the J66 0130 3 world in which they found themselves, because at last J66 0130 12 they could no longer overcome that world with the weapon J66 0140 10 of a purely lyrical art. Both of them were my friends. J66 0150 8 Living in San Francisco I saw them seldom enough to J66 0160 5 see them with a perspective which was not distorted J66 0170 1 by exasperation or fatigue. So as the years passed, J66 0170 10 I saw them each time in the light of an accelerated J66 0180 9 personal conflagration. J66 0190 1 The last time I saw Bird, at Jimbo's Bob City, he J66 0190 12 was so gone- so blind to the world- that he literally J66 0200 11 sat down on me before he realized I was there. "What J66 0210 6 happened, man"? I said, referring to the pretentious J66 0220 4 "Jazz Concert". "Evil, man, evil", he said, and that's J66 0230 4 all he said for the rest of the night. About dawn he J66 0240 2 got up to blow. The rowdy crowd chilled into stillness J66 0240 12 and the fluent melody spiraled through it. J66 0250 5 The last time I saw Dylan, his self-destruction J66 0260 4 had not just passed the limits of rationality. It had J66 0270 2 assumed the terrifying inertia of inanimate matter. J66 0270 9 Being with him was like being swept away by a torrent J66 0280 10 of falling stones. J66 0290 1 Now Dylan Thomas and Charlie Parker have a great J66 0290 10 deal more in common than the same disastrous end. As J66 0300 7 artists, they were very similar. They were both very J66 0310 5 fluent. But this fluent, enchanting utterance had, J66 0320 1 compared with important artists of the past, relatively J66 0320 9 little content. Neither of them got very far beyond J66 0330 8 a sort of entranced rapture at his own creativity. J66 0340 5 The principal theme of Thomas's poetry was the ambivalence J66 0350 3 of birth and death- the pain of blood-stained creation. J66 0360 1 Music, of course, is not so explicit an art, but anybody J66 0360 12 who knew Charlie Parker knows that he felt much the J66 0370 9 same way about his own gift. Both of them did communicate J66 0380 7 one central theme: Against the ruin of the world, there J66 0390 6 is only one defense- the creative act. This, of course, J66 0400 3 is the theme of much art- perhaps most poetry. It is J66 0410 1 the theme of Horace, who certainly otherwise bears J66 0410 9 little resemblance to Parker or Thomas. The difference J66 0420 7 is that Horace accepted his theme with a kind of silken J66 0430 6 assurance. To Dylan and Bird it was an agony and terror. J66 0440 3 I do not believe that this is due to anything especially J66 0450 1 frightful about their relationship to their own creativity. J66 0450 9 I believe rather that it is due to the catastrophic J66 0460 9 world in which that creativity seemed to be the sole J66 0470 6 value. Horace's column of imperishable verse shines J66 0480 3 quietly enough in the lucid air of Augustan Rome. Art J66 0490 1 may have been for him the most enduring, orderly, and J66 0490 11 noble activity of man. But the other activities of J66 0500 8 his life partook of these values. They did not actively J66 0510 5 negate them. Dylan Thomas's verse had to find endurance J66 0520 3 in a world of burning cities and burning Jews. He was J66 0530 1 able to find meaning in his art as long as it was the J66 0530 14 answer to air raids and gas ovens. As the world began J66 0540 9 to take on the guise of an immense air raid or gas J66 0550 5 oven, I believe his art became meaningless to him. J66 0560 1 I think all this could apply to Parker just as well, J66 0560 12 although, because of the nature of music, it is not J66 0570 9 demonstrable- at least not conclusively. J66 0580 2 Thomas and Parker have more in common than theme, J66 0590 1 attitude, life pattern. In the practice of their art, J66 0590 10 there is an obvious technical resemblance. Contrary J66 0600 5 to popular belief, they were not great technical innovators. J66 0610 5 Their effects are only superficially startling. Thomas J66 0620 3 is a regression from the technical originality and J66 0630 1 ingenuity of writers like Pierre Reverdy or Apollinaire. J66 0630 9 Similarly, the innovations of bop, and of Parker particularly, J66 0640 9 have been vastly overrated by people unfamiliar with J66 0650 6 music, especially by that ignoramus, the intellectual J66 0660 3 jitterbug, the jazz aficionado. The tonal novelties J66 0670 1 consist in the introduction of a few chords used in J66 0670 11 classical music for centuries. And there is less rhythmic J66 0680 8 difference between progressive jazz, no matter how J66 0690 5 progressive, and Dixieland, than there is between two J66 0700 3 movements of many conventional symphonies. J66 0700 8 What Parker and his contemporaries- Gillespie, Davis, J66 0710 6 Monk, Roach (Tristano is an anomaly), etc&- did was J66 0720 7 to absorb the musical ornamentation of the older jazz J66 0730 5 into the basic structure, of which it then became an J66 0740 2 integral part, and with which it then developed. This J66 0740 11 is true of the melodic line which could be put together J66 0750 10 from selected passages of almost anybody- Benny Carter, J66 0760 6 Johnny Hodges. It is true of the rhythmic pattern in J66 0770 5 which the beat shifts continuously, or at least is J66 0780 2 continuously sprung, so that it becomes ambiguous enough J66 0780 10 to allow the pattern to be dominated by the long pulsations J66 0790 10 of the phrase or strophe. This is exactly what happened J66 0800 7 in the transition from baroque to rococo music. It J66 0810 5 is the difference between Bach and Mozart. J66 0820 1 It is not a farfetched analogy to say that this J66 0820 11 is what Thomas did to poetry. The special syntactical J66 0830 7 effects of a Rimbaud or an Edith Sitwell- actually J66 0840 2 ornaments- become the main concern. The metaphysical J66 0850 1 conceits, which fascinate the Reactionary Generation J66 0850 7 still dominant in backwater American colleges, were J66 0860 7 embroideries. Thomas's ellipses and ambiguities are J66 0870 5 ends in themselves. The immediate theme, if it exists, J66 0880 5 is incidental, and his main theme- the terror of birth- J66 0890 1 is simply reiterated. J66 0890 4 This is one difference between Bird and Dylan which J66 0900 5 should be pointed out. Again, contrary to popular belief, J66 0910 2 there is nothing crazy or frantic about Parker either J66 0910 11 musically or emotionally. His sinuous melody is a sort J66 0920 9 of nai^ve transcendence of all experience. Emotionally J66 0930 5 it does not resemble Berlioz or Wagner; it resembles J66 0940 5 Mozart. This is true also of a painter like Jackson J66 0950 3 Pollock. He may have been eccentric in his behavior, J66 0960 1 but his paintings are as impassive as Persian tiles. J66 0960 10 Partly this difference is due to the nature of verbal J66 0970 8 communication. The insistent talk-aboutiveness of the J66 0980 3 general environment obtrudes into even the most idyllic J66 0990 2 poetry. It is much more a personal difference. Thomas J66 0990 11 certainly wanted to tell people about the ruin and J66 1000 9 disorder of the world. Parker and Pollock wanted to J66 1010 6 substitute a work of art for the world. J66 1020 1 Technique pure and simple, rendition, is not of J66 1020 9 major importance, but it is interesting that Parker, J66 1030 7 following Lester Young, was one of the leaders of the J66 1040 7 so-called saxophone revolution. In modern jazz, the J66 1050 3 saxophone is treated as a woodwind and played with J66 1050 12 conventional embouchure. Metrically, Thomas's verse J66 1060 5 was extremely conventional, as was, incidentally, the J66 1070 5 verse of that other tragic enrage, Hart Crane. J66 1080 2 I want to make clear what I consider the one technical J66 1090 1 development in the first wave of significant post-war J66 1090 10 arts. Ornament is confabulation in the interstices J66 1100 6 of structure. A poem by Dylan Thomas, a saxophone solo J66 1110 5 by Charles Parker, a painting by Jackson Pollock- these J66 1120 2 are pure confabulations as ends in themselves. Confabulation J66 1130 1 has come to determine structure. Uninhibited lyricism J66 1130 8 should be distinguished from its exact opposite- the J66 1140 8 sterile, extraneous invention of the corn-belt metaphysicals, J66 1150 7 or present blight of poetic professors. J66 1160 2 Just as Hart Crane had little influence on anyone J66 1170 1 except very reactionary writers- like Allen Tate, for J66 1170 9 instance, to whom Valery was the last word in modern J66 1180 10 poetry and the felicities of an Apollinaire, let alone J66 1190 6 a Paul Eluard were nonsense- so Dylan Thomas's influence J66 1200 3 has been slight indeed. In fact, his only disciple- J66 1210 1 the only person to imitate his style- was W& S& Graham, J66 1220 1 who seems to have imitated him without much understanding, J66 1220 10 and who has since moved on to other methods. Thomas's J66 1230 10 principal influence lay in the communication of an J66 1240 7 attitude- that of the now extinct British romantic J66 1250 3 school of the New Apocalypse- Henry Treece, J& F& Hendry, J66 1260 3 and others- all of whom were quite conventional poets. J66 1270 2 Parker certainly had much more of an influence. J66 1270 10 At one time it was the ambition of every saxophone J66 1280 9 player in every high school band in America to blow J66 1290 6 like Bird. Even before his death this influence had J66 1300 2 begun to ebb. In fact, the whole generation of the J66 1300 12 founding fathers of bop- Gillespie, Monk, Davis, Blakey, J66 1310 8 and the rest- are just now at a considerable discount. J66 1320 8 The main line of development today goes back to Lester J66 1330 6 Young and by-passes them. J66 1330 11 The point is that many of the most impressive developments J66 1340 9 in the arts nowadays are aberrant, idiosyncratic. There J66 1350 5 is no longer any sense of continuing development of J66 1360 3 the sort that can be traced from Baudelaire to Eluard, J66 1370 2 or for that matter, from Hawthorne through Henry James J66 1370 11 to Gertrude Stein. The cubist generation before World J66 1380 8 War /1,, and, on a lower level, the surrealists of J66 1390 8 the period between the wars, both assumed an accepted J66 1400 4 universe of discourse, in which, to quote Andre Breton, J66 1410 2 it was possible to make definite advances, exactly J66 1410 10 as in the sciences. I doubt if anyone holds such ideas J66 1420 9 today. Continuity exits, but like the neo-swing music J66 1430 7 developed from Lester Young, it is a continuity sustained J66 1440 4 by popular demand. J66 1440 7 In the plastic arts, a very similar situation exists. J66 1450 6 Surrealists like Hans Arp and Max Ernst might talk J66 1460 4 of creation by hazard- of composing pictures by walking J66 1470 2 on them with painted soles, or by tossing bits of paper J66 1470 13 up in the air. But it is obvious that they were self-deluded. J66 1480 12 Nothing looks anything like an Ernst or an Arp but J66 1490 9 another Ernst or Arp. Nothing looks less like their J66 1500 5 work than the happenings of random occasion. Many of J66 1510 3 the post-World War /2, abstract expressionists, apostles J66 1520 1 of the discipline of spontaneity and hazard, look alike, J66 1520 10 and do look like accidents. The aesthetic appeal of J66 1530 7 pure paint laid on at random may exist, but it is a J66 1540 7 very impoverished appeal. Once again what has happened J66 1550 2 is an all-consuming confabulation of the incidentals, J66 1550 10 the accidents of painting. It is curious that at its J66 1560 9 best, the work of this school of painting- Mark Rothko, J66 1570 6 Jackson Pollock, Clyfford Still, Robert Motherwell, J66 1580 3 Willem de-Kooning, and the rest- resembles nothing J66 1590 2 so much as the passage painting of quite unimpressive J66 1590 11 painters: the mother-of-pearl shimmer in the background J66 1600 9 of a Henry McFee, itself a formula derived from Renoir; J66 1610 7 the splashes of light and black which fake drapery J66 1620 5 in the fashionable imitators of Hals and Sargent. Often J66 1630 2 work of this sort is presented as calligraphy- the J66 1630 11 pure utterance of the brush stroke seeking only absolute J66 1640 9 painteresque values. You have only to compare such J66 1650 7 painting with the work of, say, Sesshu, to realize J66 1660 4 that someone is using words and brushes carelessly. J66 1670 1 At its best the abstract expressionists achieve J66 1670 8 a simple rococo decorative surface. Its poverty shows J66 1680 6 up immediately when compared with Tiepolo, where the J66 1690 5 rococo rises to painting of extraordinary profundity J66 1700 1 and power. A Tiepolo painting, however confabulated, J66 1700 8 is a universe of tensions in vast depths. A Pollock J66 1710 9 is an object of art- bijouterie- disguised only by J66 1720 7 its great size. In fact, once the size is big enough J66 1730 4 to cover a whole wall, it turns into nothing more than J66 1740 1 extremely expensive wallpaper. Now there is nothing J66 1740 8 wrong with complicated wallpaper. There is just more J66 1750 6 to Tiepolo. The great Ashikaga brush painters painted J66 1760 4 wallpapers, too- at least portable ones, screens. J66 1770 2 A process of elimination which leaves the artist J66 1770 10 with nothing but the play of his materials themselves J66 1780 9 cannot sustain interest in either artist or public J66 1790 6 for very long. So, in the last couple of years, abstract J66 1800 4 expressionism has tended toward romantic suggestion- J66 1810 3 indications of landscape or living figures. J67 0010 1 ANGLO-SAXON and Greek epic each provide on two occasions J67 0020 1 a seemingly authentic account of the narration of verse J67 0020 10 in the heroic age. Hrothgar's court bard sings of the J67 0030 8 encounters at Finnsburg (lines 1068-1159), and improvises J67 0040 5 the tale of Beowulf's exploits in a complimentary comparison J67 0050 4 of the Geatish visitor with Sigemund (lines 871-892); J67 0060 3 Alcinou^s' court bard sings of the discovered adultery J67 0070 1 of Ares and Aphrodite (Odyssey /8,.266-366), and takes J67 0070 10 up a tale of Odysseus while the Ithacan wanderer listens J67 0080 10 on (Odyssey /8,.499-520). Nothing in all this is J67 0090 8 autobiographical: J67 0090 9 unlike the poets of Deor and Widsith, the poet of Beowulf J67 0100 11 is not concerned with his own identity; the poet of J67 0110 10 the Odyssey, reputed blind, reveals himself not at J67 0120 7 all in singing of the blind minstrel Demodocus. Since J67 0130 3 none of these glimpses of poetizing without writing J67 0140 1 is intended to incorporate a signature into the epic J67 0140 10 matter, there is prima-facie evidence that Beowulf J67 0150 7 and the Homeric poems each derive from an oral tradition. J67 0160 6 That such a tradition lies behind the Iliad and the J67 0170 5 Odyssey, at least, is hard to deny. Milman Parry rigorously J67 0180 3 defended the observation that the extant Homeric poems J67 0190 2 are largely formulaic, and was led to postulate that J67 0190 11 they could be shown entirely formulaic if the complete J67 0200 8 corpus of Greek epic survived; he further reasoned J67 0210 4 that frequent formulas in epic verse indicate oral J67 0220 2 composition, and assumed the slightly less likely corollary J67 0230 1 that oral epic is inclined towards the use of formulas. J67 0230 11 Proceeding from Parry's conclusions and adopting one J67 0240 6 of his schemata, Francis P& Magoun, Jr&, argues that J67 0250 5 Beowulf likewise was created from a legacy of oral J67 0260 5 formulas inherited and extended by bards of successive J67 0270 1 generations, and the thesis is striking and compelling. J67 0270 9 Yet a fresh inspection will indicate one crucial amendment: J67 0280 7 Beowulf and the Homeric poems are not at all formulaic J67 0290 9 to the same extent. J67 0300 1 The bondage endurable by an oral poet is to be estimated J67 0300 12 only by a very skilful oral poet, but it appears safe J67 0310 9 to assume that no sustained narrative in rhyme could J67 0320 5 be composed without extreme difficulty, even in a language J67 0330 4 of many terminal inflections. Assonance seems nearly J67 0340 1 as severe a curb, although in a celebrated passage J67 0340 10 William of Malmesbury declares that a Song of Roland J67 0350 7 was intoned before the battle commenced at Hastings. J67 0360 4 The Anglo-Saxon alliterative line and the Homeric hexameter J67 0370 3 probably imposed less of a restraint; the verse of J67 0380 2 Beowulf or of the Iliad and the Odyssey was not easy J67 0390 1 to create but was not impossible for poets who had J67 0390 11 developed their talents perforce in earning a livelihood. J67 0400 6 Yet certain aids were valuable and quite credibly necessary J67 0410 5 for reciting long stretches of verse without a pause. J67 0420 3 The poet in a written tradition who generally never J67 0420 12 blots a line may once in a while pause and polish without J67 0430 12 incurring blame. But the oral poet cannot pause; he J67 0440 8 must improvise continuously with no apparent effort. J67 0450 5 Even though the bondage of his verse is not so great J67 0460 3 as the writing poet can manage, it is still great enough J67 0460 14 for him often to be seriously impeded unless he has J67 0470 10 aids to facilitate rapid composition. The Germanic J67 0480 4 poet had such aids in the kennings, which provided J67 0490 2 for the difficulties of alliteration; the Homeric poet J67 0500 1 had epithets, which provided for recurring needs in J67 0500 9 the hexameter. Either poet could quickly and easily J67 0510 6 select words or phrases to supply his immediate requirements J67 0520 4 as he chanted out his lines, because the kennings and J67 0530 2 the epithets made possible the construction of systems J67 0530 10 of numerous synonyms for the chief common and proper J67 0540 8 nouns. Other synonyms could of course serve the same J67 0550 7 function, and for the sake of ease I shall speak of J67 0560 4 kennings and epithets in the widest and loosest poss1ble J67 0570 1 sense, and name, for example, Gar-Dene a kenning for J67 0570 11 the Danes. Verbal and adverbial elements too participated J67 0580 7 in each epic diction, but it is for the present sufficient J67 0590 8 to mark the large nominal and adjectival supply of J67 0600 4 semantic near-equivalents, and to designate the members J67 0610 2 of any system of equivalents as basic formulas of the J67 0610 12 poetic language. Limited to a few thousand lines of J67 0620 9 heroic verse in Anglo-Saxon as in the other Germanic J67 0630 6 dialects, we cannot say how frequently the kennings J67 0640 3 in Beowulf recurred in contemporary epic on the same J67 0650 1 soil. But we can say that since a writing poet, with J67 0650 12 leisure before him, would seem unlikely to invent a J67 0660 8 technique based upon frequent and substantial circumlocution, J67 0670 3 the kennings like the epithets must reasonably be ascribed J67 0680 3 to an oral tradition. J67 0680 7 One of the greatest Homerists of our time, Frederick J67 0690 6 M& Combellack, argues that when it is assumed the Iliad J67 0700 6 and the Odyssey are oral poems, the postulated single J67 0710 3 redactor called Homer cannot be either credited with J67 0720 1 or denied originality in choice of phrasing. Any example J67 0720 10 of grand or exquisite diction may have been created J67 0730 8 by the poet who compiled numerous lays into the two J67 0740 5 works we possess or may be due to one of his completely J67 0760 1 unknown fellow-craftsmen. The quest of the historical J67 0760 9 Homer is likely never to have further success; no individual J67 0770 10 word in the Iliad or the Odyssey can be credited to J67 0780 9 any one man; no strikingly effective element of speech J67 0790 5 in the extant poems can with assurance be said not J67 0800 4 to have been a commonplace in the vaster epic corpus J67 0810 1 that may have existed at the beginning of the first J67 0810 11 millennium before Christ. This observation is of interest J67 0820 7 not only to students of Homeric poetry but to students J67 0830 5 of Anglo-Saxon poetry as well. To the extent that a J67 0840 4 tale is twice told, its final author must be suspect, J67 0840 14 although plagiarism in an oral tradition is less a J67 0850 9 misdemeanor than the standard modus dicendi. J67 0860 4 Combellack argues further, and here he makes his J67 0870 4 main point, that once the Iliad and the Odyssey are J67 0880 2 thought formulaic poems composed for an audience accustomed J67 0880 10 to formulaic poetry, Homeric critics are deprived of J67 0890 8 an entire domain they previously found arable. With J67 0900 5 a few important and a few more unimportant exceptions, J67 0910 2 no expression can be deemed le mot juste for its context, J67 0920 2 because each was very probably the only expression J67 0920 10 that long-established practice and ease of rapid recitation J67 0930 7 would allow. Words or phrases that connoisseurs have J67 0940 6 admired as handsome or ironic or humorous must therefore J67 0950 4 lose merit and become regarded as mere inevitable time-servers, J67 0960 3 sometimes accurate and sometimes not. This observation J67 0970 1 too may have reference to Anglo-Saxon poetry. To the J67 0970 11 extent that a language is formulaic, its individual J67 0980 7 components must be regarded as no more distinguished J67 0990 5 than other cliches. J67 0990 8 W& F& Bryan suggests that certain kennings in Beowulf J67 1000 7 were selected sometimes for appropriateness and sometimes J67 1010 5 for ironic inappropriateness, but such a view would J67 1020 5 appear untenable unless it is denied that the language J67 1030 1 of Beowulf is formulaic. If the master of scops who J67 1030 11 was most responsible for the poem ever used kennings J67 1040 8 that were traditional, he was at least partly deprived J67 1050 6 of free will and not inclined towards shrewd and sophisticated J67 1060 3 misuse of speech elements. Once many significant phrases J67 1070 2 are found in theory or in recurrent practice to provide J67 1070 12 for prosodic necessity, they are not to be defended J67 1080 9 for their semantic properties in isolated contexts. J67 1090 4 It is false to be certain of having discovered in the J67 1100 3 language of Beowulf such effects as intentional irony. J67 1110 1 Yet, if the argument is turned awry, there may be J67 1110 11 found a great deal in Bryan's view, after all. A formulaic J67 1120 10 element need not be held meaningless merely because J67 1130 6 it was selected with little conscious reflection. Time-servers J67 1140 4 though the periphrastic expressions are, they may nevertheless J67 1150 4 be handsome or ironic or humorous. A long evolution J67 1160 1 in an oral tradition caused the poetic language of J67 1160 10 the heroic age to be based upon formulas that show J67 1170 9 the important qualities of things, and these formulas J67 1180 4 are therefore potentially rather than always actually J67 1190 1 accurate. True, we do not know how they were regarded J67 1190 11 in their day, but we need not believe the epic audience J67 1200 10 to have been more insensitive to the formulas than J67 1210 5 the numerous scholars of modern times who have read J67 1220 3 Germanic or Homeric poetry all their lives and still J67 1220 12 found much to admire in occasional occurrences of the J67 1230 9 most familiar phrases. Nouns and adjectives in a written J67 1240 7 tradition are chosen for the nonce; in an oral tradition J67 1250 5 they may be chosen for the entire epic corpus, and J67 1260 2 tend towards idealization rather than distinctive delineation. J67 1270 1 Reliance is therefore not to be placed upon the archaeological J67 1270 11 particulars in an oral poem; no-one today would hope J67 1280 10 to discover the unmistakable ruins of Heorot or the J67 1290 6 palace of Priam. A ship at dry-dock could be called J67 1300 4 a foamy-necked floater in Anglo-Saxon or a swift ship J67 1310 2 in Greek. Even when defenseless of weapons the Danes J67 1310 11 would be Gar-Dene (as their king is Hrothgar) and Priam J67 1320 10 would be |e|u|m|m|e|l|i|h|s. Achilles, like Siegfried J67 1330 4 in the Nibelungenlied, is potentially the swiftest J67 1340 5 of men and may accordingly be called swift-footed even J67 1350 6 when he stands idle. In Coriolanus the agnomen of Marcius J67 1360 5 is used deliberately and pointedly, but the Homeric J67 1370 2 epithets and the Anglo-Saxon kennings are used casually J67 1370 11 and recall to the hearer "a familiar story or situation J67 1380 10 or a useful or pleasant quality of the referent". The J67 1390 7 epic language was not entirely the servant of the poet; J67 1400 6 it was partly his master. The poet's intentions are J67 1410 3 difficult to discern and, except to biographers, unimportant; J67 1420 1 the language, however, is a proper object of scrutiny, J67 1420 10 and the effects of the language are palpable even if J67 1430 9 sometimes inevitable. J67 1440 1 Beowulf and the Homeric poems appear oral compositions. J67 1440 9 Yet they are written; at some stage in their evolution J67 1450 10 they were transcribed. Albert B& Lord suggests that J67 1460 6 the Homeric poems were dictated to a scribe by a minstrel J67 1470 7 who held in his mind the poems fully matured but did J67 1480 3 not himself possess the knowledge of writing since J67 1480 11 it would be useless to his guild, and Magoun argues J67 1500 9 that the Beowulf poet and Cynewulf may have dictated J67 1510 7 their verse in the same fashion. This explanation is J67 1520 4 attractive, but is vitiated at least in part by the J67 1530 2 observation that Cynewulf, though he used kennings J67 1530 9 in the traditional manner, was a literate man who four J67 1540 8 times inscribed his name by runes into his works. If J67 1550 5 Cynewulf was literate, the Beowulf poet may have been J67 1560 4 also, and so may the final redactor of the Iliad and J67 1570 1 the Odyssey. In lieu of the amanuensis to the blind J67 1570 11 or illiterate bard, one may conceive of a man who heard J67 1580 10 a vast store of oral poetry recited, and became intimately J67 1590 5 familiar with the established aids to poetizing, and J67 1600 4 himself wrote his own compositions or his edition of J67 1610 1 the compositions of the past. Other theories of origin J67 1610 10 are compatible with the formulaic theory: Beowulf may J67 1620 7 contain a design for terror, and the Iliad may have J67 1630 7 a vast hysteron-proteron pattern answering to a ceramic J67 1640 4 pattern produced during the Geometric Period in pottery. J67 1650 2 The account of the growth and final transcription of J67 1650 11 these epics rests partly, however, upon the degree J67 1660 8 to which they were formulaic. J67 1670 1 Carl Eduard Schmidt counted 1804 different lines J67 1670 8 repeated exactly in the two Homeric poems, and by increasing J67 1680 10 this figure so as to include lines repeated with very J67 1690 8 slight modifications he counted 2118 different lines J67 1700 4 used a total of 5612 times. Thus one line in five from J67 1710 3 the Iliad and the Odyssey is to be found somewhere J67 1720 1 else in the two poems. The ratio is thoroughly remarkable, J67 1720 11 because the lines are so long- half again as long as J67 1730 10 those of Beowulf. Anglo-Saxon poetry appears to have J67 1740 5 no comparable amount of repetition; there is no reason J67 1750 5 to think that the scop used and re-used whole lines J67 1760 1 and even lengthy passages after the manner of his Homeric J67 1760 11 colleague. In determining the extent to which any poem J67 1770 9 is formulaic it is idle, however, to inspect nothing J67 1780 5 besides lines repeated in their entirety, for a stock J67 1790 4 of line-fragments would be sufficient to permit the J67 1790 13 poet to extemporize with deftness if they provided J67 1800 8 for prosodic needs. The closest scrutiny is owed to J67 1810 7 the Anglo-Saxon kennings and the Homeric epithets; J67 1820 2 if any words or phrases are formulaic, they will be. J67 1830 1 The Iliad has two words for the shield, |a|s|p|i|s J67 1840 1 and |s|a|k|o|s. J68 0010 1 RECENT CRITICISM OF Great Expectations has tended to J68 0010 9 emphasize its symbolic and mythic content, to show, J68 0020 8 as M& D& Zabel has said of Dickens generally, that J68 0030 6 much of the novel's impact resides in its "allegoric J68 0040 4 insight and moral metaphor". J& H& Miller's excellent J68 0050 2 chapter on Great Expectations has lately illustrated J68 0060 1 how fruitfully that novel can be read from such a perspective. J68 0070 1 In his analysis, however, he touches upon but fails J68 0070 10 to explore an idea, generally neglected in discussions J68 0080 5 of the book, which I believe is central to its art- J68 0090 5 the importance of human hands as a recurring feature J68 0100 1 of the narrative. This essay seeks to make that exploration. J68 0100 11 Dickens was not for nothing the most theatrical J68 0110 9 of the great Victorian writers. He knew instinctively J68 0120 5 that next to voice and face an actor's hands are his J68 0130 5 most useful possession- that in fiction as in the theatre, J68 0140 4 gesture is an indispensable shorthand for individualizing J68 0150 1 character and dramatizing action and response. It is J68 0150 9 hardly accidental, therefore, that many of his most J68 0160 7 vivid figures do suggestive or eccentric things with J68 0170 4 their hands. In Great Expectations the hands become J68 0180 2 almost an obsession. Mr& Jaggers habitually bites his J68 0185 1 forefinger, a gesture which conveys both contempt and J68 0190 8 the inscrutable abstractedness that half fascinates, J68 0200 4 half terrifies all who have dealings with him. Miss J68 0210 2 Havisham's withered hands, heavy as if her unhappiness J68 0210 10 were somehow concentrated in them, move in restless J68 0220 8 self-pity between her broken heart and her walking J68 0230 6 stick. Pumblechook's "signature" is the perpetually J68 0240 4 extended glad hand. Wemmick reveals his self-satisfaction J68 0250 1 by regularly rubbing his hands together. Old Mr& Pocket's J68 0260 1 frantic response to life imprisonment with a useless, J68 0260 9 social-climbing wife is to "put his two hands into J68 0270 9 his disturbed hair" and "make an extraordinary effort J68 0280 4 to lift himself up by it", (23) whereas Joe Gargery J68 0290 3 endures the shrewish onslaughts of Mrs& Joe by apologetically J68 0300 1 drawing "the back of his hand across and across his J68 0300 11 nose". (7) J68 0310 2 Such mannerisms would be less worthy of remark, J68 0310 10 were it not that in Great Expectations, as in no other J68 0320 10 of Dickens' novels, hands serve as a leitmotif of plot J68 0330 8 and theme- a kind of unifying symbol or natural metaphor J68 0340 5 for the book's complex of human interrelationships J68 0350 1 and the values and attitudes that motivate them. Dickens J68 0360 1 not only reveals character through gesture, he makes J68 0360 9 hands a crucial element of the plot, a means of clarifying J68 0370 9 the structure of the novel by helping to define the J68 0380 6 hero's relations with all the major characters, and J68 0390 2 a device for ordering such diverse themes as guilt, J68 0390 11 pursuit, crime, greed, education, materialism, enslavement J68 0400 6 (by both people and institutions), friendship, romantic J68 0410 5 love, forgiveness, and redemption. We have only to J68 0420 5 think of Lady Macbeth or the policeman-murderer in J68 0430 2 Thomas Burke's famous story, "The Hands of Mr& Ottermole", J68 0440 1 to realize that hands often call up ideas of crime J68 0440 11 and punishment. So it is with Great Expectations, whether J68 0450 8 the hands be Orlick's as he strikes down Mrs& Gargery J68 0470 7 or Pip's as he steals a pie from her pantry. Such associations J68 0480 7 suit well with the gothic or mystery-story aspects J68 0490 4 of Dickens' novel, but, on a deeper plane, they relate J68 0500 2 to the themes of sin, guilt, and pursuit that have J68 0500 12 recently been analyzed by other critics. J68 0510 6 The novel opens with a fugitive convict frantically J68 0520 3 trying to avoid the nemesis of being "laid hands on"- J68 0530 1 (3) a mysterious figure who looks into Pip's frightened J68 0540 1 eyes in the churchyard "as if he were eluding the hands J68 0540 12 of the dead people, stretching up cautiously out of J68 0550 7 their graves, to get a twist upon his ankle and pull J68 0560 6 him in". (1) Magwitch terrifies Pip into stealing a J68 0570 3 pork pie for him by creating the image in the boy's J68 0570 14 imagination of a bogy man who may "softly creep **h J68 0580 10 his way to him and tear him open", (1) "imbruing his J68 0590 6 hands" (2) in him. As Pip agonizes over the theft that J68 0600 5 his own hands have committed, his guilty conscience J68 0610 1 projects itself upon the wooden finger of a local signpost, J68 0610 11 transforming it into "a phantom devoting me to the J68 0620 9 Hulks". (3) Held upside down in the graveyard, Pip J68 0630 7 clings in terror "with both hands" (1) to his convict; J68 0640 5 later he flees in panic from the family table just J68 0650 2 as his theft is about to be discovered and is blocked J68 0650 13 at the front door by a soldier who accusingly holds J68 0660 9 out a pair of handcuffs which he has brought to Gargery's J68 0670 6 forge for mending. Through such details Dickens indicates J68 0680 3 at the outset that guilt is a part of the ironic bond J68 0690 2 between Pip and Magwitch which is so unpredictably J68 0690 10 to alter both their lives. J68 0700 4 Since they commonly translate thoughts and feelings J68 0710 2 into deeds, hands naturally represent action, and since J68 0710 10 nearly half the characters in Great Expectations are J68 0720 8 of the underworld or closely allied to it, the linking J68 0730 8 of hands with crime or violence is not to be wondered J68 0740 6 at. Dickens, for excellent psychological reasons, never J68 0750 2 fully reveals Magwitch's felonious past, but Pip, at J68 0750 10 the convict's climactic reappearance in London, shrinks J68 0760 7 from clasping a hand which he fears "might be stained J68 0770 9 with blood". (39) Orlick slouches about the forge "like J68 0780 6 Cain" with "his hands in his pockets", (15) and when J68 0790 4 he shouts abuse at Mrs& Joe for objecting to his holiday, J68 0800 4 she claps her hands in a tantrum, beats them "upon J68 0800 14 her bosom and upon her knees", (15) and clenches them J68 0810 10 in her husband's hair. This last "rampage" is only J68 0820 7 the prelude to the vicious blow upon her head, "dealt J68 0830 6 by some unknown hand" (15) whose identity is later J68 0840 3 revealed not verbally but through a manual action- J68 0840 11 the tracing of Orlick's hammer upon a slate. Pip himself J68 0850 9 is to feel the terror of Orlick's "murderous hand" J68 0860 6 (53) in his secret rendezvous at the sluicehouse on J68 0870 5 the marshes. Dickens lays great emphasis on the hands J68 0880 3 in this scene. Orlick shakes his hand at Pip, bangs J68 0880 13 the table with his fist, draws his unclenched hand J68 0890 8 "across his mouth as if his mouth watered" for his J68 0900 6 victim, lets his hands hang "loose and heavy at his J68 0910 4 sides", and Pip observes him so intensely that he knows J68 0920 1 "of the slightest action of his fingers". (53) Orlick J68 0920 10 might almost be Magwitch's bogy man come alive, a figure J68 0930 9 of nemesis from Pip's phantasy of guilt. J68 0940 4 The scarred, disfigured wrists of Mr& Jaggers' housekeeper J68 0950 3 are the tell-tale marks of her sinister past, for her J68 0960 4 master, coolly exhibiting them to his dinner guests, J68 0960 12 makes a point of the "force of grip there is in these J68 0970 12 hands". (26) Jaggers' iron control over her ("**h she J68 0980 7 would remove her hands from any dish she put before J68 0990 6 him, hesitatingly, as if she dreaded his calling her J68 1000 2 back **h".) (26) rests on his having once got her acquitted J68 1010 1 of a murder charge by cleverly contriving her sleeves J68 1010 10 at the trial to conceal her strength and by passing J68 1020 7 off the lacerations on the backs of her hands as the J68 1030 6 scratches of brambles rather than of human fingernails. J68 1040 1 It is the similarity between Estella's hands and Molly's J68 1050 1 ("The action of her fingers was like the action of J68 1050 11 knitting") (48) that provides Pip with a vital clue J68 1060 8 to the real identity of both and establishes a symbolic J68 1070 4 connection between the underworld of crime and the J68 1080 2 genteel cruelty of Satis House. Finally, Magwitch's J68 1080 9 pursuit of Compeyson, his archenemy and betrayer, begins J68 1090 8 by his holding him in a vicelike grip on the river J68 1100 8 flats to frustrate his escape and culminates in his J68 1110 3 "laying his hand on his cloak to identify him", (54) J68 1120 1 thus precipitating the death-locked struggle in the J68 1120 9 water during which Compeyson drowns. Magwitch's hand J68 1130 5 here ironically becomes the agent of justice. J68 1140 3 But only in one of its aspects is Great Expectations J68 1150 1 a tale of violence, revenge, and retribution. Money, J68 1150 9 so important a theme elsewhere in Dickens, is here J68 1160 9 central, and hands are often associated in some way J68 1170 6 with the false values- acquisitiveness, snobbery, self-interest, J68 1180 4 hypocrisy, toadyism, irresponsibility, injustice- that J68 1190 4 attach to a society based upon the pursuit of wealth. J68 1195 1 Dickens suggests the economic evils of such a society J68 1200 8 on the first page of his novel in the description of J68 1210 8 Pip's five little dead brothers "who gave up trying J68 1220 5 to get a living exceedingly early in that universal J68 1230 1 struggle", who seemed to have "all been born on their J68 1230 11 backs with their hands in their trousers-pockets, and J68 1240 9 had never taken them out in this state of existence". J68 1250 6 (1) Pip's great expectations, his progress through J68 1260 3 illusion and disillusionment, turn, somewhat as they J68 1270 1 do for the naive hero of Dreiser's American Tragedy, J68 1270 10 upon the lure of genteel prosperity through unearned J68 1290 7 income- what Wemmick calls "portable property" and J68 1300 4 what Jaggers reproaches Pip for letting "slip through J68 1310 3 [his] fingers". (55) J68 1310 6 Since a gentleman must, if possible, avoid sullying J68 1320 6 them by work, his hands, as importantly as his accent, J68 1330 4 become the index of social status. Almost the first J68 1340 1 step in the corruption of Pip's values is the unworthy J68 1340 11 shame he feels when Estella cruelly remarks the coarseness J68 1350 8 of his hands: "They had never troubled me before, but J68 1360 7 they troubled me now, as vulgar appendages". (8) Pip J68 1370 4 imagines how Estella would look down upon Joe's hands, J68 1380 3 roughened by work in the smithy, and the deliberate J68 1380 12 contrast between her white hands and his blackened J68 1390 8 ones is made to symbolize the opposition of values J68 1400 5 between which Pip struggles- idleness and work, artificiality J68 1410 4 and naturalness, gentility and commonness, coldness J68 1420 1 and affection- in fact, between Satis House and the J68 1420 10 forge. When the snobbery that alienates Pip from Joe J68 1430 9 finally gives way before the deeper and stronger force J68 1440 6 of love, the reunion is marked by an embarrassed handshake J68 1450 3 at which Pip exclaims "No, don't wipe it off- for God's J68 1460 3 sake, give me your blackened hand"! (35) J68 1470 1 Pip's abject leave-taking of Miss Havisham, during J68 1470 9 which he kneels to kiss her hand, signalizes his homage J68 1480 8 to a supposed patroness who seems to be opening up J68 1490 6 for him a new world of glamour; when, on the journey J68 1500 2 to London that immediately follows, he pauses nostalgically J68 1510 1 to lay his hand upon the finger-post at the end of J68 1510 13 the village, the wooden pointer symbolically designates J68 1520 4 a spiritual frontier between innocence and the corruption J68 1530 4 of worldly vanity. Incidentally, one cannot miss the J68 1540 3 significance of this gesture, for Dickens reintroduces J68 1540 10 it associatively in Pip's mind at another moral and J68 1550 8 psychological crisis- his painful recognition, in a J68 1560 8 talk with Herbert Pocket, that his hopeless attachment J68 1570 3 to Estella is as self-destructive as it is romantic. J68 1580 1 In both cases the finger-post represents Pip's heightened J68 1580 10 awareness of contrary magnetisms. J68 1590 4 A variety of hand movements helps dramatize the J68 1600 3 moral climate of the fallen world Pip encounters beyond J68 1610 1 the forge. The vulturelike attendance of the Pocket J68 1610 9 family upon Miss Havisham is summed up in the hypocritical J68 1620 9 gestures of Miss Camilla Pocket, who puts her hand J68 1630 6 to her throat in a feigned spasm of grief-stricken J68 1640 3 choking, then lays it "upon her heaving bosom" with J68 1650 1 "an unnatural fortitude of manner", (11) and finally J68 1650 9 kisses it to Miss Havisham in a parody of the lady's J68 1660 9 own mannerism toward Estella. Pumblechook's hands throughout J68 1670 4 the novel serve to travesty greed and hypocritical J68 1680 3 self-aggrandizement. We first see him shaking Mrs& J68 1690 1 Joe's hand on discovering the sizable amount of the J68 1690 10 premium paid to her husband for Pip's indenture as J68 1700 8 an apprentice and later pumping Pip's hands "for the J68 1710 5 hundredth time at least" ("May I- may I-"?) (19) in J68 1720 7 effusive congratulation to Pip on his expectations. J68 1730 3 We take leave of Pumblechook as he gloats over Pip's J68 1740 1 loss of fortune, extending his hand "with a magnificently J68 1740 10 forgiving air" and exhibiting "the same fat five fingers", J68 1750 9 one of which he identifies with "the finger of Providence" J68 1760 8 and shakes at Pip in a canting imputation of the latter's J68 1770 8 "ingratitoode" and his own generosity as Pip's "earliest J68 1780 7 benefactor". (58) J68 1790 1 Pip first learns "the stupendous power of money" J68 1790 9 from the sycophantic tailor, Mr& Trabb, whose brutality J68 1800 7 to his boy helper exactly matches the financial resource J68 1820 4 of each new customer, and whose fawning hands touch J68 1830 3 "the outside of each elbow" (19) and "rub" Pip out J68 1840 3 of the shop. The respectability which money confers J68 1840 11 implies a different etiquette, and, upon taking up J68 1850 8 the life of a London gentleman, Pip must learn from J68 1860 5 Herbert Pocket that "the spoon is not generally used J68 1870 2 over-hand, but under". J69 0010 1 The following items may be specified in actual or symbolic J69 0010 11 form in the operands of those instructions which refer J69 0020 7 to the particular items: channel, unit, combined channel J69 0030 5 and unit, combined arm and file, unit record synchronizers, J69 0040 3 inquiry synchronizers, and alteration switches. The J69 0050 2 declarative operation ~EQU is used to equate symbolic J69 0050 10 names to item numbers (see page 85). J69 0060 7 _CONTINUATION CARDS_ J69 0060 9 Certain Autocoder statements make provision for J69 0070 5 more parameters than may be contained in the operand J69 0080 4 (columns 21-75) of a single line on the Autocoder coding J69 0090 2 sheet. When this is the case, the appropriate section J69 0090 11 of this manual will indicate that "Continuation Cards" J69 0100 7 may be used. Thus, when specifically permitted, the J69 0110 5 operand of a given line on the Autocoder coding sheet J69 0120 3 may be continued in the operand of from one to four J69 0130 2 additional lines which immediately follow. J69 0130 7 The label and operation columns must be blank and J69 0140 7 the continuation of the operand must begin in column J69 0150 5 21; i&e&, it must be left-justified in the operand J69 0160 2 column of the coding sheet. The operand need not extend J69 0160 12 across the entire operand column of either the header J69 0170 9 card or continuation cards but may end with the comma J69 0180 8 following any parameter. Remarks may appear to the J69 0190 4 right of the last parameter on each card provided they J69 0200 1 are separated from the operand by at least two blank J69 0200 11 spaces. J69 0200 12 Illustration of the use of continuation cards are J69 0210 8 included throughout the examples illustrating the various J69 0220 5 statements. J69 0220 6 If a continuation card follows a statement that J69 0230 6 does not permit continuation cards, the compiler will J69 0240 4 generate a ~NOP and issue an error message. Additional J69 0250 1 restrictions regarding the use of continuation cards J69 0250 8 with macro-instructions appear on page 106. J69 0260 5 #RESERVATION OF INDEX WORDS AND ELECTRONIC SWITCHES# J69 0270 3 The assignment of actual addresses to symbolic index J69 0280 2 word and electronic switch names occurs in Phase /3, J69 0280 11 of the Autocoder processor. The initial availability J69 0290 6 of index words and electronic switches is determined J69 0300 4 by a table which is included in the Compiler Systems J69 0310 2 Tape. This table originally indicates that index words J69 0320 1 1 through 96 and electronic switches 1 through 30 are J69 0320 11 available for assignment to symbolic references; index J69 0330 6 words 97 through 99 are not available. The initial J69 0340 5 setting of this table may be altered, however, as described J69 0350 3 in the 7070/7074 Data Processing System Bulletin "~IBM J69 0360 2 7070/7074 Compiler System: Operating Procedure", form J69 0370 2 ~J28-6105. J69 0370 4 During the first pass of Phase /3,, references to J69 0380 2 the actual addresses of index words and electronic J69 0380 10 switches are collected and the availability table is J69 0390 8 updated. At the end of this pass, the table indicates J69 0400 7 which index words and electronic switches are not available J69 0410 4 for assignment to symbolic references. J69 0420 1 Both index words and electronic switches may have J69 0420 9 been made unavailable before the start of assignment J69 0430 6 in one of the following ways: J69 0440 1 _1._ J69 0440 1 The initial setting of the availability table indicated J69 0440 9 that the index word or electronic switch was not available J69 0450 9 for assignment. J69 0460 1 _2._ J69 0460 1 The one- two-digit number of the index word or electronic J69 0460 13 switch was used in the operand of a symbolic machine J69 0470 10 instruction to specify indexing or as a parameter which J69 0480 7 is always an index word or electronic switch, e&g&, J69 0490 3 @ J69 0490 4 _3._ J69 0490 5 The one- or two-digit number of the index word or J69 0500 5 electronic switch was used in the operand of an ~EQU J69 0510 1 statement, e&g&, @ J69 0510 4 When the index words or electronic switches are J69 0520 3 reserved because of actual usage in the statements J69 0530 1 described above, the position or order of the statements J69 0530 10 within the program is not important; any such reference J69 0540 7 will make the index word or electronic switch unavailable J69 0550 5 at the end of this pass. J69 0550 11 During the assignment pass of Phase /3,, index words J69 0560 9 and electronic switches are reserved as they are encountered J69 0570 7 during assignment. Index words and electronic switches J69 0580 5 may be reserved in the following ways. The first two J69 0590 4 methods apply to both index words and electronic switches; J69 0600 1 the third applies only to index words. J69 0600 8 _1._ J69 0600 9 During the assignment pass, each instruction is J69 0610 5 examined for reference to the symbolic name of an index J69 0620 5 word or electronic switch. When such a reference is J69 0630 2 found, an actual address is assigned and the availability J69 0630 11 table is changed so that the assigned index word or J69 0640 9 switch is no longer available for later assignment. J69 0650 4 _2._ J69 0650 5 If the one- or two-digit address of an index word J69 0660 4 or electronic switch is used or is included in the J69 0660 14 operand of an ~XRESERVE or ~SRESERVE statement (see J69 0670 8 page 99), the corresponding index word or electronic J69 0680 8 switch is reserved. J69 0690 1 _3._ J69 0690 2 If a statement has been assigned an address in the J69 0690 12 index word area J69 0700 2 _A._ J69 0700 3 by means of an actual label or J69 0700 10 _B._ J69 0700 11 by means of an ORIGIN statement which refers to J69 0710 6 an actual address the corresponding index word will J69 0720 5 be reserved. These entries should normally appear at J69 0730 3 the beginning of the program or immediately following J69 0730 11 each ~LITORIGIN statement. Otherwise, symbolic names J69 0740 6 may have previously been assigned to these same index J69 0750 8 words. (This method does not apply to electronic switches.) J69 0760 6 The preceding methods allow efficient use of index J69 0770 5 words and electronic switches during a sectionalized J69 0780 1 or multi-phase program, particularly when used in conjunction J69 0790 1 with the ~LITORIGIN statement. Extreme caution should J69 0800 1 be used, however, to avoid the conflicting usage of J69 0800 10 an index word or electronic switch which may result J69 0810 5 from the assignment of more than one name or function J69 0820 4 to the same address. J69 0820 8 If the symbolic name or actual address of an index J69 0830 6 word or electronic switch appears or is included in J69 0840 2 the operand of an ~XRELEASE or ~SRELEASE statement J69 0850 2 (see page 101), the specified index word or electronic J69 0850 11 switch will again be made available, regardless of J69 0860 8 the method by which it was reserved. It will not, however, J69 0870 7 be used for symbolic assignment until all other index J69 0880 4 words or electronic switches have been assigned for J69 0890 1 the first time. J69 0890 4 If, at any time during the assignment pass, the J69 0900 2 compiler finds that there are no more index words available J69 0900 12 for assignment, the warning message "NO MORE INDEX J69 0910 7 WORDS AVAILABLE" will be placed in the object program J69 0920 8 listing, the table will be altered to show that index J69 0930 5 words 1 through 96 are available, and the assignment J69 0940 1 will continue as before. If the compiler finds that J69 0940 10 there are no more electronic switches available for J69 0950 7 assignment, the warning message "NO MORE ELECTRONIC J69 0960 4 SWITCHES AVAILABLE" will be placed in the object program J69 0970 4 listing, the table will be altered to show that electronic J69 0980 1 switches 1 through 30 are available, and assignment J69 0980 9 will continue as before. The resultant conflicting J69 0990 6 usage of index words or electronic switches may be J69 1000 4 avoided by reducing the number of symbolic names used, J69 1010 2 e&g&, through the proper use of the ~EQU, ~XRELEASE, J69 1020 1 or ~SRELEASE statements. J69 1020 4 As noted in Appendix ~C, index words 97 through J69 1030 6 99 are never available for assignment to symbolic names J69 1040 4 by the compiler; also, index words 93 through 96 may J69 1050 3 have been made unavailable for assignment. J69 1050 9 #DECLARATIVE STATEMENTS# J69 1060 2 Autocoder declarative statements provide the processor J69 1070 1 with the necessary information to complete the imperative J69 1070 9 operations properly. Declarative statements are never J69 1080 6 executed in the object program and should be separated J69 1090 5 from the program instruction area, placed preferably J69 1100 2 at its beginning or end. Otherwise, special care must J69 1100 11 be taken to branch around them so that the program J69 1110 10 will not attempt to execute something in a data area J69 1120 6 as an instruction. If the compiler does encounter such J69 1130 3 statements, a warning message will be issued. 7070/7074 J69 1140 1 Autocoder includes the following declarative statements: J69 1140 7 ~DA (Define Area), ~DC (Define Constant), ~DRDW (Define J69 1150 8 Record Definition Word), ~DSW (Define Switch), ~DLINE J69 1170 1 (Define Line), ~EQU (Equate), CODE, ~DTF (Define Tape J69 1180 2 File), ~DIOCS (Define Input/Output Control System), J69 1190 1 and ~DUF (Descriptive Entry for Unit Records). ~DA, J69 1190 9 ~DC, ~DTF, and ~DLINE require more than one entry. J69 1210 1 The ~DA statement is used to name and define the J69 1210 11 positions and length of fields within an area. The J69 1220 8 ~DC statement is used to name and enter constants into J69 1230 5 the object program. Since the 7070 and 7074 make use J69 1240 3 of record definition words (~RDWS) to read, write, J69 1240 11 move, and otherwise examine blocks of storage, the J69 1250 8 ~DA and ~DC statements provide the option of generating J69 1260 6 ~RDWS automatically. When so instructed, Autocoder J69 1270 5 will generate one or more ~RDWS and assign them successive J69 1280 5 locations immediately preceding the area(s) with which J69 1290 3 they are to be associated. An ~RDW will be of the form J69 1300 2 **f, where ~xxxx is the starting location of the area J69 1300 12 and ~yyyy is its ending location. These addresses are J69 1310 8 calculated automatically by the processor. J69 1320 4 In some cases, it may be more advantageous to assign J69 1330 3 locations to ~RDWS associated with ~DA and ~DC areas J69 1340 2 in some other part of storage, i&e&, not immediately J69 1340 11 preceding the ~DA or ~DC areas. The ~DRDW statement J69 1350 9 may be used for this purpose. The ~DRDW statement may J69 1360 9 also be used to generate an ~RDW defining any area J69 1370 7 specified by the programmer. J69 1380 1 As many as ten digital switches may be named and J69 1380 11 provided by the ~DSW statement for consideration by J69 1390 8 the ~SETSW and LOGIC macro-instructions. Each switch J69 1400 6 occupies one digit position in a word, can be set ON J69 1410 8 or OFF, and is considered as logically equivalent to J69 1420 5 an electronic switch. It cannot, however, be referred J69 1430 3 to by electronic switch commands, e&g&, ~ESN, ~BSN, J69 1440 1 etc&. An individual switch or the entire set of switches J69 1440 11 in a word may be tested or altered as desired. J69 1450 10 Through use of the ~DLINE statement, a means is J69 1460 7 provided for specifying both the editing of fields J69 1470 5 to be inserted in a print line area and the layout J69 1480 1 of the area itself. The area may include constant information J69 1480 11 supplied by the programmer. The area may also be provided J69 1490 10 with additional data during the running of the object J69 1500 8 program by means of ~EDMOV or MOVE macro-instructions. J69 1510 5 The declarative statement ~EQU permits the programmer J69 1520 5 to equate symbolic names to actual index words, electronic J69 1530 4 switches, arm and file numbers, tape channel and unit J69 1540 3 numbers, alteration switches, etc&, and to equate a J69 1540 11 symbol to another symbol or to an actual address. J69 1550 9 The ~DIOCS, ~DTF, and ~DUF statements are used when J69 1560 8 required by the Input/Output Control System. ~DIOCS J69 1570 4 is used to select the major methods of processing to J69 1580 5 be used, and to name the index words used by ~IOCS. J69 1590 3 Each tape file must be described by Tape File Specifications, J69 1600 1 produced by ~DTFS. In addition to information related J69 1610 1 to the file and its records, the File Specifications J69 1610 10 contain subroutine locations and the location of tape J69 1620 7 label information. A ~DUF entry must be supplied for J69 1630 6 every unit record file describing the type of file J69 1640 3 and the unit record equipment to be used. The ~DUF J69 1640 13 also supplies the locations of subroutines written J69 1650 7 by the user that are unique to the file. J69 1660 5 A full description of the ~DIOCS, ~DTF, and ~DUF J69 1670 4 statements is contained in the 7070 Data Processing J69 1680 1 system Bulletin "~IBM 7070 Input/Output Control System", J69 1690 1 form ~J28-6033-1. Brief descriptions of these three J69 1690 10 declarative statements and detailed descriptions of J69 1700 6 the formats and functions of each of the other 7070/7074 J69 1710 7 Autocoder declarative statements follow below. J69 1720 2 _~DIOCS- DEFINE INPUT/OUTPUT CONTROL SYSTEM_ J69 1730 1 When the Input/Output Control System is to be used J69 1730 9 in a program, a ~DIOCS statement must be used to select J69 1740 8 the major methods of processing to be used. This statement J69 1750 6 also allows the naming of the index words used by ~IOCS. J69 1760 5 _SOURCE PROGRAM FORMAT_ J69 1760 8 The basic format of the ~DIOCS statement is as follows: J69 1770 9 @ ANYLABEL is any symbolic label; it may be omitted. J69 1780 9 The entry ~DIOCS must be written exactly as shown. J69 1790 7 The first item in the operand, ~IOCSIXF, is used J69 1800 5 to specify the first ~IOCS index word for programs J69 1810 4 using tape files. This item may be a symbolic name J69 1820 2 or an actual one-digit or two-digit index word address J69 1820 13 in the range 3-94. If the first item in the operand J69 1830 10 is omitted, the symbolic name ~IOCSIXF will be assigned. J69 1840 5 When an actual index word or a symbolic address is J69 1850 4 specified, Autocoder will equate the name ~IOCSIXF J69 1860 1 to it. J69 1860 3 The second item in the operand, ~IOCSIXG, is used J69 1870 3 to specify the second ~IOCS index word for programs J69 1880 1 using tape files. This item may be a symbolic name J69 1880 11 or an actual one-digit or two-digit index word address J69 1890 7 in the range 3-94. If the second item in the operand J69 1900 5 is omitted, the symbolic name ~IOCSIXG will be assigned. J69 1910 4 When an actual index word or a symbolic address is J69 1920 2 specified, Autocoder will equate ~IOCSIXG to it. J70 0010 1 In the midwest, oxidation ponds are used extensively J70 0010 9 for the treatment of domestic sewage from suburban J70 0020 6 areas. The high cost of land and a few operational J70 0030 5 problems resulting from excessive loadings have created J70 0040 2 the need for a wastewater treatment system with the J70 0040 11 operational characteristics of the oxidation pond but J70 0050 7 with the ability to treat more organic matter per unit J70 0060 6 volume. J70 0060 7 Research at Fayette, Missouri on oxidation ponds J70 0070 4 has shown that the ~BOD in the treated effluent varied J70 0080 3 from 30 to 53 ~mg/~l with loadings from 8 to 120 ~lb J70 0090 3 ~BOD/day/acre. Since experience indicates that effluents J70 0100 1 from oxidation ponds do not create major problems at J70 0100 10 these ~BOD concentrations, the goal for the effluent J70 0110 7 quality of the accelerated treatment system was the J70 0120 5 same as from conventional oxidation ponds. Recent studies J70 0130 3 by Weston and Stack had indicated that a turbine aerator J70 0140 2 could be added to an oxidation pond to increase the J70 0140 12 rate of oxygen transfer. Their study showed that it J70 0150 7 was possible to transfer 3 to 4 ~lb of oxygen/~hr/~hp. J70 0160 6 O'Connor and Eckenfelder discussed the use of aerated J70 0170 6 lagoons for treating organic wastes. They indicated J70 0180 3 that a 4-day retention, aerated lagoon would give 60 J70 0190 1 to 76 per cent ~BOD reduction. Later, Eckenfelder increased J70 0200 1 the efficiency of treatment to between 75 and 85 per J70 0200 11 cent in the summer months. It appeared from the limited J70 0210 7 information available that the aerated lagoon might J70 0220 4 offer a satisfactory means of increasing the capacity J70 0230 1 of existing oxidation ponds as well as providing the J70 0230 10 same degree of treatment in a smaller volume. J70 0240 7 #RED BRIDGE SUBDIVISION# J70 0240 10 With the development of the Red Bridge Subdivision J70 0250 8 south of Kansas City, Missouri, the developer was faced J70 0260 6 with the problem of providing adequate sewage disposal. J70 0270 3 The sewage system from Kansas City was not expected J70 0280 2 to serve the Red Bridge area for several years. This J70 0280 12 necessitated the construction of temporary sewage treatment J70 0290 7 facilities with an expected life from 5 to 15 ~yr. J70 0300 9 For the initial development an oxidation pond was constructed J70 0310 5 as shown in Figure 1. The oxidation pond has a surface J70 0320 4 area of 4.77 acres and a depth of 4 ~ft. The pond is J70 0330 2 currently serving 1,230 persons or 260 persons per J70 0330 10 acre. In the summer of 1960 the oxidation pond became J70 0340 7 completely septic and emitted obnoxious odors. It was J70 0350 5 possible to maintain aerobic conditions in the pond J70 0360 2 by regular additions of sodium nitrate until the temperature J70 0360 11 decreased and the algae population changed from blue-green J70 0370 9 to green algae. J70 0380 1 The anaerobic conditions in the existing oxidation J70 0380 8 pond necessitated examination of other methods for J70 0390 7 supplying additional oxygen than by sodium nitrate. J70 0400 5 At the same time further expansion in the Red Bridge J70 0410 3 Subdivision required the construction of additional J70 0410 9 sewage treatment facilities. The large land areas required J70 0420 8 for oxidation ponds made this type of treatment financially J70 0430 8 unattractive to the developer. It was proposed that J70 0440 5 aerated lagoons be used to eliminate the problem at J70 0450 3 the existing oxidation ponds and to provide the necessary J70 0460 1 treatment for the additional development. J70 0460 6 #PILOT LAGOON# J70 0460 8 The lack of adequate data on the aerated lagoon system J70 0470 9 prompted the developer to construct an aerated lagoon J70 0480 6 pilot plant to determine its feasibility for treating J70 0490 3 domestic sewage. The pilot plant was a circular lagoon J70 0500 1 81 ~ft in ~diam at the surface and 65 ~ft in ~diam J70 0500 13 at the bottom, 4 ~ft below the surface, with a volume J70 0510 9 of 121,000 ~gal. The side slopes were coated with fiberglas J70 0520 7 matting coated with asphalt to prevent erosion. The J70 0530 4 pilot lagoon was located as shown in Figure 1 to serve J70 0540 3 the area just south of the existing housing area. The J70 0540 13 major contributor was a shopping center with houses J70 0550 8 being added to the system as the subdivision developed. J70 0560 5 The pilot lagoon was designed to handle the wastes J70 0570 3 from 314 persons with a 4-day aeration period. Initially, J70 0580 1 the wastewater would be entirely from the shopping J70 0580 9 center with the domestic sewage from the houses increasing J70 0590 7 over an 18-month period. This operation would permit J70 0600 4 evaluation of the pilot plant, with a slowly increasing J70 0610 2 load, over a reasonable period of time. J70 0610 9 The pilot plant was equipped with a 3-~hp turbine J70 0620 9 aerator (Figure 2). The aerator had a variable-speed J70 0630 6 drive to permit operation through a range of speeds. J70 0640 3 The sewage flow into the treatment plant was metered J70 0640 12 and continuously recorded on 24-~hr charts. The raw J70 0650 9 sewage was introduced directly under the turbine aerator J70 0660 6 to insure maximum mixing of the raw sewage with the J70 0670 5 aeration tank contents. The effluent was collected J70 0680 1 through two pipes and discharged to the Blue River J70 0680 10 through a surface drainage ditch. J70 0690 3 #ANALYSES# J70 0690 4 Composite samples were collected at weekly intervals. J70 0700 3 The long retention period and the complete mixing concept J70 0710 2 prevented rapid changes in either the mixed liquor J70 0710 10 or in the effluent. Weekly samples would make any changes J70 0720 7 more readily discernible than daily samples. The composite J70 0730 6 samples were normally collected over a 6-~hr period, J70 0740 6 but an occasional 24-~hr composite was made. Examination J70 0750 2 of the operations of the shopping center permitted J70 0750 10 correlation of the 6-~hr composite samples with 24-~hr J70 0760 10 operations. The data indicated that the organic load J70 0770 7 during the 6-~hr composites was essentially 50 per J70 0780 4 cent of the 24-~hr organic load. J70 0780 11 Grab samples were collected from the existing oxidation J70 0790 7 pond to determine its operating conditions. Efforts J70 0800 4 were made to take the grab samples at random periods J70 0810 3 so that the mass of data could be treated as a 6-~hr J70 0820 1 composite sample. A single 24-~hr composite sample J70 0820 9 indicated that the sewage flow pattern and characteristics J70 0830 6 were typical. J70 0830 8 #PILOT PLANT OPERATIONS# J70 0840 2 The ~BOD of the influent to the pilot plant varied J70 0850 1 between 110 and 710 ~mg/~l with an average of 350 ~mg/~l. J70 0860 1 This was equivalent to 240 ~mg/~l~BOD on a 24-~hr basis. J70 0860 12 The ~BOD of the raw sewage was typical of domestic J70 0870 10 sewage from a subdivision. The ~BOD in the effluent J70 0880 6 averaged 58 ~mg/~l, a 76-per cent reduction over the J70 0890 5 24-~hr period. Examination of the data in Table /1, J70 0900 4 shows that a few samples contributed to raising the J70 0900 13 effluent ~BOD. The periods of high effluent ~BOD occurred J70 0910 9 during cold periods when operational problems with J70 0920 7 the aerator resulted. Ice caused the aerator to overload, J70 0930 7 straining the drive belts. The slippage of the drive J70 0940 5 belts caused the aerator to slow down and reduce oxygen J70 0950 2 transfer as well as the mixing of the raw sewage. J70 0950 12 The organic loading on the unit averaged 32 ~lb J70 0960 9 of ~BOD/day or about 2 ~lb ~BOD/day/1,000 ~cu ~ft aeration J70 0970 7 capacity. Needless to say, the organic load was very J70 0980 8 low on a volumetric basis, but was 270 ~lb ~BOD/day/acre J70 0990 4 on a surface loading basis. It seems that the aerated J70 1000 3 lagoon was a very heavily loaded oxidation pond or J70 1000 12 a lightly loaded activated sludge system. J70 1010 5 The flow rate remained relatively constant during J70 1020 3 the winter months as shown in Table /1,. With the spring J70 1030 3 rains the flow rose rapidly due to infiltration in J70 1030 12 open sewers. As construction progresses, the volume J70 1040 7 of storm drainage will be sharply reduced. The retention J70 1050 6 period in the aerated lagoon ranged from 9.8 to 2.6 J70 1060 5 days, averaging 6.4 days. J70 1060 9 The large amount of vegetable grindings from the J70 1070 6 grocery store in the shopping center created a suspended J70 1080 4 solids problem. The vegetables were not readily metabolized J70 1090 1 by the bacteria in the aeration unit and tended to J70 1090 11 float on the surface. A skimming device at the effluent J70 1100 9 weir prevented loss of most of these light solids. J70 1110 6 The average volatile suspended solids in the effluent J70 1120 3 was 75 ~mg/~l while ~MLSS averaged 170 ~mg/~l volatile J70 1130 2 suspended solids. The average sludge age based on displacement J70 1140 1 of solids was calculated to be 14.5 days. The oxygen J70 1140 11 uptake rate in the mixed liquor averaged 0.8 ~mg/~l/~hr J70 1150 8 during the first four months of this study. Variations J70 1160 7 in aerator speeds during the latter two months of this J70 1170 5 study caused increased mixing and increased oxygen J70 1180 1 demand. The increase in oxygen uptake rates from 1.2 J70 1180 10 to 2.6 ~mg/~l/~hr which followed an increase in rotor J70 1190 7 speed was believed to be related to resuspension of J70 1200 6 solids which had settled at the lower rotor speeds. J70 1210 3 It appeared that most of the mixed liquor suspended J70 1210 12 solids were active microbial solids with the heavier, J70 1220 8 less active solids settling out. J70 1230 3 The suspended solids discharged in the effluent J70 1240 1 were found to be the major source of the ~BOD. Removal J70 1240 12 of the suspended solids by a membrane filter yielded J70 1250 7 an average effluent containing only 20 ~mg/~l ~BOD. J70 1260 5 The ~BOD in the drainage ditch receiving the pilot J70 1270 4 plant effluent averaged 12 ~mg/~l. This low ~BOD was J70 1280 2 due to removal of the excess suspended solids by sedimentation J70 1290 1 since the only dilution was surface runoff which was J70 1290 10 very low during this study. J70 1300 3 #MICROSCOPIC EXAMINATION# J70 1300 5 Routine microscopic examinations were made of the mixed J70 1310 6 liquor as indicated by McKinney and Gram for the various J70 1320 5 types of protozoa. It was found that the aerated lagoon J70 1330 3 was an activated sludge system rather than an oxidation J70 1340 1 pond. At no time were algae found in the mixed liquor. J70 1340 12 The bacteria formed typical activated sludge floc. J70 1350 6 The floc particles were all small as the heavier floc J70 1360 5 settled out. J70 1360 7 Initially, the flagellated protozoa predominated, J70 1370 3 but they soon gave way to the free swimming ciliated J70 1380 1 protozoa. As the temperature decreased, the number J70 1380 8 of free swimming ciliated protozoa decreased. Very J70 1390 5 little protozoa activity existed below 40`~F. When J70 1400 4 the temperature reached 32`~F all protozoan activity J70 1410 2 ceased; but as the temperature rose, the numbers of J70 1420 1 protozoa increased rapidly. Only once were stalked J70 1420 8 ciliates found in the mixed liquor. The predomination J70 1430 6 of free swimming ciliated protozoa is indicative of J70 1440 4 a high bacterial population. J70 1440 8 #OXYGEN TRANSFER# J70 1440 10 One of the important aspects of this study was to determine J70 1450 11 the oxygen transfer relationships of the mechanical J70 1460 6 aerator. Routine determinations were made for dissolved J70 1470 5 oxygen in the mixed liquor and for oxygen uptake rates. J70 1480 3 The data given in Table /2, show the routine operation J70 1490 1 of the aerator. The dissolved oxygen in the aeration J70 1490 10 unit was consistently high until January 29, 1961. J70 1500 6 An extended cold spell caused ice to build up on the J70 1510 7 aerator which was mounted on a floating platform and J70 1520 2 caused the entire platform to sink lower in the water. J70 1520 12 The added resistance to the rotor damaged the drive J70 1530 8 belts and reduced the oxygen transfer capacity. It J70 1540 4 was approximately one month before the belt problem J70 1550 2 was noticed and corrected, but at no time was there J70 1550 12 a deficiency of dissolved oxygen. J70 1560 4 A series of eight special tests were conducted at J70 1570 3 different rotor speeds to determine the oxygen transfer J70 1580 1 rate. Five of the tests were conducted with a polyethylene J70 1580 11 cover to simulate an ice cover. The rate of oxygen J70 1590 9 transfer at 1.0-~mg/~l dissolved oxygen concentration J70 1600 4 and 10`~C for various rotor speeds is given in Table J70 1610 5 /3,. The maximum rate of oxygen transfer at 1.0 ~mg/~l J70 1620 2 dissolved oxygen was calculated as 220 ~lb/day at a J70 1620 11 maximum rate of 9.3 ~mg/~l/~hr. The actual power requirements J70 1630 9 indicated 2~lb oxygen transfer/~hr/~hp. The polyethylene J70 1640 6 cover reduced the oxygen transfer rate by 10 per cent, J70 1650 9 indicating that the maximum oxygen transfer is at the J70 1660 6 rotor rather than through the surface. J70 1660 12 #OXIDATION POND# J70 1670 2 During this study septic conditions developed in the J70 1680 1 oxidation pond in the spring when the ice melted. Shortly J70 1680 11 after this study ended septic conditions resulted which J70 1690 7 required the addition of sodium nitrate. The location J70 1700 5 of the oxidation pond in a high-value residential area J70 1710 3 makes odor nuisances a sensitive problem for the developer. J70 1720 1 The organic concentration in the influent raw sewage J70 1720 9 ranged from 160 to 270 ~mg/~l of ~BOD with an average J70 1730 10 of 230 ~mg/~l. The ~BOD data are given in Table /4,. J70 1740 9 A single 24-~hr composite sample had a ~BOD of 260 J70 1750 7 ~mg/~l, indicating a typical domestic sewage. The daily J70 1760 5 sewage volume to the oxidation pond averaged 147,000 J70 1770 2 ~gpd, giving a retention period of 42 days. The organic J70 1780 1 loading on the pond was slightly under 60~lb~BOD/day/acre. J70 1790 1 The effluent ~BOD averaged 34 ~mg/~l, a little lower J70 1800 1 than that of the study at Fayette indicated for a loading J70 1800 12 of 60~lb ~BOD/day/acre. The ~BOD of the effluent ranged J70 1810 8 from a minimum of 13 to a maximum of 47~mg/~l. Microscopic J70 1820 10 examination of the effluent showed that minimum ~BOD J70 1830 7 occurred when the algae began to decrease with cold J70 1840 5 weather. When the algae began to build up again, the J70 1850 3 effluent ~BOD rose. During the two weeks when the algae J70 1860 1 disappeared from the effluent ~BOD's in the effluent J70 1860 9 were 18 and 16 ~mg/~l. J71 0010 1 Thus, the three main categories of antisubmarine J71 0010 8 warfare operations are defense of shipping, defense J71 0020 6 of naval forces, and area defense. The last category J71 0030 4 overlaps the others in amphibious operations and near J71 0040 2 terminals and bases. J71 0040 5 To effect these operations, five elements exist J71 0050 2 (1) surface, (2) air, (3) mines, (4) submarine, and J71 0050 11 (5) fixed installations. Surface forces have been used J71 0060 8 to provide defense zones around naval and merchant J71 0070 6 ship formations, air to furnish area surveillance, J71 0080 2 and mines for protection of limited areas. Submarines J71 0080 10 and shore installations are new elements. The submarine J71 0090 8 now has a definite place in submarine defense particularly J71 0100 6 in denying enemy access to ocean areas. Fixed installations J71 0110 5 offer possibilities for area detection. Mine warfare J71 0120 3 is being reoriented against submarine targets. J71 0130 1 A sixth element, not always considered, is intelligence. J71 0130 9 It includes operational intelligence of the enemy and J71 0140 7 knowledge of the environment. Operational intelligence J71 0150 3 presumably will be available from our national intelligence J71 0160 3 agencies; intelligence on the environment will come J71 0170 2 from the recently augmented program in oceanography. J71 0170 9 The major postwar development is the certainty that J71 0180 7 these elements should not be considered singly but J71 0190 4 in combination and as being mutually supporting. J71 0200 1 #NECESSITY FOR AN OVER-ALL CONCEPT# J71 0200 7 Thinking on submarine defense has not always been clear-cut. J71 0210 7 Proponents of single elements tend to ensure predominance J71 0220 4 of that element without determining if it is justified, J71 0230 1 and the element with the most enthusiastic and vociferous J71 0230 10 proponents has assumed the greatest importance. Consequently, J71 0240 7 air, surface, and submarine elements overshadow the J71 0250 6 mine, fixed installations, and intelligence. These J71 0260 4 have sought more and more of what they have. Each seems J71 0270 3 to strive for elimination of the necessity for the J71 0270 12 others. This, despite postwar experience demonstrating J71 0280 6 that all elements are necessarily mutually supporting. J71 0290 4 Thus, the most productive areas are not necessarily J71 0300 3 the most stressed. This is stated to emphasize the J71 0300 12 necessity for an over-all concept of submarine defense, J71 0310 9 one which would provide positions of relative importance J71 0320 6 to ~ASW elements based on projected potentialities. J71 0330 3 Then the enthusiasm and energy of all elements can J71 0340 2 be channeled to produce cumulative progress toward J71 0340 9 a common objective. An over-all concept would have J71 0350 8 other advantages. It would allow presentation to the J71 0360 5 public of a unified approach. Now the problem is presented J71 0370 3 piecemeal and sometimes contradictorily. While one J71 0375 1 element is announcing progress, another is delineating J71 0380 7 its problems. The result can only be confusion in the J71 0390 8 public mind. A unified concept can serve as a guide J71 0400 6 to budgeting and, if public support is gained, will J71 0410 1 command Congressional support. Industry's main criticism J71 0410 7 of the Navy's antisubmarine effort is that it cannot J71 0420 8 determine where any one company or industry can apply J71 0430 7 its skills and know-how. Lacking guidance, industry J71 0440 2 picks its own areas. The result, coupled with the salesmanship J71 0450 1 for which American industry is famous, is considerable J71 0450 9 expenditure of funds and efforts in marginal areas. J71 0460 8 An over-all concept will guide industry where available J71 0470 6 talents and facilities will yield greatest dividends. J71 0480 3 Therefore, a broad concept of over-all submarine defense J71 0490 2 is needed for co-ordination of the Navy's efforts, J71 0490 11 for a logical presentation to the public, for industry's J71 0500 7 guidance, and as a basis for a program to the Congress. J71 0510 8 #PRINCIPLES INVOLVED IN AN OVER-ALL CONCEPT# J71 0520 2 That which follows will be a discussion of principles J71 0530 1 and possible content for an over-all concept of antisubmarine J71 0530 11 warfare. Russia possesses the preponderance of submarines J71 0540 7 in the world, divided between her various fleets. Some J71 0550 6 are also in Albania and others are on loan to Egypt. J71 0560 6 Other countries which may willingly or unwillingly J71 0570 1 become Communist can furnish bases. Communist target J71 0570 8 areas can be assumed, but there is no certainty that J71 0580 9 such assumptions coincide with Soviet intentions. Attack J71 0590 5 can come from almost any direction against many locations. J71 0600 3 Logically, then, the first principle of the plan must J71 0610 2 be that it is not rigidly oriented toward any geographical J71 0610 12 area. J71 0620 1 It is often stated that the submarine can be destroyed J71 0620 11 while building, at bases, in transit, and on station. J71 0630 9 Destruction of the enemy's building and base complex, J71 0640 5 however, requires attacks on enemy territory, which J71 0650 3 is possible only in event of all-out hostilities. In J71 0660 1 transit or on station, it may not be possible to attack J71 0660 12 the submarines until commission of an overt act. The J71 0670 8 Communists are adept at utilizing hostilities short J71 0680 3 of general war and will do so whenever it is to their J71 0690 3 advantage. Therefore the second principle of the plan J71 0690 11 must be that, while providing for all-out hostilities, J71 0700 8 its effectiveness is not dependent on general war. J71 0710 6 Antisubmarine warfare does not involve clashes between J71 0720 3 large opposing forces, with the decision a result of J71 0730 2 a single battle. It is a war of attrition, of single J71 0730 13 actions, of an exchange of losses. This exchange must J71 0740 9 result in our ending up with some effective units. J71 0750 5 Initially, having fewer units of some elements- especially J71 0760 4 submarines- than the opponent, our capabilities need J71 0770 1 to be sufficiently greater than theirs, so that the J71 0770 10 exchange will be in our favor. Therefore, the third J71 0780 8 principle of the plan must be that it does not depend J71 0790 5 for effectiveness on engagement by the same types, J71 0800 1 unless at an assured favorable exchange rate. J71 0800 8 The submarine has increased its effectiveness by J71 0810 6 several orders of magnitude since World War /2,. Its J71 0820 5 speed has increased, it operates at increasingly greater J71 0830 2 depths, its submerged endurance is becoming unlimited, J71 0830 9 and it will become even more silent. The next developments J71 0840 10 will probably be in weaponry. The missile can gradually J71 0850 8 be expected to replace the torpedo. As detection ranges J71 0860 5 increase, weapons will be developed to attack other J71 0870 3 submarines and surface craft at these ranges. Therefore, J71 0880 1 the fourth principle of the plan must be that it provide J71 0880 12 for continuously increasing capabilities in the opponent. J71 0890 6 No element can accomplish the total objective of J71 0900 5 submarine defense. Some elements support the others, J71 0920 1 but all have limitations. Some limitations of one element J71 0930 1 can be compensated for by a capability of another. J71 0930 10 Elements used in combination will increase the over-all J71 0940 8 capability more than the sum of the capabilities of J71 0950 5 the individual elements. Therefore, the plan's fifth J71 0960 2 principle must be that it capitalize on the capabilities J71 0960 11 of all elements in combination. J71 0970 5 Conceivably the submarine defense problem can be J71 0980 4 solved by sufficient forces. Numbers would be astronomical J71 0990 1 and current fiscal policies make this an impractical J71 0990 9 solution. Shipbuilding, aircraft procurement, and weapon J71 1000 6 programs indicate that there will not be enough of J71 1010 7 anything. Therefore, any measures taken in peacetime J71 1020 3 which will decrease force requirements in war will J71 1020 11 contribute greatly to success when hostilities occur. J71 1030 7 Therefore, the sixth principle of the plan must be J71 1040 7 that it concentrate on current measures which will J71 1050 3 reduce future force requirements. J71 1050 7 The world is constantly changing; what was new yesterday J71 1060 6 is obsolescent today. The seventh principle of the J71 1070 5 plan is self-evident; it must be flexible enough to J71 1080 2 allow for technological breakthroughs, scientific progress, J71 1080 8 and changes in world conditions. J71 1090 5 #SUPPORTING ELEMENTS IN ~ASW OPERATIONS# J71 1100 1 To this point the need for an over-all plan for submarine J71 1100 13 defense has been demonstrated, the mission has been J71 1110 8 stated, broad principles delineating its content laid J71 1120 5 down, and the supporting elements listed. Before considering J71 1130 3 these elements in more detail, an additional requirement J71 1140 2 should be stated. Large area coverage will accomplish J71 1140 10 all other tasks. Therefore, because reduction in tasks J71 1150 8 results in reduction of forces required, the plan should J71 1160 7 provide for expanding area coverage. But it must be J71 1170 5 remembered that the plan should not be oriented geographically. J71 1180 2 Consequently, the system giving area coverage (if such J71 1190 1 coverage is less than world wide) must be flexible J71 1190 10 and hence at least partially mobile. Since effective J71 1200 5 area coverage appears fairly remote, the requirement J71 1210 3 can be borne in mind while considering the elements: J71 1220 1 air, surface, sub-surface, fixed installations, mines, J71 1220 8 and intelligence. These are arranged approximately J71 1230 5 in the order of the vociferousness of their proponents J71 1240 4 but will be discussed in the reverse order in the hope J71 1250 4 that the true order of importance will result. J71 1250 12 ## J71 1250 13 Intelligence, as used herein, will include information J71 1260 7 on possible opponents and on the environment which J71 1270 7 can affect operations. These can be referred to as J71 1280 5 operational intelligence and environmental intelligence. J71 1290 1 In submarine defense these must have maximum stress. J71 1290 9 Good operational intelligence can ensure sound planning, J71 1300 6 greatly reduce force requirements, and increase tactical J71 1310 4 effectiveness. Environmental intelligence is just as J71 1320 4 important. The ocean presently co-operates with the J71 1330 1 target. Full knowledge of the science of oceanography J71 1330 9 can bring the environment to our side, resulting in J71 1340 7 an increase in effectiveness of equipment and tactics, J71 1350 4 a decrease in enemy capabilities, and the development J71 1360 1 of methods of capitalizing on the environment. Therefore, J71 1360 9 improved intelligence will result in reduced force J71 1370 7 requirements and, as it supports all other elements, J71 1380 6 rates a top priority. Gathering intelligence is important, J71 1390 3 but of equal importance is its translation into usable J71 1400 2 form. J71 1400 3 A program is needed to translate the results of J71 1400 12 oceanographic research into tactical and operating J71 1410 6 instructions. Approaching this problem on a statistical J71 1420 6 basis is invalid, because the opponent has the same J71 1430 4 sources available and will be encountered not under J71 1440 1 average conditions, but under the conditions most advantageous J71 1440 9 to him. Therefore, the on-the-scene commander must J71 1450 8 have detailed operating instructions based on measurement J71 1460 5 of conditions, in the area, at the time of encounter. J71 1470 3 All capabilities must be used to maximum advantage J71 1480 1 then. Temperature, wind, oxygen content, depth, bottom J71 1480 8 character, and animal life are the chief environmental J71 1490 7 variables. There may be others. Variations in sound J71 1500 4 velocity should be measured rather than temperature, J71 1510 1 because more of the variables would be encompassed. J71 1510 9 These variations must eventually be measured horizontally J71 1520 6 as well as vertically. Progress in predicting water J71 1530 5 conditions is encouraging, but little guidance is available J71 1540 4 to the man at sea on the use of such information. A J71 1550 2 concurrent effort is needed to make oceanographic data J71 1550 10 useful on the spot. J71 1560 3 ## J71 1560 4 Mine warfare has in the past been directed against J71 1570 1 surface targets. By its nature it has always been of J71 1570 11 great psychological advantage and small efforts have J71 1580 6 required considerably greater counter-efforts. Mines J71 1590 4 are being increasingly oriented against submarine targets. J71 1600 2 They are still considered to be for use in restricted J71 1600 12 waters, however, and targets must come within a few J71 1610 9 yards of them. Mines need to be recognized as a major J71 1620 8 element in anti-submarine warfare employment, extended J71 1630 2 to deep water, and have their effective area per unit J71 1640 1 increased. Mines can be used to deny access to great J71 1640 11 areas; they are difficult to counter, cost little to J71 1650 8 maintain until required, and can be put into place J71 1660 6 quickly. A most attractive feature is that detection J71 1670 1 and attack are combined in a single package. Effective J71 1670 10 employment will reduce force requirements. J71 1680 5 For example, effective mine barriers from Florida J71 1690 4 to Cuba and across the Yucatan Channel from Cuba to J71 1700 3 Mexico would remove all requirements for harbor defense, J71 1710 1 inshore patrol, convoy escort, shipping control, and J71 1710 8 mine defense for the entire Gulf of Mexico. More extended J71 1720 8 systems, covering all passage into the Caribbean, would J71 1730 5 free the Caribbean and the Gulf of Mexico from the J71 1740 3 previously listed requirements. Systems covering the J71 1740 9 Gulf of St& Lawrence and possibly the entire coasts J71 1750 9 of the United States are not impossible. Such mine J71 1760 7 defense systems could permit concentration of mobile J71 1770 3 forces in the open oceans with consequent increase J71 1780 1 in the probability of success. The advantages inherent J71 1780 9 in mine warfare justify as great an importance for J71 1790 7 this element as is accorded any of the other elements. J71 1800 5 ## J71 1800 6 Fixed installations are increasingly advocated as the J71 1810 4 problem of area defense emerges. The proponents are J71 1820 2 scientific and technical men who exercise considerable J71 1820 9 influence on their military counterparts. Systems which J71 1830 7 detect submarines over wide areas are attractive, although J71 1840 6 they can be only "burglar alarms". Mobile forces are J71 1850 4 required to localize and attack detected targets, since J71 1860 2 the systems are not capable of pinpointing a target. J71 1860 11 Such systems are expensive and are oriented geographically. J71 1870 7 In an over-all ~ASW concept, dependence on and effort J71 1880 7 expended for such systems should be limited to those J71 1890 6 with proven capabilities. No general installation should J71 1900 2 be made until a model installation has been proved J71 1900 11 and its maximum capability determined. In addition, J71 1910 7 proposals for fixed installations should be carefully J71 1920 4 weighed against a counterpart mobile system. For fixed J71 1930 4 installations will always lack the flexibility that J71 1940 1 should be inherent in naval systems. J71 1940 7 ## J71 1940 8 The submarine has become increasingly attractive as J71 1950 4 an antisubmarine weapon system. It operates in its J71 1960 3 target's environment, and any advantage gained therefrom J71 1970 1 by the target is shared by the attacker. But the submarine J71 1970 12 is a weapon of ambush and therefore always in danger J71 1980 8 of being ambushed. J72 0010 1 Two metabolites (/1, and /2,) of ~p-aminobenzoic acid J72 0010 10 (~PABA) which act as cofactors for the hydroxylation J72 0020 8 of aniline by acid-fast bacteria are biosynthesized J72 0030 4 from ~PABA. The 7 carbons of ~PABA are incorporated J72 0040 3 directly into metabolite /2, (as shown with both ring-labeled J72 0050 4 and carboxy-labeled **f). Thirty-five of the 36 carbon J72 0060 2 atoms arise from ~PABA. All 28 carbons of metabolite J72 0060 11 /1, (a product of mild acid hydrolysis of /2,) arise J72 0070 10 from ~PABA. Metabolite /1, isolated from the medium, J72 0080 7 however, showed a lower specific activity, which indicates J72 0090 4 endogenous synthesis of this metabolite. J72 0100 1 Vigorous acid hydrolysis of metabolite /1, destroyed J72 0100 8 the biological activity of the compound and liberated J72 0110 8 two aryl amines. Fragment ~A has been obtained in crystalline J72 0120 8 form as a dioxalate salt and free base. Preliminary J72 0130 5 evidence tentatively indicates that the molecule (metabolite J72 0140 3 /1,) is cleaved at a secondary amide bond. (N& H& Sloane; J72 0150 3 chemical studies are being pursued with the cooperation J72 0160 1 of K&G& Untch.) J72 0160 4 _STUDIES ON ESTERASES_ J72 0160 7 - Research on esterases in mammalian sera was continued. J72 0170 8 One of the most interesting findings was the extreme J72 0180 5 sensitivity of plasma arylesterases to rare earth ions. J72 0190 4 The inhibition of the enzyme by very low concentrations J72 0200 1 of lanthanum ion is probably the strongest known biological J72 0200 10 effect of rare earth salts. Various metal ions have J72 0210 9 been found to protect plasma arylesterase against inactivation J72 0220 4 by urea and guanidine. The effects can be related to J72 0230 5 the structure of this -~SH enzyme. The non-identity J72 0240 1 of serum and red blood cell arylesterase was also established. J72 0250 1 Furthermore, the hydrolysis of paraoxon was studied J72 0250 8 in mammalian sera, and it was found that it is hydrolyzed J72 0260 10 by albumin (or a factor attached to it) in addition J72 0270 5 to arylesterase. Selective inhibitors can distinguish J72 0280 2 the two activities. Investigations on the acceleration J72 0280 9 of human plasma cholinesterase were carried further. J72 0290 7 (E& G& Erdo^s, L& E& Boggs, C& D& Mackey) J72 0310 1 _BIOPHYSICAL STUDIES ON MODIFIED FIBROUS PROTEINS_ J72 0310 4 - Electron-microscopical and physical-chemical methods J72 0320 2 were used to demonstrate the renaturation of heat-denatured J72 0330 1 collagen and ribonucleic acid. (R& V& Rice) J72 0330 8 A method was devised for extracting and purifying J72 0340 7 soluble earthworm collagen (~EWC). It was observed J72 0350 5 that ~EWC macromolecules are the same diameter (15~A) J72 0360 4 but much longer (up to several microns) than vertebrate J72 0370 2 tropocollagen. This unusual collagen also was shown J72 0370 9 to undergo a reversible thermal phase transformation. J72 0380 6 (R& V& Rice, M& D& Maser) J72 0390 3 _STUDIES ON PEPTIDES AND PEPTIDASES_ J72 0390 8 - This investigation involved several aspects. Substance J72 0400 5 ~Z, an active urinary peptide, was purified by extraction J72 0410 6 in organic solvents and repeated column chromatography; J72 0420 3 high-voltage electrophoresis and paper chromatography J72 0430 1 were used in preliminary structural studies; pharmacological J72 0440 1 effects in vitro on isolated surviving organs and in J72 0440 10 vivo on blood pressure were assayed; special equipment J72 0460 8 required for registering respiration and for recording J72 0470 5 the contraction of smooth muscles under various conditions J72 0480 4 was developed by the Instruments Section (Victor Jackman, J72 0490 3 W& C& Barnes, J& F& Reiss); and enzymes which terminate J72 0500 3 the action of peptides such as bradykinin and perhaps J72 0510 1 Substance ~Z were studied. Experiments are in progress J72 0510 9 to develop ultraviolet spectrophotometric techniques J72 0520 4 for assaying these enzymes and for studying their sensitivity J72 0530 6 to metal ions. (E& G& Erdo^s, C& D& Mackey, A& G& Renfrew, J72 0540 7 W& B& Severs, E& M& Sloane) J72 0550 4 _SEED PROTEINS_ J72 0550 6 - In a physiochemical study of seed proteins, the J72 0560 5 globulins of the Brazil nut have been investigated. J72 0570 1 In addition to the known principal globulin, excelsin, J72 0570 9 three other ultracentrifugally distinct components J72 0580 5 have been observed. A water-soluble protein of quite J72 0590 6 low molecular weight (ca& 10,000) has also been found J72 0600 4 in this system and partly characterized. (E& F& Casassa, J72 0610 2 H& J& Notarius) J72 0610 5 #CONTINUUM MECHANICS AND VISCOELASTICITY# J72 0620 1 _THEORY OF NON-NEWTONIAN FLUIDS_ J72 0620 6 - On the basis of a differentiability assumption J72 0630 4 in function space, it is possible to prove that, for J72 0640 3 materials having the property that the stress is given J72 0640 12 by a functional of the history of the deformation gradients, J72 0650 10 the classical theory of infinitesimal viscoelasticity J72 0660 5 is valid when the deformation has been infinitesimal J72 0670 4 for all times in the past. By strengthening the differentiability J72 0680 3 assumption, it has been possible to derive second and J72 0690 2 higher order theories of viscoelasticity. In the second-order J72 0700 1 theory, one of the normal stress differences can be J72 0700 10 calculated from the first-order stress relaxation function. J72 0710 6 (B& D& Coleman with Walter Noll, Department of Mathematics, J72 0720 6 Carnegie Institute of Technology) J72 0730 1 _VISCOELASTIC MEASUREMENTS_ J72 0730 3 - An extensive series of measurements was made on J72 0740 5 a high-density polyethylene in a torsion pendulum instrument J72 0750 2 using forced sinusoidal oscillation, free vibration, J72 0750 8 and creep measurements over the temperature range of J72 0760 8 **f to 80`C&. As many as seven decades of the time J72 0770 9 scale were thus covered isothermally. The simple time-temperature J72 0780 5 equivalence valid for many amorphous systems did not J72 0790 4 hold here. It was possible, however, to decompose the J72 0800 2 compliance into a sum of a frequency-independent component J72 0800 11 and two viscoelastic mechanisms, each compatible with J72 0810 6 the Boltzmann superposition principle and with a consistent J72 0820 6 set of time-temperature equivalence factors. (Hershel J72 0830 3 Markovitz, D&J& Plazek, Haruo Nakayasu) J72 0840 1 #GEOCHEMISTRY# J72 0850 1 _TRACE ELEMENTS IN TEKTITES, METEORITES, AND RELATED J72 0850 1 MATERIALS_ J72 0850 1 - The results of microanalysis of tektites (natural J72 0860 1 glasses of unknown origin) for gallium and germanium J72 0860 9 have shown that these glasses are probably produced J72 0870 6 from terrestrial (or less likely from lunar) matter J72 0880 4 by impact of a celestial body. The gallium/germanium J72 0890 1 ratio is higher than that for ordinary igneous, metamorphic, J72 0890 10 or sedimentary matter as a result of selective volatilization J72 0900 8 of the components of the tektite. Gallium oxide is J72 0910 7 less volatile than silica (the main constituent of J72 0920 4 tektites) and germanium oxide is more volatile. Australites J72 0930 1 (tektites from Australia) give the appearance of a J72 0930 9 second melting. In conformity with this conclusion J72 0940 7 a higher trace gallium content was found in the portion J72 0950 7 (flange) that has undergone a second melting. The silicate J72 0960 4 fractions of stony meteorites show gallium/germanium J72 0970 1 ratios similar to those of tektites because they too J72 0970 10 have undergone melting at some point in their histories. J72 0980 8 Libyan Desert silica-glass, another natural glass, J72 0990 4 is composed of nearly pure silica and has the same J72 1000 5 trace germanium content as sands in the area. The gallium J72 1010 1 content, however, has been enhanced five-fold. This J72 1010 9 glass is probably formed from Libyan Desert sands by J72 1020 7 comet or stony-meteorite impact. J72 1030 2 Nickel-iron meteorites with sufficient kinetic energy J72 1040 1 to produce large terrestrial-explosion craters may J72 1040 8 nevertheless melt only small quantities of material. J72 1050 5 Most of the impact energy is spent in crushing and J72 1060 4 fragmentation. When rapid quenching follows melting, J72 1070 1 impact glasses may result. These always contain metallic J72 1070 9 inclusions. Impact glasses not containing elemental J72 1080 6 nickel-iron may have been produced by stony meteorites J72 1090 5 or comets. No meteorites have ever been recovered from J72 1100 3 paleoexplosion craters, and recent craters containing J72 1110 1 impact glass have all been produced by metallic meteorites J72 1110 10 with the exception of Aouelloul crater, Adrar, Western J72 1120 6 Sahara Desert. This crater contains impact glass with J72 1130 6 no metallic inclusions and no meteoritic material has J72 1140 3 been recovered. (A& J& Cohen, John Anania) J72 1150 1 #INORGANIC CHEMISTRY# J72 1150 3 Preparation of a coordination compound is often accomplished J72 1160 2 by the simple method of reacting a metal salt with J72 1160 12 a ligand in a suitable solvent such as an alcohol. J72 1170 10 By applying this general principle, a great number J72 1180 5 of complex compounds of osmium, ruthenium, iridium, J72 1190 2 and rhenium, with triphenylphosphine, triphenylarsine, J72 1195 1 and triphenylstibine have been obtained in this laboratory J72 1200 7 during the past few years. (Lauri Vaska, E& M& Sloane, J72 1210 7 J& W& DiLuzio) In the absence of direct evidence to J72 1220 8 the contrary, decomposition of solvent alcohol and J72 1230 4 coordination of its fragments to the metal were not J72 1240 2 considered, following the above heretofore-accepted J72 1240 8 assumption in preparative coordination chemistry. Recent J72 1250 5 work with radiocarbon and deuterated alcohols as solvents, J72 1260 5 however, has given evidence that metal-hydrido and J72 1270 2 -carbonyl complexes may be readily formed by reaction J72 1280 1 with alcohol in some of these systems. Some of the J72 1280 11 previously reported compounds have thus been reformulated J72 1290 6 and a series of new hydrido and carbonyl compounds J72 1300 3 discovered, the more representative examples being J72 1310 1 **f, **f, **f, **f and **f (**f). J72 1310 8 The coordination complexes formed by transition J72 1320 4 metals with primary and secondary phosphines and arsines J72 1330 2 are being investigated (R& G& Hayter). Particular interest J72 1340 1 is directed towards the condensation of these ligands J72 1340 9 with metal halides to form substituted phosphide or J72 1350 7 arside complexes. During the past year, these ligands J72 1360 5 have yielded some unusual five-coordinate complexes J72 1370 1 of nickel (/2,) and some interesting binuclear phosphorus-bridged J72 1380 1 complexes of palladium (/2,) (see figure), as well J72 1380 9 as new compounds of the well-known type **f. The structures, J72 1390 9 properties, and reactions of these compounds are being J72 1400 6 studied. J72 1400 7 In another study chromium-substituted aluminum oxyhydroxides J72 1410 5 and related species, prepared homogeneously by high-temperature J72 1420 5 hydrolysis, are being characterized and investigated J72 1430 3 spectrally in the ultraviolet region with a view to J72 1440 2 identification and semiquantitative estimation of the J72 1440 8 phases formed under varying preparative conditions. J72 1450 5 (J& A& Laswick, N& L& Heatwole) J72 1460 2 #STRUCTURE AND PROPERTIES OF MACROMOLECULES# J72 1470 1 _ELASTICITY OF MACROMOLECULAR NETWORKS_ J72 1470 4 - The theory of elasticity of Gaussian networks J72 1480 3 has been developed on a more general basis and the J72 1490 1 equations of state relating variables of pressure, J72 1490 8 volume, temperature, stress and strain have been precisely J72 1500 7 formulated. Simple elongation has been treated in detail. J72 1510 6 The various stress-temperature coefficients for constancy J72 1520 3 of volume and strain, constancy of pressure and strain, J72 1530 1 and constancy of pressure and length have been interrelated. J72 1530 10 The dilation accompanying elongation and the simultaneously J72 1540 7 developed anisotropy of compressibility have been related J72 1550 6 to the elongation. In continuation of these theoretical J72 1560 4 studies, a more precise elucidation of the effects J72 1570 3 of imperfections in network structure is sought. (P& J72 1570 11 J& Flory, C& A& J& Hoeve) J72 1590 1 _CHAIN CONFORMATIONS OF POLYMERIC CHAINS_ J72 1590 1 - Recent theoretical work to calculate the dimensions J72 1600 1 of polymeric chains by Volkenstein and Lifson has been J72 1600 10 extended to include more general types of chains. The J72 1610 7 mean-square end-to-end distance of the polyisobutylene J72 1620 4 chain has been calculated in reasonable agreement with J72 1630 2 values deduced from viscosity data. These studies are J72 1630 10 being extended to different polymers to increase our J72 1640 8 knowledge about the hindrances to rotation around chain J72 1650 6 bonds. (C& A& J& Hoeve, A& A& Blumberg) J72 1670 1 _CRYSTALLIZATION IN POLYMERS AND COPOLYMERS_ J72 1670 3 - The crystallization of copolymers comprising **f J72 1670 9 units interspersed with a minor percentage of **f is J72 1680 8 limited by the inability of the crystal lattice characteristic J72 1690 4 of the former to accommodate the bulky side group of J72 1700 4 the latter. Only uninterrupted sequences of the former J72 1710 1 are eligible for formation of crystallites. Limitations J72 1710 8 on the lengths of these sequences diminish the stability J72 1720 7 of the comparatively short crystallites which can be J72 1730 5 formed, and this is reflected in a broadening of the J72 1740 3 melting range. (Robert Chiang, J& B& Jackson, P& J& J72 1750 2 Flory) Carefully executed melting studies on this system J72 1750 10 (M& J& Richardson) permit quantitative estimation of J72 1760 7 the instability engendered by reduced crystallite length. J72 1770 6 The complex morphology of polycrystalline homopolymers J72 1780 3 is necessarily dependent on the same factor. Hence, J72 1790 2 the present studies offer a possible basis for interpretations J72 1800 1 in the latter field. J72 1800 5 _CONTRACTION OF MUSCLE_ J72 1800 8 - Glycerinated muscle, in the presence of the physiological J72 1810 8 agent. (~ATP) responsible for delivering energy to J72 1820 5 the mechanochemically active proteins of muscle, has J72 1830 4 been shown to undergo a contraction which is highly J72 1830 13 sensitive both to temperature and to solvent composition J72 1840 8 in mixtures of alcohols and water. Experiments carried J72 1850 6 out over long periods of time in order to allow establishment J72 1860 6 of a steady state have shown that the onset of contraction J72 1870 4 and its completion are confined to an interval of several J72 1880 2 degrees Centigrade and to a concentration range of J72 1880 10 only several per cent. The contraction therefore partakes J72 1890 7 of the character of a phase transition. While ~ATP J72 1900 6 appears to be necessary for the occurrence of contraction, J72 1910 4 its presence and enzymatic hydrolysis of it by the J72 1920 3 muscle protein myosin are not the only criteria for J72 1920 12 contraction. (C& A& J& Hoeve, P& J& Flory) J72 1940 1 _ANIONIC POLYMERIZATION_ J72 1940 3 - One of the principal aims of anionic polymerization J72 1940 11 techniques is the synthesis of polymers of extremely J72 1950 8 narrow molecular weight distribution. A simple process J72 1960 5 for the preparation of nearly monodisperse polystyrene J72 1970 2 of predictable molecular weight has been developed. J72 1980 1 The preparation of such products is not new, but the J72 1980 11 systems heretofore employed in polymerizations have J72 1990 5 commanded considerable experimental skill and starting J72 2000 4 materials of a high purity. In the new process impurities J72 2010 2 present in the solvent (benzene), the monomer, and J72 2010 10 in the reaction system which would cause deactivation J72 2020 7 of propagation centers, are rendered inactive prior J72 2030 5 to polymerization by gradual addition of initiator, J72 2040 2 a mixture of butyl-lithium and telomeric styryl-lithium, J72 2040 11 at a temperature low enough to suppress chain growth. J72 2050 9 Upon completion of the purging step, additional initiator J72 2060 7 appropriate for the molecular weight of the sample J72 2070 5 desired is added, and the system is then warmed to J72 2080 2 the polymerization temperature, at which the reaction J72 2080 9 is allowed to go to completion. The predictability J72 2090 7 of the molecular weights was found to be within 10% J72 2100 6 for the polymers prepared, with **f ratios less than J72 2110 2 1.1. J72 2110 3 Contrary to observations with ethers, no apparent J72 2120 1 change of the reactivity of the chain ends takes place J72 2120 11 over considerable periods of time in benzene as solvent. J73 0010 1 _ORGANIZATION:_ J73 0010 2 In this publication measurements of interfacial J73 0020 1 angles of crystals are used to classify and identify J73 0020 10 chemical substances. T& V& Barker, who developed the J73 0030 7 classification-angle system, was about to begin the J73 0040 6 systematic compilation of the index when he died in J73 0050 3 1931. The compilation work was undertaken by a number J73 0050 12 of interested crystallographers in the Department of J73 0060 6 Mineralogy of the University Museum at Oxford. Since J73 0070 5 1948 the working headquarters has been the Department J73 0090 2 of Geology and Mineralogy. Numerous cooperating individuals J73 0100 1 in Great Britain, Holland, the United States, and Belgium J73 0110 1 have contributed editorially or by making calculations. J73 0110 8 Great interest and practical help have been given by J73 0120 8 the Barker Index Committee. Financial and material J73 0130 4 help have come from academic, governmental, and industrial J73 0140 2 organizations in England and Holland. Editors for Volumes J73 0150 1 /1, and /2, were M& W& Porter and the late R& C& Spiller, J73 0160 2 both of Oxford University. A third volume remains to J73 0160 11 be published. J73 0170 2 _SUBSTANCES:_ J73 0170 3 Volume /1, deals with 2991 compounds belonging to J73 0180 3 the tetragonal, hexagonal and trigonal, and orthorhombic J73 0190 1 systems; and Volume /2,, with about 3500 monoclinic J73 0190 9 substances. Volume /3,, in preparation, will treat J73 0200 7 the anorthic compounds described in Groth's CHEMISCHE J73 0210 4 KRYSTALLOGRAPHIE. J73 0220 1 _PROPERTIES:_ J73 0220 1 The Barker system is based on the use of the smallest J73 0220 12 number of interfacial angles necessary for indexing J73 0230 6 purposes. Other morphological, physical, and optical J73 0240 4 property values are also given. J73 0250 1 _SOURCES OF DATA:_ J73 0250 3 The index is essentially a new treatment of previously J73 0260 1 compiled morphological data. Most of the data used J73 0260 9 are from Groth's CHEMISCHE KRYSTALLOGRAPHIE. J73 0270 3 _CRITICALITY:_ J73 0270 4 Every calculation has been made independently by J73 0280 6 two workers and checked by one of the editors. J73 0300 1 _USE OF NOMENCLATURE, SYMBOLS, UNITS, PHYSICAL CONSTANTS:_ J73 0300 1 Accepted crystallographic symbolism has been used; J73 0300 7 other symbols related to the index necessarily have J73 0310 8 been introduced. J73 0320 1 _CURRENCY:_ J73 0320 1 This publication covers the old literature (Groth); J73 0320 8 there is no mechanism for keeping the volumes up to J73 0330 10 date. J73 0340 1 _FORMAT:_ J73 0340 1 The publication form is that of clothbound books. J73 0340 9 The data are presented in lists and tables. Part 1 J73 0350 7 in both volumes is labeled "Introduction and Tables". J73 0360 3 The tables include those for the classification angles, J73 0370 2 refractive indices, and melting points of the various J73 0370 10 types of crystals. Part 2 of Volume /1, and Parts 2 J73 0380 11 and 3 of Volume /2, contain the crystal descriptions. J73 0390 6 These are grouped into sections according to the crystal J73 0400 5 system, and within each section compounds are arranged J73 0410 3 in the same order as in Groth's CHEMISCHE KRYSTALLOGRAPHIE. J73 0420 1 An alphabetical list of chemical and mineralogical J73 0420 8 names with reference numbers enables one to find a J73 0430 9 particular crystal description. References to the data J73 0440 5 sources are given in the crystal descriptions. J73 0450 1 _PUBLICATION AND DISTRIBUTION:_ J73 0450 4 The BARKER INDEX is published for the Barker Index J73 0460 7 Committee by W& Heffer + Sons, Ltd&, 3-4 Petty Cury, J73 0470 6 Cambridge, England. Volume /1, containing Parts 1 and J73 0480 4 2 was published in 1951; Volume /2,, in three parts, J73 0490 2 in 1956. The two volumes are available from the publisher J73 0500 1 for $16.80 and $28.00, respectively. J73 0500 6 #/2,-2. CRYSTAL DATA# J73 0510 1 _ORGANIZATION:_ J73 0510 1 The present edition of CRYSTAL DATA was written J73 0520 1 by J&D&H& Donnay, the Johns Hopkins University, Baltimore, J73 0530 1 Md& (Part /2,) and Werner Nowacki, University of Berne, J73 0540 1 Switzerland (Part /1,) with the collaboration of Gabrielle J73 0540 9 Donnay, U& S& Geological Survey, Washington, D& C&. J73 0550 8 Many collaborators in the United States and Switzerland J73 0560 7 helped in collecting and assembling data, in making J73 0570 6 calculations, and in editing. Support came from academic J73 0580 4 and industrial groups in these two countries. The Geological J73 0590 2 Society of America gave a grant-in-aid to complete J73 0590 12 the work and bore the expenses of publication. Preparation J73 0600 9 of a second edition is in progress under the sponsorship J73 0610 8 of the Crystal Data Committee of the American Crystallographic J73 0620 5 Association. Coeditors are J&D&H& Donnay, G& E& Cox J73 0630 6 of Leeds University, and Olga Kennard of the National J73 0640 6 Council for Medical Research, London. Financial grants J73 0650 3 have been received from the National Science Foundation J73 0660 2 and the (British) Institute of Physics for the compilation J73 0670 1 work and the publication costs. The continuity of the J73 0670 10 project is suggested by plans for an eventual third J73 0680 8 edition. J73 0680 9 _SUBSTANCES:_ J73 0690 1 Elements, alloys, inorganic and organic compounds. J73 0690 6 (Metal data will not be included in the second edition, J73 0700 8 since these have been collected independently by W& J73 0710 4 B& Pearson, National Research Council, Ottawa, and J73 0720 3 published as A HANDBOOK OF LATTICE SPACINGS AND STRUCTURES J73 0730 1 OF METALS AND ALLOYS by Pergamon Press.) J73 0740 1 _PROPERTIES:_ J73 0740 1 Crystallographic data resulting mainly from ~X-ray J73 0740 8 and electron diffraction measurements are presented. J73 0750 5 Cell dimensions, number of formula units per cell, J73 0760 4 space group, and specific gravity are given for all J73 0770 2 substances. For some substances, auxiliary properties J73 0770 8 such as the melting point are given. J73 0780 5 _SOURCES OF DATA:_ J73 0780 8 Part /1, of the present edition covers the literature J73 0790 6 to mid-1948; Part /2,, up to the end of 1951. Much J73 0800 7 of the material comes directly from secondary sources J73 0810 2 such as STRUKTURBERICHT. J73 0810 5 _CRITICALITY:_ J73 0810 6 The vast number of compounds to be covered, the J73 0820 8 limited resources to do the job, and the immediate J73 0830 4 need for this type of compilation precluded a thorough J73 0840 1 evaluation of all available data in the present edition. J73 0840 10 Future editions may be more critical. J73 0860 1 _USE OF NOMENCLATURE, SYMBOLS, UNITS, PHYSICAL CONSTANTS:_ J73 0860 3 Since Parts /1, and /2, were prepared independently, J73 0870 2 the abbreviation schemes and the chemical symbols used J73 0880 1 differ in the two parts. The second edition should J73 0880 10 have greater uniformity. J73 0890 1 _CURRENCY:_ J73 0890 2 A second edition is in preparation, and there are J73 0900 2 long range plans for a third. J73 0900 8 _FORMAT:_ J73 0900 9 Data in the present edition are presented in tables J73 0910 6 and lists. Part /1, deals with the classification of J73 0920 4 crystalline substances by space groups and is not a J73 0930 3 numerical data compilation. The compounds are divided J73 0930 10 according to composition into seven categories. Part J73 0940 7 /2, contains determinative tables for the identification J73 0950 5 of crystalline substances. These are arranged according J73 0960 3 to crystal system. There are formula and name indexes J73 0970 1 covering both parts. References for Part /1, are given J73 0970 10 at the end and for Part /2, in the tables. J73 0990 1 _PUBLICATION AND DISTRIBUTION:_ J73 0990 1 The present edition of CRYSTAL DATA (**f), published J73 0990 9 in 1954 as Memoir 60 of the Geological Society of America, J73 1000 11 is now out of print. The manuscript of the second edition J73 1010 9 will probably be ready by the end of 1960. J73 1020 6 #/2,-3. CRYSTAL STRUCTURES# J73 1030 1 _ORGANIZATION:_ J73 1030 1 The author of CRYSTAL STRUCTURES is Ralph W&G& Wyckoff, J73 1040 2 University of Arizona, Tucson, Arizona. The first section J73 1050 1 of this publication appeared in 1948 and the last supplement J73 1050 11 in 1960. Though now complete, the publication is included J73 1060 8 in this directory because of its importance and because J73 1070 7 of the long-term nature of its preparation. J73 1080 2 _SUBSTANCES:_ J73 1080 3 Elements, inorganic and organic compounds (no alloys). J73 1090 3 _PROPERTIES:_ J73 1090 4 The data presented are derived almost entirely from J73 1100 4 ~X-ray diffraction measurements and include atomic J73 1110 2 coordinates, cell dimensions, and atomic and ionic J73 1110 9 radii. J73 1120 1 _SOURCES OF DATA:_ J73 1120 3 Published literature. J73 1120 5 _CRITICALITY:_ J73 1120 6 The aim was to state the results of all available J73 1130 10 determinations of atomic positions in crystals. Presumably J73 1140 5 the tabulated data are best available values. The critical J73 1150 4 comments in the textual sections of this publication J73 1160 2 are invaluable. J73 1170 1 _USE OF NOMENCLATURE, SYMBOLS, UNITS, PHYSICAL CONSTANTS:_ J73 1170 3 The terminology used conforms to that of INTERNATIONALE J73 1180 1 TABELLEN ZUR BESTIMMUNG VON KRISTALLSTRUKTUREN. J73 1190 1 _CURRENCY:_ J73 1190 1 During the years of publication, supplement and J73 1190 8 replacement sheets were issued periodically. Coverage J73 1200 6 of the literature extends through 1954 and includes J73 1210 5 some 1955 references. It is to be hoped that some way J73 1220 4 will be found to keep this important work current. J73 1230 1 _FORMAT:_ J73 1230 1 The publication form is that of loose-leaf sheets J73 1230 10 (**f) contained in binders. The book is divided into J73 1240 9 chapters and in each chapter the material is grouped J73 1250 5 into Text, Tables, Illustrations, and Bibliography. J73 1260 2 Each group is paginated separately; numbers sometimes J73 1270 1 followed by letters are used so that insertions can J73 1270 10 be made. Inorganic structures are found in Chapters J73 1280 6 /2,-/12,, organic structures in Chapters /13,-/15,. J73 1290 5 Within each chapter an effort has been made to group J73 1300 4 together those crystals with similar structures. There J73 1310 1 are three indexes, i&e&, an inorganic formula index, J73 1310 9 a mineralogical name index, and a name index to organic J73 1320 9 compounds. J73 1330 1 _PUBLICATION AND DISTRIBUTION:_ J73 1330 3 Publisher of CRYSTAL STRUCTURES is Interscience J73 1340 1 Publishers, 250 Fifth Avenue, New York 1, N& Y&. The J73 1350 1 work consists of four sections and 5 supplements. Price J73 1350 10 of the complete work including all necessary binders J73 1360 6 is $148.50. J73 1360 8 #/2,-4. DANA'S SYSTEM OF MINERALOGY# J73 1370 4 _ORGANIZATION:_ J73 1370 5 Six editions of James Dwight Dana's SYSTEM appeared J73 1380 6 between 1837 and 1892. In 1915 Edward S& Dana, editor J73 1390 7 of the sixth edition, asked W& E& Ford of Yale University J73 1400 6 to prepare a seventh edition of his father's work. J73 1410 3 A number of people became involved in the preparation J73 1420 1 but work was slow until 1937. In that year a grant J73 1420 12 was obtained from the Penrose Fund of the Geological J73 1430 7 Society of America to finance additional full-time J73 1440 4 workers. Money was also advanced by the publishers, J73 1450 1 John Wiley + Sons, Inc&. Volume /1, was completed in J73 1450 11 1941 and published in 1944. The editors of this volume J73 1460 10 and Volume /2, were the late Charles Palache, Clifford J73 1470 7 Frondel, and the late Harry Berman, all of Harvard J73 1480 5 University. Work on Volume /2, was begun in 1941, interrupted J73 1490 5 by the war in 1942, and resumed in 1945. The volume J73 1500 2 was completed in 1950 and published in 1951. A supplementary J73 1510 1 grant from the Geological Society of America helped J73 1510 9 finance its publication. Besides the editors there J73 1520 6 were many contributors in the United States and Great J73 1530 5 Britain to Volumes /1, and /2,. W& E& Ford, for example, J73 1540 5 continued to supply data on the occurrence of minerals J73 1550 3 until his death in 1939. Volume /3, is nearing completion J73 1560 1 and there are plans to revise Volume /1,. The project J73 1560 11 is currently supported by Harvard University. J73 1570 5 _SUBSTANCES:_ J73 1570 6 Minerals. J73 1580 1 _PROPERTIES:_ J73 1580 2 Crystallographic, physical, optical, and chemical J73 1590 1 properties. The crystallographic data given include J73 1590 7 interaxial angles and unit cell dimensions; the physical J73 1600 7 property values include hardness, melting point, and J73 1610 4 specific gravity. J73 1610 6 _SOURCES OF DATA:_ J73 1620 1 Almost entirely original articles in journals; abstracts J73 1620 7 and other compilations on rare occasions when original J73 1630 6 papers are not available. J73 1640 1 _CRITICALITY:_ J73 1640 2 All information is carefully appraised and uncertain J73 1650 1 facts are designated by (?). An authentic diffraction J73 1650 9 pattern is always obtained and optical properties are J73 1660 8 frequently checked. J73 1670 1 _USE OF NOMENCLATURE, SYMBOLS, UNITS, PHYSICAL CONSTANTS:_ J73 1670 7 Recommendations of international authorities, such J73 1680 5 as the International Union of Crystallography, are J73 1690 4 followed. There is a complete synonymy at the beginning J73 1700 3 of each species description. J73 1700 7 _CURRENCY:_ J73 1700 8 Currency in the usual sense cannot be maintained J73 1710 8 in an undertaking of this sort. J73 1720 1 _FORMAT:_ J73 1720 2 The data are presented in text and tables in bound J73 1730 1 volumes. Volume /1, of the seventh edition contains J73 1730 9 an introduction and data for eight classes of minerals; J73 1740 8 Volume /2, contains data for forty-two classes. References J73 1750 6 are given at the end of each mineral description and J73 1760 3 a general index is given at the end of each volume. J73 1770 1 There will be a comprehensive index in Volume /3, covering J73 1770 11 all three volumes. J73 1780 3 _PUBLICATION AND DISTRIBUTION:_ J73 1780 6 Volume /1, (**f) of the seventh edition of DANA'S J73 1790 7 SYSTEM OF MINERALOGY was published in 1944 and Volume J73 1800 5 /2, (**f) in 1951 by John Wiley + Sons, Inc&, New York, J73 1810 4 N& Y&. (The association of Wiley + Sons with the Dana J73 1820 4 Mineralogies dates back to 1844 when they published J73 1830 1 the second edition of the SYSTEM.) The two volumes J73 1830 10 are available from the publisher for $14.00 and $16.00, J73 1840 8 respectively. J73 1840 9 #/2,-5. THE GROTH INSTITUTE# J73 1850 4 _ORGANIZATION:_ J73 1850 5 "The Groth Institute", which was established in J73 1860 5 1958, is a group activity affiliated with the Physics J73 1870 4 Department of The Pennsylvania State University, University J73 1880 2 Park, Pa&. Ray Pepinsky is the Director. The Institute J73 1890 1 derives its name from Paul von Groth's CHEMISCHE J73 1890 9 KRYSTALLOGRAPHIE, J73 1900 1 a five-volume work which appeared between 1906 and J73 1900 10 1919. The resident staff is large and consists of professional J73 1910 10 assistants, graduate students, abstractors, librarian, J73 1920 5 technical editor, machine operators, secretarial help, J73 1930 4 and others. There are also corresponding members and J73 1940 3 outside advisory groups. The Air Force Office of Scientific J73 1950 1 Research has provided financial assistance in the early J73 1950 9 stages of the Institute's program. J73 1960 5 _SUBSTANCES:_ J73 1960 6 All crystalline substances and other solid-state J73 1970 6 materials. J73 1970 7 _PROPERTIES:_ J73 1970 8 The aim is to collect a very broad range of physical, J73 1980 11 chemical, morphological, and structural data for crystals J73 1990 6 on an encyclopedic scale and to seek all possible useful J73 2000 5 and revealing correlations of properties with internal J73 2010 2 structure. J73 2010 3 _SOURCES OF DATA:_ J73 2010 6 The first stage of operation has centered on the J73 2020 5 literature imaging of critical or summarizing tabulations J73 2030 2 such as the Barker Index. Coverage of primary literature J73 2040 1 will follow. Unpublished data will be available to J73 2040 9 the Groth institute from cooperating groups and individuals. J73 2050 6 _CRITICALITY:_ J73 2060 1 Critical evaluation of all data compiled is not J73 2060 8 a primary aim of this project. However, the proposed J73 2070 5 correlation of the many interrelated properties of J73 2080 3 crystals will reveal discrepancies in the recorded J73 2080 10 data and suggest areas for reinvestigation. In addition, J73 2090 8 the availability of computers will permit recalculation J73 2100 6 and refinement of much structural information. J73 2120 1 _USE OF NOMENCLATURE, SYMBOLS, UNITS, PHYSICAL CONSTANTS:_ J73 2120 2 For punched-card or tape storage of information J73 2120 10 all literature values must be conformed to a common J73 2130 9 language. In this way a degree of unification of nomenclature, J73 2140 8 symbols, and units will be realized. J74 0010 1 BECAUSE INDIVIDUAL CLASSES OF foods differ in their J74 0010 9 requirements for preservation, a number of methods J74 0020 7 have been developed over the years involving one or J74 0030 4 a combination of procedures such as dehydration, fermentation, J74 0040 2 salting, chemical treatment, canning, refrigeration, J74 0040 7 and freezing. The basic objectives in each instance J74 0050 8 are to make available supplies of food during the intervals J74 0060 7 between harvesting or slaughter, to minimize losses J74 0070 4 resulting from the action of microorganisms and insects, J74 0080 2 and to make it possible to transport foods from the J74 0080 12 area of harvest or production to areas of consumption. J74 0090 8 In earlier years, the preservation of food was essentially J74 0100 7 related to survival. In the more sophisticated atmosphere J74 0110 5 of today's developed nations, food-preservation techniques J74 0120 2 have sought also to bring variety, peak freshness, J74 0130 1 and optimum taste and flavor in foods at reasonable J74 0130 10 cost to the comsumer. J74 0140 2 With the development of nuclear technology, isotopic J74 0150 1 materials, and machine radiation sources in recent J74 0150 8 years, the possibilities of applying ionizing radiation J74 0160 5 to the preservation of foods attracted the attention J74 0170 3 of investigators in the United States and throughout J74 0180 1 the world. An early hope that irradiation might be J74 0180 10 the ultimate answer to practically all food preservation J74 0190 7 problems was soon dispelled. Interest remained, however, J74 0200 4 in the possibility that it would serve as a useful J74 0210 4 supplementary method for counteracting spoilage losses J74 0220 1 and for preserving some foods at lower over-all costs J74 0220 11 than freezing, or without employing heat or chemicals J74 0230 6 with their attendant taste alterations. J74 0240 1 #FACTORS RESPONSIBLE FOR THE SPOILAGE OF FOODS# J74 0240 8 The chief factors responsible for the spoilage of fresh J74 0250 8 foodstuffs are (1) microorganisms such as bacteria, J74 0260 4 molds, and yeasts, (2) enzymes, (3) insects, (4) sprouting, J74 0270 3 and (5) chemical reactions. Microorganisms are often J74 0280 1 responsible for the rapid spoilage of foods. Of special J74 0280 10 concern is the growth of bacteria such as Clostridium J74 0290 8 botulinum which generate poisonous products. Enzymatic J74 0300 4 action in stored food produces changes which can adversely J74 0310 4 affect the appearance of food or its palatability. J74 0320 1 Spoilage by chemical action results from the reaction J74 0320 9 of one group of components in the food with others J74 0330 8 or with its environment, as in corrosion of the walls J74 0340 5 of metal containers or the reaction of fats with oxygen J74 0350 2 in the air to produce rancidity. J74 0350 8 Sprouting is a naturally occurring phenomenon in J74 0360 4 stored potatoes, onions, carrots, beets, and similar J74 0370 3 root vegetables. Insect infestation is a problem of J74 0370 11 importance chiefly in stored grain. The presence of J74 0380 8 parasitic organisms such as Trichinella spiralis in J74 0390 6 pork introduces another factor which must be dealt J74 0400 4 with in food processing. J74 0400 8 To permit the storage of food for long periods of J74 0410 7 time, a method of preservation must accomplish the J74 0420 2 destruction of microorganisms and inhibition of enzymatic J74 0430 1 action. The term "sterilization" applies to methods J74 0430 8 involving essentially complete destruction of all microorganisms. J74 0440 6 Food treated in this manner and protected from recontamination J74 0450 7 by aseptic methods of packaging and containment presumably J74 0460 4 could be stored for long periods without refrigeration. J74 0470 2 The process of "pasteurization" involves milder and J74 0480 2 less prolonged heat treatment which accomplishes the J74 0480 9 destruction of most, but not all, of the microorganisms. J74 0490 9 Less severe thermal treatment as by blanching or scalding J74 0500 7 serves to inactivate enzymes. J74 0510 1 #GENERAL EFFECTS OF IONIZING RADIATION# J74 0510 5 Ionizing radiation can cause the destruction of microorganisms J74 0520 5 and insects involved in food spoilage or, at lower J74 0530 4 doses, can inhibit their action. It furnishes a means J74 0540 1 of destroying insects in stored grain products as well J74 0540 10 as certain parasitic organisms present in meats. Deactivation J74 0550 6 of enzymes is also possible, although some types require J74 0560 6 extremely heavy doses of 10 ~Mrad or more. Because J74 0570 4 of undesirable flavors, odors, colors, and generally J74 0580 1 low palatability associated with radiation treatment J74 0580 7 of this magnitude, the inactivation of enzymes is best J74 0590 7 accomplished prior to irradiation by the conventional J74 0600 4 heat-processing methods of blanching. J74 0610 1 Radiation does not retard the chemical spoilage J74 0610 8 of food. It will, however, inhibit the sprouting of J74 0620 6 potatoes and other root vegetables. J74 0630 1 The radiation doses required for the preservation J74 0630 8 of foods are in the following ranges: J74 0640 6 _1._ J74 0640 7 For radiosterilization, to destroy all organisms J74 0650 3 for long-term preservation- about 4.5 ~Mrad for nonacid J74 0660 2 foods of low salt content. J74 0660 7 _2._ J74 0660 8 For radiopasteurization, to partially destroy microorganisms; J74 0670 5 results vary with types of food, storage conditions, J74 0680 3 and objectives of treatment- commonly of the order J74 0690 2 of 0.2 ~Mrads but up to about 0.8 ~Mrads. J74 0690 11 _3._ J74 0690 12 For destruction of insects- about 25,000 ~rads. J74 0700 7 _4._ J74 0700 8 For inhibiting the sprouting of root vegetables- J74 0710 6 4,000 to 10,000 ~rads. J74 0720 1 Preserving foods with ionizing radiation leads to J74 0720 7 some undesirable side effects, particularly at the J74 0730 5 higher radiation dosages. In this respect, the general J74 0740 3 palatability and individual acceptance of most radiosterilized J74 0750 1 foods has, to date, been found to be low in comparison J74 0750 12 with fresh and commercially processed foods. A number J74 0760 8 of foods are quite acceptable as regards taste and J74 0770 6 palatability, however, at dosages substantially less J74 0780 2 than sterilization levels. Moreover, the nutritive J74 0780 8 value of irradiated foods apparently undergoes little, J74 0790 7 if any, change, although some of the fat-soluble vitamins J74 0800 7 are affected by sterilization doses. J74 0810 2 #RADIATION SOURCES# J74 0810 4 For irradiation of food, the results obtained depend J74 0820 3 upon the dose rather than the specific type of radiation, J74 0830 1 and X-ray, gamma, and high-energy electron radiation J74 0830 10 are suitable. Aside from availability and economic J74 0840 6 considerations, each has certain practical advantages; J74 0850 3 for example, gamma rays give deeper penetration but J74 0860 2 cannot be focused or collimated, whereas unidirectional J74 0860 9 electron beams may be split and directed to both the J74 0870 10 top and bottom of the food package to be irradiated. J74 0880 6 Selection of a source for commercial irradiation would J74 0890 2 involve consideration of numerous factors including J74 0890 8 required dose rate, load factor, throughput, convenience, J74 0900 7 safety, and most important, costs. J74 0910 3 Of the potentially useful sources of ionizing radiations, J74 0920 2 gamma sources, cobalt-60, cesium-137, fission products, J74 0930 1 or a reactor irradiation loop system using a material J74 0930 10 such as an indium salt have received most attention J74 0940 6 for food-preservation systems. Of the various particle J74 0950 5 accelerators, the Van de Graff machines, resonant transformers, J74 0960 2 and linear accelerators are the principal ones available J74 0970 1 for commercial use. J74 0970 4 Costs of the effective energy produced by these J74 0980 3 sources is a major obstacle in the development of J74 0980 12 food-preservation J74 0990 1 processes. Estimated production costs of radiation J74 0990 7 energy from machine and nuclide sources range from J74 1000 8 $1 to $10 per ~kwhr. Conventional energy for processing J74 1010 4 foods is available in the range of at most a few cents J74 1020 6 per ~kwhr for electric power and the equivalent of J74 1030 2 a few mills per ~kwhr for process steam. Radiation, J74 1030 11 therefore, is at an initial cost disadvantage even J74 1040 7 though only 1 to 10 per cent as much radiation energy J74 1050 4 as heat energy is required for radiopasteurization J74 1060 1 or radiosterilization. What are the possibilities of J74 1060 8 lowered radiation production costs for the future? J74 1070 6 It has been estimated that for applications on a megawatt J74 1080 5 scale costs might reach values in the neighborhood J74 1090 1 of 10 cents per ~kwhr for large-scale accelerators J74 1090 10 or for gamma radiation generated in a reactor core. J74 1100 8 No comparable reductions in the cost of nuclide radiation J74 1110 7 are foreseen. Such projections, however, appear highly J74 1120 1 speculative and the capacities involved are far beyond J74 1130 1 those foreseen for food-preservation facilities. J74 1130 7 Because agricultural activities are seasonal and J74 1140 5 the areas of production and harvest of many foods are J74 1150 5 widely scattered geographically, and because of the J74 1160 2 high cost of transporting bulk food items any substantial J74 1160 11 distance to a central processing location, the use J74 1170 8 of large central processing stations, where low-cost J74 1180 5 radiation facilities approaching the megawatt range J74 1190 2 might be utilized, is inherently impracticable. J74 1190 8 #PRESENT STATUS OF IRRADIATION PRESERVATION OF FOODS# J74 1200 6 The objective of complete sterilization of foods is J74 1210 5 to produce a wholesome and palatable product capable J74 1220 2 of being stored without refrigeration for extended J74 1220 9 periods of time. Chief interest in radiosterilization J74 1230 7 resides in the military services. For them, providing J74 1240 5 appetizing food under battle or emergency conditions J74 1250 2 is a paramount consideration. They require completely J74 1260 1 sterile foods capable of being stored without refrigeration, J74 1260 9 preferably items already cooked and ready to eat. High J74 1270 9 nutritional value, variety, palatability, and appetizing J74 1280 4 appearance are important for reasons of morale. Foods J74 1290 4 for rear stations, which require cooking, but no refrigeration, J74 1300 1 are also of interest. Of primary interest are meats. J74 1300 10 Radiopasteurization, which produces fewer adverse J74 1310 6 sensory changes in food products, has potential usefulness J74 1320 7 in prolonging the keeping qualities of fresh and refrigerated J74 1330 6 food items. Thus, food so processed might reach more J74 1340 4 remote markets and permit the consumer to enjoy more J74 1350 1 produce at peak freshness and palatability. Commercial J74 1350 8 interest is chiefly in this type of treatment, as is J74 1360 8 military interest under peacetime conditions. J74 1370 2 The present status of food preservation by ionizing J74 1380 1 radiation is discussed by food classes in the following J74 1380 10 paragraphs. J74 1390 1 _MEATS_ J74 1390 2 The radiation processing of meat has received extensive J74 1400 1 investigation. To date, the one meat showing favorable J74 1400 9 results at sterilization doses is pork. Of particular J74 1410 7 interest to the military services is the demonstration J74 1420 5 that roast pork, after radiosterilization, is superior J74 1430 3 in palatability to available canned pork products. J74 1430 10 Tests with beef have been largely unsuccessful because J74 1440 8 of the development of off-flavors. A prime objective J74 1450 7 of the Army Quartermaster Corps program is to find J74 1460 5 the reasons for beef's low palatability and means of J74 1470 2 overcoming it, since it is a major and desirable dietary J74 1470 12 item. Partly because low-level heat treatment is needed J74 1480 8 to inactivate enzymes before radiosterilization, treated J74 1490 4 fresh meats have the appearance of boiled or canned J74 1500 4 meat. J74 1500 5 Off-flavor is a less severe problem with the J74 1510 2 radiopasteurization J74 1510 3 of meats, but problems of commercial acceptability J74 1520 1 remain. Moderate radiation doses of from 100,000 to J74 1520 9 200,000 ~rads can extend the shelf life (at 35 ~F) J74 1530 9 of fresh beef from 5 days to 5 or 6 weeks. However, J74 1540 7 the problem of consumer acceptability remains. The J74 1550 2 preradiation blanching process discolors the treated J74 1550 8 beef and liquid accumulates in prepackaged cuts. Cooked J74 1560 8 beef irradiated in the absence of oxygen assumes an J74 1570 7 unnatural pink color. J74 1570 10 When lamb and mutton are irradiated at substerilization J74 1580 7 doses, the meat becomes dehydrated, the fat become J74 1590 5 chalky, and, again, unnatural changes in color occur. J74 1600 3 Ground meats such as fresh pork sausage and hamburger J74 1610 1 have a relatively short shelf life under refrigeration, J74 1610 9 and radiopasteurization might be thought to offer distinctly J74 1620 7 improved keeping qualities. However, a major problem J74 1630 6 here is one of scale of processing; ground meats are J74 1640 4 usually prepared from scrap meats at the local level, J74 1650 2 whereas irradiation at economic volumes of production J74 1650 9 would require central processing and distribution facilities. J74 1660 6 The problems of color change by blanching and liquid J74 1670 7 accumulation within the package are the same as for J74 1680 5 solid cuts. J74 1680 7 Specialty cooked items containing meat portions, J74 1690 3 as in "frozen dinners" might offer a potential use J74 1700 1 for radiopasteurization. The principal potential advantage J74 1700 7 would be that the finished product could be transported J74 1710 8 and stored at lower cost under refrigeration instead J74 1720 4 of being frozen. A refrigerated item could also be J74 1730 4 heated and served in less time than is required for J74 1730 14 frozen foods of the same type. J74 1740 6 Competitive processes for preserving meats are by J74 1750 4 canning and freezing. Costs of canning meat are in J74 1750 13 the range of 0.8 to 5 cents per pound; costs of freezing J74 1760 12 are in the area of 2 to 3.5 cents per pound. The table J74 1770 10 on page 10 shows costs of canning and freezing meat, J74 1780 4 and estimated costs for irradiation under certain assumed J74 1790 2 conditions. Under the conditions of comparison, it J74 1790 9 will be noted that: J74 1800 4 _(1)_ J74 1800 5 Radiosterilization (at 3 ~Mrad) is more expensive J74 1810 2 than canning, particularly for the cesium-137 source. J74 1820 1 _(2)_ J74 1820 1 Radiopasteurization by either the electron accelerator J74 1820 7 or cesium-137 source is in the range of freezing costs. J74 1830 9 _(3)_ J74 1830 10 Irradiation using the nuclide source is more expensive J74 1840 8 than use of an electron accelerator. J74 1850 1 _POULTRY_ J74 1850 2 Results of irradiation tests with poultry have been J74 1860 2 quite successful. At sterilizing doses, good palatability J74 1860 9 results, with a minimum of changes in appearance, taste, J74 1870 9 and odor. Radiopasteurization has also been successful, J74 1880 5 and the shelf life of chicken can be extended to a J74 1890 6 month or more under refrigerated storage as compared J74 1900 1 with about 10 days for the untreated product. Acceptable J74 1900 10 taste and odor are retained by the irradiated and refrigerated J74 1910 9 chicken. Acceptance of radiopasteurization is likely J74 1920 5 to be delayed, however, for two reasons: (1) the storage J74 1930 5 life of fresh chicken under refrigeration is becoming J74 1940 3 a minimal problem because of constantly improved sanitation J74 1950 1 and distributing practices, and (2) treatment by antibiotics, J74 1950 9 a measure already approved by the Federal Food and J74 1960 8 Drug Administration, serves to extend the storage life J74 1970 7 of chicken at a low cost of about 0.5 cent per pound. J74 1980 4 _SEAFOOD_ J74 1980 5 Fresh seafood products are extremely perishable. J74 1990 2 Although refrigeration has served to extend the storage J74 2000 1 life of these products, substantially increased consumption J74 2000 8 might be possible if areas remote from the seacoast J74 2010 7 could be served adequately. J75 0010 1 Furthermore, it has made an exact assessment of the J75 0010 10 removal mechanisms possible. J75 0020 2 The instrument is shown in Fig& 1 and consists essentially J75 0030 2 of a hard, sharp, tungsten carbide knife which is pushed J75 0040 1 along the substrate to remove the coating. The force J75 0040 10 required to accomplish removal is plotted, by means J75 0050 6 of an electronic recorder, against distance of removal. J75 0060 4 Since the removal force is a function of coating thickness, J75 0070 2 a differential transformer pickup has been incorporated J75 0070 9 into the instrument to accurately measure film thickness. J75 0080 8 This, too, is recorded against distance by a repeat J75 0090 7 run over the same track previously cut. A number of J75 0100 5 adjustment features are included in the Hesiometer J75 0110 1 to facilitate measurement and permit ready removal J75 0110 8 of coatings deposited on such substrates as iron and J75 0120 7 other metals, glass, wood, and plastic surfaces. The J75 0130 4 measurement of topcoats on primers can also readily J75 0140 1 be carried out. J75 0140 4 Hesiometer results have been found to compare excellently J75 0150 2 with manual knife scratching tests. The instrumental J75 0160 1 method, however, is about 100 times more sensitive J75 0160 9 and yields numerical results which can be accurately J75 0170 6 repeated at wil over a period of time. If a wedge-shaped J75 0180 5 coating of increasing thickness is removed from a substrate J75 0190 3 by an instrument like the Hesiometer with a knife of J75 0190 13 constant rake angle, a number of removal mechanisms J75 0200 8 are often observed which depend upon the thickness J75 0210 6 of the coating. At low thicknesses a cutting (or shearing) J75 0220 4 phenomenon is often encountered. As the coating becomes J75 0230 2 thicker, the cutting may abruptly change to a cracking J75 0230 11 type of failure. If the coating becomes still thicker, J75 0240 8 a peeling type failure finally can occur. The typical J75 0250 6 appearance of these various mechanisms is illustrated J75 0260 3 in Figs& 2, 3, and 4, which are single frame enlargements J75 0270 1 of high speed movies taken during the course of the J75 0270 11 knife removal process. It can be seen from Fig& 2 that J75 0280 10 the cutting removal of a coating from its substrate J75 0290 7 involves pure cohesive failure of the coating. The J75 0300 3 molecular forces holding the coating to the substrate J75 0300 11 are obviously greater than the cohesive strength of J75 0310 8 the coating and failure occurs by shear along a plane J75 0320 8 starting at the tip of the knife and extending to the J75 0330 5 coating surface. J75 0330 7 The pictures of Figs& 3 and 4 show the cracking J75 0340 5 and peeling types of removal where the coating is detached J75 0350 3 by failure in a region at, or close to, the interface J75 0350 14 between coating and substrate. J75 0360 4 If the force required to remove the coatings is J75 0370 3 plotted against film thickness, a graph as illustrated J75 0370 11 schematically in Fig& 5 may characteristically result. J75 0380 7 Here, ~H is the coatings removal force measured parallel J75 0390 8 to the surface of the substrate and ~t is the film J75 0400 7 thickness. It can be seen that the force is characteristic J75 0410 5 of the removal process and changes abruptly from cutting J75 0420 3 to cracking to peeling removal. Also, it can be readily J75 0430 1 seen that the cutting and peeling types of failure J75 0430 10 show a steady state response, while the cracking mechanism J75 0440 6 is of a dynamic nature. J75 0450 1 It should be recalled that these three mechanisms J75 0450 9 can occur on the same coating deposited upon the same J75 0460 7 substrate merely as a function of changes in coatings J75 0470 4 thickness. Presumably the interfacial bond strength J75 0480 1 and gross cohesive properties are identical in each J75 0480 9 case. What then, are the factors that contribute to J75 0490 7 these phenomena? Why should the "practical adhesion" J75 0500 4 of a coating as assessed by a knife method change, J75 0510 2 initially increasing rather rapidly and then decreasing J75 0510 9 stepwise to very low values as the knife is forced J75 0520 10 through a coating of increasing thickness? J75 0530 2 #CUTTING MECHANISM OF COHESIVE FAILURE# J75 0530 7 The cutting (or shearing) removal process has been J75 0540 8 previously described. It was found that the coating J75 0550 7 is separated from its substrate entirely by cohesive J75 0560 3 failure. The details of the removal process are shown J75 0570 1 schematically in Fig& 6. The various forces result J75 0570 9 from the reaction of the removed paint chip against J75 0580 7 the face of the knife and along the shear plane, which J75 0590 5 makes an angle ~|f with the substrate. The action and J75 0600 3 reaction forces are ~R and **f, respectively and are J75 0610 2 equal and opposite in direction. All the other force J75 0610 11 vectors are derived from these. **f is the force required J75 0620 9 to cut a coating of thickness ~t from the substrate. J75 0630 5 **f is the shear force along the shear plane; **f and J75 0640 4 **f are the thrust forces acting against coating and J75 0650 2 knife, respectively; **f is the normal compressive J75 0650 9 force acting on the shear plane; **f is the friction J75 0660 9 force between chip and knife surfaces, and ~P is the J75 0670 6 normal force acting on the face of the knife. ~|a is J75 0680 4 the rake angle of the knife; ~|f is the angle the shear J75 0690 3 plane makes with the substrate; ~|t is the friction J75 0700 1 angle; and ~|b is the angle the resultants make with J75 0700 11 the plane of the substrate. J75 0710 3 An analysis of the vector relationships shows that J75 0720 2 the rake angle ~|a and the friction angle ~|t determine J75 0730 1 the vector direction **f of the force resultants ~R J75 0730 10 and **f. Consequently, both the rake angle of the knife J75 0740 8 as well as the friction occurring between the back J75 0750 5 of the removed coating and the front of the knife will J75 0760 3 determine in large part the detailed mechanism of the J75 0760 12 cutting removal process. J75 0770 3 It is difficult to measure the direction and magnitude J75 0780 3 of ~R directly. In actual practice, the values most J75 0790 1 readily amenable to measurement are the cutting force J75 0790 9 **f and the shear angle ~|f. These two values and the J75 0800 9 rake angle ~|a are sufficient to determine the other J75 0810 6 parameters of these relationships. ~|a is defined by J75 0820 5 the geometry of the knife; ~|f can readily be determined J75 0830 3 by measuring the thickness of the coating before and J75 0830 12 after cutting from the substrate; **f is instrumentally J75 0840 8 determined. From Fig& 6 the relationship between these J75 0850 7 parameters can readily be derived and the cutting force J75 0860 6 is **f where ~|l is the shear strength of the coating J75 0870 4 and is a parameter of the coatings material, ~w is J75 0880 2 the width of the removed coating and ~t is its thickness. J75 0890 1 If the cutting force, **f is plotted against film J75 0890 10 thickness, a straight line should result passing through J75 0900 8 the origin and having slope **f. However, in the actual J75 0910 6 assessment of the cutting force by instrumental methods J75 0920 2 for any thickness of coating a number of spurious effects J75 0930 1 occur which must be taken into account and which make J75 0930 11 the measured value larger than the true cutting force J75 0940 8 indicated by eqn& (1). J75 0950 1 #BLUNT KNIFE# J75 0950 3 One of these is the fact that the knife employed, no J75 0960 1 matter how well sharpened, will have a slightly rounded J75 0960 10 cutting edge. This signifies that ~|a, the rake angle, J75 0970 8 is no longer a constant to zero film thickness. The J75 0980 6 curvature of this bluntness is, in the case of the J75 0990 4 Carboloy knife employed in the Hesiometer, determined J75 0990 11 by the grain sizes of the polished grit and the tungsten J75 1000 11 carbide crystals cemented together in the knife body J75 1010 7 and is in the order of 0.1 to 0.2 mil&. J75 1020 2 The force vector concept of Fig& 6 can readily be J75 1030 1 applied to this condition also. Because the rake angle J75 1030 10 **f at the tip of the knife is very much smaller (or J75 1040 9 even negative) when compared to the value of ~|a for J75 1050 7 the major portion of the knife, a very rapid increase J75 1060 2 in cutting force with thickness will result. This reduces J75 1070 1 to the relationship: **f where **f is the intercept J75 1070 10 at zero thickness of the extrapolation of the slope J75 1080 7 indicated in eqn& (1), **f is the thickness of the J75 1090 4 coating equivalent to the rounding off of the knife J75 1100 1 tip, **f is a straight line first approximation of J75 1100 10 this roundness, and the other symbols are equivalent J75 1110 6 to those of eqn& (1). It can be seen that **f is a J75 1120 6 constant, and is determined for the most part by the J75 1130 1 geometry of the knife. The blunter the knife, the higher J75 1130 11 is the value of **f. The importance of a hard, abrasion J75 1140 9 resistant knife material like the Carboloy employed J75 1150 5 in the Hesiometer immediately becomes apparent. Softer J75 1160 3 knives would blunt very rapidly, making the value of J75 1170 1 **f inexact. In extreme cases of very soft knives this J75 1170 11 value may even change during the course of a measurement. J75 1180 8 #KNIFE FRICTION# J75 1180 10 A second factor which enters into the practical measurement J75 1190 8 of the instrumentally determined cutting force is the J75 1200 6 frictional resistance caused by the bottom of the knife J75 1210 7 against the substrate. This is not a constant value J75 1220 2 like **f, but varies with the thickness of the coating J75 1220 12 and the direction and magnitude of the resultants ~R J75 1230 8 and **f of Fig& 6. Under equilibrium conditions of J75 1240 6 cutting the chip exerts a thrust **f against the knife J75 1250 5 which tends to push it into the substrate or lift it J75 1260 3 away from the substrate depending on the vector direction J75 1260 12 of **f. The resultant friction force, **f is thus directly J75 1270 9 proportional to **f and consequently also to film thickness. J75 1280 8 The value of **f can readily be assessed by determining J75 1290 7 the frictional force exerted on the knife while running J75 1300 6 over the previously stripped coating track under various J75 1310 3 external loadings. A straight line relationship is J75 1310 10 usually observed in a plot of **f against load ~L, J75 1320 10 having slope ~k, and **f Since the load ~L, under actual J75 1330 9 cutting conditions is caused by **f, it can be seen J75 1340 9 that **f J75 1340 11 The measured force, ~H, in cutting removal of coatings J75 1350 7 from their substrates consequently can be seen to be J75 1360 6 the sum of that force required to cut the coating, J75 1370 2 **f that due to the bluntness of the knife, **f, and J75 1370 13 that due to the friction between the bottom of the J75 1380 9 knife and the substrate, **f, or **f The first two J75 1390 6 forces are directly interrelated and depend upon film J75 1400 3 thickness, whereas **f is independent of these two J75 1400 11 and is a constant for a given knife/coating combination. J75 1410 7 These theoretical relationships are more clearly J75 1420 5 illustrated in Fig& 7 and their sum can be seen to J75 1430 6 correlate in form with practical measurements made J75 1440 1 with the Hesiometer as illustrated in the first portion J75 1440 10 of Fig& 5 for the cutting mechanism. J75 1450 5 #CHIPPING MECHANISM OF COHESIVE FAILURE# J75 1455 1 Although a large number of coatings systems, particularly J75 1460 2 at low thicknesses fail cohesively by the cutting mechanism, J75 1470 1 frequently a second type of cohesive failure may also J75 1470 10 take place. This is a chipping, dynamic type failure J75 1480 8 encountered with very brittle coatings resins or very J75 1490 5 highly pigmented films. This is shown in the photomicrograph J75 1500 3 of Fig& 8. J75 1500 6 The basic difference between the continuous cutting J75 1510 4 mechanism and that of the chipping mechanism is that J75 1520 3 instead of shear occurring in the coating ahead of J75 1520 12 the knife continuously without fracture, rupture intermittently J75 1530 5 occurs along the shear plane. The detailed mechanisms J75 1540 6 of this type of failure have been studied extensively J75 1550 3 by MERCHANT for metal cutting, and the principles found J75 1560 2 can be directly applied to coatings. J75 1560 8 By studying high speed movies made of this type J75 1570 8 of failure, the sequence of relationships as schematically J75 1580 3 illustrated in Fig& 9 could be observed. J75 1590 1 In the first picture (9~a) the knife is just beginning J75 1590 11 to advance into the inclined surface which was left J75 1600 8 from the previous chip formation. In the next, the J75 1610 6 shear plane angle is high, and extends to the inclined J75 1620 3 work surface. With increasing advance of the knife J75 1620 11 into the coating the shear plane extends to the coatings J75 1630 10 surface and the shear angle rapidly decreases. Eventually, J75 1640 5 rupture occurs along the shear plane (9~e), and the J75 1650 5 cycle repeats itself. J75 1650 8 MERCHANT has found that the same basic relationships J75 1660 8 which describe the geometry and force systems in the J75 1670 6 case of the cutting mechanism can also be applied to J75 1680 3 the discontinuous chip formation provided the proper J75 1680 10 values of instantaneous shear angle and instantaneous J75 1690 7 chip thickness or cross-sectional area are used. Consequently, J75 1700 5 if the shear angle ~|f is replaced by the rupture angle J75 1710 7 **f, the relationships as described in eqns& (1), (2), J75 1720 4 (4), and (6) will directly apply. J75 1720 10 #THE CRACKING MECHANISM# J75 1730 2 Under equilibrium cutting conditions, the chip exerts J75 1730 9 a force **f against the coating and an equal opposite J75 1740 10 force **f against the knife in the plane of the substrate J75 1750 9 as shown in Fig& 6. If the rake angle ~|a of the knife J75 1760 7 is high enough and the friction angle ~|t between the J75 1770 4 front of the knife and the back of the chip is low J75 1780 1 enough to give a positive value for **f, the resultant J75 1780 11 vector ~R will lie above the plane of the substrate. J76 0010 1 Within only a few years, foamed plastics materials J76 0010 9 have managed to grow into an integral, and important, J76 0020 8 phase of the plastics industry- and the end is still J76 0030 8 not yet in sight. Urethane foam, as only one example, J76 0040 3 was only introduced commercially in this country in J76 0040 11 1955. Yet last year's volume probably topped 100 million J76 0050 9 lb& and expectations are for a market of 275 million J76 0060 8 lb& by 1964. Many of the other foamed plastics, particularly J76 0070 4 the styrenes, show similar growth potential. And there J76 0080 3 are even newer foamed plastics that are yet to be evaluated. J76 0090 2 As this issue goes to press, for example, one manufacturer J76 0100 1 has announced an epoxy foam with outstanding buoyancy J76 0100 9 and impact strength; another reports that a cellular J76 0110 6 polypropylene, primarily for use in wire coating applications, J76 0120 5 is being investigated. J76 0120 8 On the following pages, each of the major commercial J76 0130 8 foamed plastics is described in detail, as to properties, J76 0140 6 applications, and methods of processing. J76 0150 1 It might be well to point out, however, some of J76 0150 11 the newer developments that have taken place within J76 0160 7 the past few months which might have a bearing on the J76 0170 7 future of the various foamed plastics involved. In J76 0180 2 urethane foams, for example, there has been a definite J76 0180 11 trend toward the polyether-type materials (which are J76 0190 8 now available in two-component rigid foam systems) J76 0200 4 and the emphasis is definitely on one-shot molding. J76 0210 2 Most manufacturers also seem to be concentrating on J76 0210 10 formulating fire-resistant or self-extinguishing grades J76 0220 7 of urethane foam that are aimed specifically at the J76 0230 6 burgeoning building markets. Urethane foam as an insulator J76 0240 5 is also coming in for a good deal of attention. In J76 0250 2 one outstanding example, Whirlpool Corp& found that J76 0250 9 by switching to urethane foam insulation, they could J76 0260 7 increase the storage capacity of gas refrigerators J76 0270 4 to make them competitive with electric models. Much J76 0280 2 interest has also been expressed in new techniques J76 0280 10 for processing the urethane foams, including spraying, J76 0290 6 frothing, and molding (see article, p& 391 for details). J76 0300 6 And in meeting the demands for urethane foam as a garment J76 0310 5 interlining, new adhesives and new methods of laminating J76 0320 1 foam to a substrate have been developed. J76 0320 8 New techniques for automatic molding of expandable J76 0330 6 styrene beads have helped boost that particular material J76 0340 4 into a number of new consumer applications, including J76 0350 1 picnic chests, beverage coolers, flower pots, and flotation-type J76 0360 1 swimming toys. Two other end-use areas which contributed J76 0360 10 to expandable styrene's growth during the year were J76 0370 7 packaging (molded inserts replacing complicated cardboard J76 0380 4 units) and foamed-core building panels. Extruded expandable J76 0390 3 styrene film or sheet- claimed to be competitive price-wise J76 0400 3 with paper- also showed much potential, particularly J76 0410 1 for packaging. Sandwich panels for building utility J76 0410 8 shelters that consist of kraft paper skins and rigid J76 0420 8 styrene foam cores also aroused interest in the construction J76 0430 5 field. J76 0430 6 In vinyl foam, the big news was the development J76 0440 4 of techniques for coating fabrics with the material J76 0450 1 (for details, see P& 395). Better "hand", a more luxurious J76 0460 1 feel, and better insulating properties were claimed J76 0460 8 to be the result. Several companies also saw possibilities J76 0470 6 in using the technique for extruding or molding vinyl J76 0480 5 products with a slight cellular core that would reduce J76 0490 3 costs yet would not affect physical properties of the J76 0490 12 end product to any great extent. J76 0500 6 Readers interested in additional information on J76 0510 3 foams are referred to the Foamed Plastics Chart appearing J76 0520 1 in the Technical Data section and to the list of references J76 0520 12 which appears below. J76 0530 3 #URETHANE FOAMS# J76 0530 5 @ Since the mid 1950s, when urethane foam first made J76 0540 5 its appearance in the American market, growth has been J76 0550 3 little short of fantastic. Present estimates are that J76 0550 11 production topped the 100-million-lb& mark in 1960 J76 0560 9 (85 to 90 million lb& for flexible, 10 or 11 million J76 0570 8 lb& for rigid); by 1965, production may range from J76 0580 4 200 to 350 million lb& for flexible and from 115 to J76 0590 2 150 million lb& for rigid. The markets that have started J76 0590 12 to open up for the foam in the past year or so seem J76 0600 12 to justify the expectations. Furniture upholstery, J76 0610 3 as just one example, can easily take millions of pounds; J76 0620 3 foamed refrigerator insulation is under intensive evaluation J76 0630 1 by every major manufacturer; and use of the foam for J76 0630 11 garment interlining is only now getting off the ground, J76 0640 9 with volume potential in the offing. J76 0650 4 _BASIC CHEMISTRY_ J76 0650 6 Urethane foams are, basically, reaction products J76 0660 3 of hydroxyl-rich materials and polyisocyanates (usually J76 0670 1 tolylene diisocyanate). Blowing can be either one of J76 0670 9 two types- carbon dioxide gas generated by the reaction J76 0680 10 of water on the polyisocyanate or mechanical blowing J76 0690 4 through the use of a low-boiling liquid such as a fluorinated J76 0700 5 hydrocarbon. J76 0700 6 The most important factor in determining what properties J76 0710 5 the end-product will have is quite naturally the type J76 0720 3 of hydroxyl-rich compound that is used in its production. J76 0730 1 Originally, the main types used were various compositions J76 0730 9 of polyesters. These are still in wide use today, particularly J76 0740 9 in semi-rigid formulations, for such applications as J76 0750 6 cores for sandwich-type structural panels, foamed-in-place J76 0760 5 insulation, automotive safety padding, arm rests, etc&. J76 0770 3 More recently, polyethers- again in varied compositions, J76 0780 1 molecular weights, and branching- have come into use J76 0780 9 at first for the flexible foams, just lately for the J76 0790 9 rigids. The polyether glycols are claimed to give flexible J76 0800 6 urethanes a spring-back action which is much desired J76 0810 4 in cushioning. J76 0810 6 Although the first polyether foams on the market J76 0820 4 had to be produced by the two-step prepolymer method, J76 0830 1 today, thanks to new catalysts, they can be produced J76 0830 10 by a one-shot technique. It is possible that the polyether J76 0840 8 foams may soon be molded on a production basis in low-cost J76 0850 8 molds with more intricate contours and with superior J76 0860 4 properties to latex foam. J76 0860 8 The polyester urethane foam is generally produced J76 0870 5 with adipic acid polyesters; the polyether group generally J76 0880 3 consists of foams produced with polypropylene glycol J76 0890 1 or polypropylene glycol modified with a triol. J76 0900 1 _ONE SHOT VS& PREPOLYMER_ J76 0900 2 In the prepolymer system, the isocyanate and resin J76 0900 10 are mixed anhydrously and no foaming occurs. The foaming J76 0910 9 can be accomplished at some future time at a different J76 0920 8 location by the addition of the correct proportion J76 0930 3 of catalyst in solution. In one-shot, the isocyanate, J76 0940 1 polyester or polyether resin, catalyst, and other additives J76 0940 9 are mixed directly and a foam is produced immediately. J76 0950 9 Basically, this means that simpler processing equipment J76 0960 5 (the mixture has good flowing characteristics) and J76 0970 2 less external heat (the foaming reaction is exothermic J76 0980 1 and develops internal heat) are required in one-shot J76 0980 10 foaming, although, at the same time, the problems of J76 0990 8 controlling the conditions of one-shot foaming are J76 1000 5 critical ones. J76 1000 7 _PROPERTIES_ J76 1000 8 Most commercial uses of urethane foams require densities J76 1010 7 between 2 and 30 lb&/cu& ft& for rigid foams, between J76 1020 6 1 and 3 lb&/cu& ft& for flexible foams. This latter J76 1030 4 figure compares with latex foam rubber at an average J76 1040 1 of 5.5 lb&/cu& ft& in commercial grades. J76 1050 1 _COMPRESSION STRENGTH:_ J76 1050 1 Graph in Fig& 1, p& 392, indicates how the ratio J76 1050 11 of compressive strength to density varies as the latter J76 1060 9 is increased or decreased. The single curve line represents J76 1070 7 a specific formulation in a test example. By varying J76 1080 6 the formula, this curve may be moved forward or backward J76 1090 3 along the coordinates to produce any desired compression J76 1100 1 strength/density ratio. J76 1110 1 _THERMAL CONDUCTIVITY AND TEMPERATURE RESISTANCE:_ J76 1110 1 In flexible urethane foams, we are referring to J76 1110 9 the range between the highest and lowest temperatures J76 1120 7 under which the materials' primary performance remains J76 1130 4 functionally useful. In temperature resistance, this J76 1140 3 quality is usually related to specific properties, J76 1150 1 e&g&, flexural, tensile strengths, etc&. Thermal conductivity J76 1150 8 is directly traceable to the material's porous, air-cell J76 1160 9 construction which effectively traps air or a gas in J76 1170 9 the maze of minute bubbles which forms its composition. J76 1180 4 These air or gas bubbles make highly functional thermal J76 1190 2 barriers. The ~K factor, a term used to denote the J76 1190 12 rate of heat transmission through a material (B&t&u&/sq& J76 1200 8 ft& of material/hr&/`F&/in& of thickness) ranges from J76 1210 7 0.24 to 0.28 for flexible urethane foams and from 0.12 J76 1220 8 to 0.16 for rigid urethane foams, depending upon the J76 1230 5 formulation, density, cell size, and nature of blowing J76 1240 3 agents used. Table /1,, p& 394, shows a comparison J76 1240 12 of ~K factor ratings of a number of commercial insulating J76 1250 10 materials in common use, including two different types J76 1260 8 of rigid urethane foam. J76 1270 1 _FLEXURAL STRENGTH:_ J76 1270 2 This term refers to the ability of a material to J76 1280 2 resist bending stress and is determined by measuring J76 1280 10 the load required to cause failure by bending. The J76 1290 7 higher-density urethane semi-rigid foams usually have J76 1300 4 stronger flex fatigue resistance, i&e&, the 12 lb&/cu& J76 1310 3 ft& foam has 8 times the flexural strength of the 3 J76 1320 2 lb&/cu& ft& density. Note that flexural strength is J76 1320 10 not always improved by simply increasing the density, J76 1330 7 nor is the change always proportional from one formulation J76 1340 5 to another. Where flexural strength is an important J76 1350 4 factor, be sure that your urethane foam processor is J76 1360 1 aware of it. J76 1360 4 _TENSILE STRENGTH:_ J76 1360 6 This property refers to the greatest longitudinal J76 1370 2 stress or tension a material can endure without tearing J76 1380 1 apart. Like compression strength of urethane foams, J76 1380 8 it has a direct relationship to formulation. Exceptional J76 1390 5 tensile strength is another of urethane foam's strong J76 1400 5 features. Figure 2, above, shows the aging properties J76 1410 3 of urethane foams as determined by the percent of change J76 1420 1 in tensile strength during exposure to ultra-violet J76 1420 9 light. J76 1430 1 _PROCESSING URETHANES_ J76 1430 2 There are many ways of producing a foamed urethane J76 1440 1 product. The foam can be made into slab stock and cut J76 1440 12 to shape, it can be molded, it can be poured-in-place, J76 1450 10 it can be applied by spray guns, etc&. J76 1460 3 Slab stock is still one of the most important forms J76 1470 1 of urethane end-product in use today. Basically, the J76 1470 10 foam machines that produce such stock consist of two J76 1480 8 or more pumping units, a variable mixer, a nozzle carriage J76 1490 5 assembly, and, in many cases, a conveyor belt to transport J76 1500 4 and contain the liquid during the reaction process J76 1510 1 and until it solidifies into foam. The ingredients J76 1510 9 are fed from tanks through a hose and into the mixer J76 1520 8 at a predetermined rate. The mixing head moves back J76 1530 4 and forth slowly across the width of the receptacle. J76 1540 1 It only takes a few minutes for the foaming action J76 1540 11 to be completed and after a short cure, the material J76 1550 8 can be cut into lengths as desired. J76 1560 1 Much has been done in the way of ingenious slitters J76 1560 11 to fabricate the slab stock into finished products. J76 1570 7 Profile cutting machines are available which can split J76 1580 6 foam to any desired thickness and produce sine, triangle, J76 1590 3 trapezoid, and other profiles in variable heights, J76 1600 1 dimensions, etc&. The convoluted sheets can be combined J76 1600 9 to attain certain cushioning effects mechanically rather J76 1610 6 than chemically. Also available is a slitter which J76 1620 6 "peels" the inside of a folded block of foam and can J76 1630 5 be used to slit continuous sheets up to 300 yd& in J76 1640 1 length, down to 1/16 in& thick. J76 1640 7 The low cost and ease of fabrication of the dies J76 1650 4 for three-dimensional foam cutting plus the wide variety J76 1660 2 of shapes, dimensions, and contours that can be tailor-made J76 1660 12 to customer requirements has made the technique useful J76 1670 8 for producing case liners, materials handling containers, J76 1680 5 packaging and cushioning devices, and such novelties J76 1690 4 as soap dishes, toys, head rests, arch supports, and J76 1700 2 gas pedal covers. J76 1700 5 _MOLDING_ J76 1700 6 Although slab stock appeared first, it soon became J76 1710 5 apparent that for the production of cushions with irregular J76 1720 2 shapes, crowned contours, or rounded edges, the cutting J76 1720 10 of slab stock is a wasteful and uneconomical process. J76 1730 9 Only by resorting to molding techniques can the cushion J76 1740 7 manufacturer hope to compete satisfactorily in the J76 1750 3 established cushion market. J76 1750 6 The closed molding of flexible urethane foams has J76 1760 6 been a problem ever since the introduction of the material J76 1770 4 (molding in open molds was more feasible). Satisfactory J76 1780 2 methods for polyester foams and even prepolymer polyether J76 1790 1 foams were never fully achieved. Closed molding generally J76 1790 9 resulted in parts weighing more (because of higher J76 1800 8 density) than parts fabricated from free-blown foams. J76 1810 5 This counteracted the gain from having no scrap loss. J76 1820 2 In addition, there were difficulties with the flow J76 1820 10 and spreading of the foam mixture over the mold surface, J76 1830 9 trouble with lack of gel strength in the rising foam, J76 1840 7 and problems of splits. The introduction of one-shot J76 1850 4 polyether foam systems, aided by the development of J76 1860 1 new catalysts, helped to alleviate some of the problems J76 1860 10 of closed molding. While there are still many bugs J76 1870 7 to be ironed out, the technique is fast developing. J76 1880 4 _OTHER TECHNIQUES_ J76 1880 6 Simple systems are available that make it possible J76 1890 5 for urethane foam components to be poured, pumped, J76 1900 1 etc&, into a void where they foam up to fill the void. J76 1900 13 In a typical application- the making of rigid urethane J76 1910 8 foam sandwich panels- an amount of foam mixture calculated J76 1920 9 to expand 10 to 20% more than the volume of the panel J76 1930 7 is poured into the panel void and the top of the panel J76 1940 4 is locked in place by a jig. J77 0010 1 Temperature of the wash and rinse waters is maintained J77 0010 10 at 85-90`F& (29-32`C&). The top rolls are loaded with J77 0020 9 40 lbs&. Sixty lbs& loading is possible but 40 lbs& J77 0030 8 is adequate. J77 0030 10 The suds box drain is arranged at the start to deliver J77 0040 10 into the raised main drain pipe (thus returning suds J77 0050 5 to soap box) and the machine is started. The 160-ml& J77 0060 4 bath containing the calculated amount of detergent J77 0060 11 is applied slowly and directly to the running specimen. J77 0070 9 Washing is continued for 30 minutes or for a period J77 0080 8 of time sufficient to allow 100 nips or passes through J77 0090 4 the squeeze rolls. At the conclusion of the washing, J77 0100 1 8 liters of water at 90`F& (32`C&) are automatically J77 0100 10 metered from the rinse reservoir to the washing tubs, J77 0110 9 4 liters to each tub. This operation requires from J77 0120 5 10 to 12 minutes. During the rinsing operation the J77 0130 3 volume in the tubs gradually increases until overflow J77 0140 1 from the main drain begins. At this point the drains J77 0140 11 are readjusted so that the suds box drain will discharge J77 0150 8 directly into the waste line and the main tub drain J77 0160 6 is set at the 2-1/2 mark on the drain gauge. When all J77 0170 2 of the rinse water has passed from the reservoir to J77 0170 12 the tubs the main drains are lowered to permit complete J77 0180 8 draining of the tubs. The run is complete when all J77 0190 6 the water has drained off into the waste line. J77 0200 1 By this procedure rinsing progresses in two stages, J77 0200 9 first by dilution until the time when the drains are J77 0210 10 separated and thereafter by displacement of the soil-bearing J77 0220 7 liquor by clean rinse water, since soiled liquor squeezed J77 0230 4 from the specimens at the nip passes directly to waste J77 0240 3 from the suds box drains. This method of rinsing appears J77 0250 1 to produce maximum cleansing with minimum soil redeposition. J77 0250 9 #SUGGESTED EVALUATION AND CLASSIFICATION# J77 0260 4 Evaluation may be made on either a soil-removal or J77 0270 6 a grease-removal basis as desired. A reflectance-measuring J77 0280 1 instrument may be desirable to measure cleaning, whereas J77 0290 1 Soxhlet extraction is necessary to measure grease removal. J77 0300 1 #PURPOSE AND SCOPE# J77 0300 4 This test method is intended for determining the dimensional J77 0310 3 changes of woven or knitted fabrics, made of fibers J77 0310 12 other than wool, to be expected when the cloth is subjected J77 0320 11 to laundering procedures commonly used in the commercial J77 0330 7 laundry and the home. Four washing test procedures J77 0340 4 are established, varying in severity from very severe J77 0350 2 to very mild, and are intended to cover the range of J77 0350 13 practical washing from commercial procedure to hand J77 0360 7 washing. Five drying test procedures are established J77 0370 4 to cover the range of drying techniques used in the J77 0380 4 home and commercial laundry. Three methods for determining J77 0390 1 the dimensional restorability characteristics are established J77 0390 7 for those textiles which require restoration by ironing J77 0400 7 or wearing after laundering. These tests are not accelerated J77 0410 6 and must be repeated to evaluate dimensional changes J77 0420 3 after repeated launderings. J77 0420 6 Table /1, summarizes all of the various washing, J77 0430 7 drying, and restoration procedures available. The person J77 0440 4 using these tests must determine which combination J77 0450 1 of procedures is practical for any specific item in J77 0450 10 order to evaluate the dimensional changes of textile J77 0460 7 fabrics or garments after laundering procedures commonly J77 0470 4 used in the home or commercial laundry. It is possible J77 0480 4 to identify the test procedure completely with a code J77 0490 1 consisting of a Roman Numeral, a letter, and an Arabic J77 0490 11 number. For example Test /3, ~E 1 refers to a specimen J77 0500 10 which has been washed by procedure "/3," (at 160`F& J77 0510 6 for a total of 60 minutes in the machine, has been J77 0520 6 dried in a tumble dryer by procedure "~E" and has been J77 0530 4 subjected to restorative forces on the Tension Presser J77 0540 2 by procedure "1". J77 0540 5 #PRINCIPLE# J77 0540 6 A specimen or garment is washed in a cylindrical reversing J77 0550 7 wash wheel, dried and subjected to restorative forces J77 0560 4 where necessary. Temperature and time of agitation J77 0570 1 in the wash wheel are varied to obtain different degrees J77 0570 11 of severity. Drying procedures and application of restorative J77 0580 7 force procedures are varied to conform with end-use J77 0590 8 handling during home or commercial laundering. Distances J77 0600 3 marked on the specimen in warp and filling directions J77 0620 2 (or wales and courses for knitted fabrics) are measured J77 0620 11 before and after laundering. J77 0630 4 #APPARATUS AND MATERIALS# J77 0640 1 _WASH WHEEL- CYLINDRICAL WASH WHEEL OF THE REVERSING J77 0640 9 TYPE._ J77 0640 10 The wheel (cage) is 20 to 24 inches inside diameter J77 0650 8 and 20 to 24 inches inside length. There are three J77 0660 3 fins each approximately three inches wide extending J77 0660 10 the full length of the inside of the wheel. One fin J77 0670 10 is located every 120` around the inside diameter of J77 0680 6 the wheel. The wash wheel rotates at a speed of 30 J77 0690 4 revolutions per minute, making five to ten revolutions J77 0690 12 before reversing. The water inlets are large enough J77 0700 8 to permit filling the wheel to an eight-inch level J77 0710 7 in less than two minutes, and the outlet is large enough J77 0720 4 to permit discharge of this same amount of water in J77 0730 1 less than two minutes. The machine is equipped with J77 0730 10 a pipe for injecting live steam that is capable of J77 0740 7 raising the temperature of water at an eight-inch level J77 0750 5 from 110` to 140`F& (38` to 60`C&) in less than two J77 0760 4 minutes. The machine shall contain an opening for the J77 0770 1 insertion of a thermometer or other equivalent equipment J77 0770 9 for determining the temperature of the water during J77 0780 7 the washing and rinsing procedures. It is equipped J77 0790 4 with an outside water gauge that will indicate the J77 0800 1 level of the water in the wheel. J77 0800 8 A domestic automatic washer that will give equivalent J77 0810 5 results may be used. The wash wheel is the equipment J77 0820 2 preferred for the test. J77 0830 1 _PRESSING EQUIPMENT- FLAT-BED PRESS MEASURING 24 INCHES J77 0830 5 BY 50 INCHES OR LARGER._ J77 0830 10 Any flat-bed press capable of pressing a specimen J77 0840 6 22 inches square may be used as an alternative. The J77 0850 3 flat-bed press is maintained at a temperature not less J77 0860 1 than 275`F& (135`C&). J77 0870 1 _DRYER- DRYER OF THE ROTARY TUMBLE TYPE, HAVING A CYLINDRICAL J77 0880 1 BASKET APPROXIMATELY 30 INCHES IN DIAMETER AND 24 INCHES J77 0890 1 IN LENGTH AND ROTATING AT APPROXIMATELY 35 R&P&M&._ J77 0890 1 The dryer is provided with a means of maintaining J77 0890 10 a drying temperature of 120`-160`F& (49`-71`C&), measured J77 0900 7 in the exhaust vent as close as possible to the drying J77 0910 9 chamber. J77 0920 1 _SCREEN DRYING RACKS- 16-MESH SCREENING (SARAN OR VELON)._ J77 0930 1 _DRYING ROOM-FACILITIES FOR DRIP- OR LINE-DRYING._ J77 0940 1 _EXTRACTOR- CENTRIFUGAL EXTRACTOR OF THE LAUNDRY-TYPE J77 0950 1 WITH A PERFORATED BASKET, APPROXIMATELY 11 INCHES DEEP J77 0950 3 BY 17 INCHES IN DIAMETER, WITH AN OPERATING SPEED OF J77 0960 1 APPROXIMATELY 1,500 R&P&M&._ J77 0970 1 _PEN AND INK, INDELIBLE- OR OTHER SUITABLE MARKING J77 0970 3 DEVICE._ J77 0970 4 _MEASURING SCALE-._ J77 0980 1 _SOAP, NEUTRAL CHIP- FED& SPEC& ~P ~S 566 OR ~ASTM J77 0990 1 ~D-496._ J77 1000 1 _SOFTENER- E&G& SODIUM METAPHOSPHATE OR SODIUM J77 1000 7 HEXAMETAPHOSPHATE J77 1000 1 (IF NEEDED IN HARD WATER AREAS)._ J77 1010 1 _DETERGENT, SYNTHETIC- ALKYLARYSULFONATE TYPE._ J77 1020 1 _FLATIRON, ELECTRIC- APPROXIMATELY 3 LB&_ J77 1020 3 _TENSION PRESSER- CONSISTING OF A PADDED IRONING J77 1030 1 BOARD FROM WHICH EXTEND CLAMPING MEMBERS ON ALL FOUR J77 1030 9 SIDES._ J77 1030 10 Two of the clamps are fixed to the edges of the J77 1040 9 board whereas two clamps travel on guide rails opposite J77 1050 4 the fixed clamps. The movable clamps travel on carriages J77 1060 2 which ride the rails and are drawn by dead-weight loading. J77 1070 1 Sets of weights are provided so that the load can be J77 1070 12 selected in the range of 1/2 to 4 pounds. A perforated J77 1080 9 aluminum plate, used to provide the drying surface, J77 1090 4 is heated by means of a flatiron. A special template J77 1100 1 is furnished with the apparatus to enable marking a J77 1100 10 specimen for a central measuring area and the fabric J77 1110 8 extensions to the clamps (see Fig& 2). J77 1130 1 _KNIT SHRINKAGE GAUGE- CONSISTING OF A SET OF 20 MOUNTING J77 1130 1 PINS SET IN GUIDES IN RADIAL SLOTS (FIG&1)._ J77 1130 9 Each pin is individually sprung to a tensioning J77 1140 5 member which is driven outwardly in the slot. The springs J77 1150 5 have an extension of 1 inch at **f tension. The tensioning J77 1160 2 members have a common drive so that the application J77 1160 11 of restorative force takes place simultaneously in J77 1170 6 all directions in the plane of the test specimen. The J77 1180 6 minimum diameter of the pin frame in the collapsed J77 1190 2 state is 11 inches and the maximum diameter in the J77 1190 12 freely extended state (unloaded) is 14 inches. The J77 1200 8 surface of the apparatus in contact with the test specimen J77 1210 7 is uncluttered and polished so as to be as friction-free J77 1220 6 as possible. J77 1220 8 #TEST SPECIMENS# J77 1220 10 The preparation of test specimens will vary depending J77 1230 7 upon the type of dimensional restorability procedure J77 1240 3 (if any) to be used. J77 1240 8 Three specimens for each sample to be tested are J77 1250 8 required in order to arrive at a satisfactory average J77 1260 2 of performance. This is especially true for knitted J77 1270 1 fabrics. J77 1270 2 Specimens are allowed to reach moisture equilibrium J77 1270 9 with a standard atmosphere of **f and **f and then J77 1280 10 laid out without tension on a flat, polished surface, J77 1290 6 care being taken that the fabric is free from wrinkles J77 1300 4 or creases. Fabrics that are badly distorted in their J77 1310 1 unlaundered state due to faulty finishing may give J77 1310 9 deceptive dimensional change results when laundered J77 1320 5 by any procedure. This also holds true if restorative J77 1330 3 forces are applied. Therefore, it is recommended that J77 1340 1 in such cases the sample be replaced, or if used, the J77 1340 12 results of dimensional change or dimensional restorability J77 1350 5 tests be considered as indicative only. J77 1360 2 Generally, it is necessary to mark distances on J77 1370 1 a specimen (or garment) in both lengthwise and widthwise J77 1370 10 directions and to measure before and after laundering. J77 1380 7 The distances may be marked with indelible ink and J77 1390 5 a fine-point pen, by sewing fine threads into the fabric, J77 1400 3 or by a specially designed stamping machine. The marked J77 1400 12 distances are parallel to the respective yarns. Usually, J77 1410 8 the greater the original distances marked, the greater J77 1420 6 will be the accuracy of the test. Distances of less J77 1430 5 than 10 inches are not recommended. J77 1440 1 _WOVEN FABRICS TO BE DRIED BY PROCEDURE ~B (FLAT-BED J77 1450 1 PRESSED) OR RESTORED BY PROCEDURE 3 (HAND IRONING):_ J77 1450 5 The specimen of fabric is a rectangle at least 22 J77 1460 4 by 22 inches, except for cloth narrower than 22 inches, J77 1470 1 in which case the specimen is the entire width of the J77 1470 12 fabric. Three distances, each at least 18 inches, are J77 1480 8 measured and marked off parallel to each of the warp J77 1490 6 and filling directions. The distances are at least J77 1500 2 two inches from any edge of the specimen. J77 1510 1 _WOVEN OR WARP KNITTED FABRICS TO BE SUBJECTED TO RESTORATIVE J77 1520 1 PROCEDURE 1 (TENSION PRESSER)._ J77 1520 1 Each specimen is at least 25 inches by 25 inches. J77 1520 11 Place the template (Fig& 2) on the fabric so that the J77 1530 9 sides of the 10 inch square cut out of the template J77 1540 6 are parallel to the warp and filling for woven fabrics, J77 1560 2 or the wales and courses for knitted fabrics, and so J77 1560 12 that the same amount of fabric extends beyond the edges J77 1570 9 of the template on all sides. Mark the specimen at J77 1580 6 the outer edges of the template with pen and indelible J77 1590 3 ink; also place three dots on the specimen at each J77 1600 1 side of the 10 inch square, one dot at midpoint, and J77 1600 12 one at approximately 1/2 inch from each corner. Measure J77 1610 7 and record. J77 1620 1 _CIRCULAR KNITTED FABRICS TO BE SUBJECTED TO RESTORATIVE J77 1630 1 PROCEDURE 2, (KNIT SHRINKAGE GAUGE)._ J77 1630 2 Each specimen is approximately 16 inches square. J77 1630 9 The markings consist of a centrally located 10 inch J77 1640 8 diameter measuring circle and a 14 inch diameter circle J77 1650 7 of 20 dots equidistantly spaced (See Figure 1). J77 1660 3 _GARMENTS._ J77 1660 4 Critical measurements in length and width directions J77 1670 2 should be taken before and after washing, drying, and J77 1670 11 restorative procedures. J77 1680 2 #PROCEDURE# J77 1680 3 _WASHING-_ J77 1680 4 The washing procedures are summarized in Table /2,. J77 1690 7 Place the specimen in the wash wheel with sufficient J77 1700 7 other similar fabric to make a dry load of **f pounds. J77 1710 5 Start the wash wheel and note the time. Immediately J77 1720 1 add water at 100-105`F& (38-43`C&) to the wheel to J77 1720 12 a level of **f inches; this level will be increased J77 1730 9 by condensed steam. When this water level has been J77 1740 7 reached, inject steam into the wheel until the temperature J77 1750 3 reaches that shown in Column ~B of Table /2,. Add sufficient J77 1760 3 soap (and softener if required to counteract hard water) J77 1770 2 to furnish a good running suds, or if desired use a J77 1770 13 synthetic detergent. J77 1780 1 _TEST /1,_ J77 1780 3 - Stop the wash wheel at the end of the time shown J77 1800 2 in Column ~A of Table /2, and drain. Refill the machine J77 1810 1 to a level of **f inches with water at 100-109` F& J77 1810 13 (38-43` C&) and start the machine. Inject steam, if J77 1820 8 necessary, to reach the temperature shown in Column J77 1830 5 ~D of Table /2,. Again stop the machine at the end J77 1840 4 of the time shown in Column ~C of Table /2,. This procedure J77 1850 3 is repeated for the second rinse, using the temperatures J77 1860 1 and time shown in Columns ~F and ~E of Table /2,. J77 1870 1 _TESTS /2,, /3,, AND /4,._ J77 1870 3 - Run the machine continuously until completion J77 1880 1 of the test. Drain off the soap solution of the suds J77 1880 12 cycle at such a time that the wheel has become substantially J77 1890 9 empty of soap and water at the end of the time shown J77 1900 8 in Column ~A of Table /2,, measured from the time the J77 1910 5 wash wheel was started. Refill the machine to a level J77 1920 2 of **f inches with water at 100-109` F& (38-43` C&). J77 1930 1 When this water level has been reached, inject steam J77 1930 10 until the temperature is that shown in Column ~D. Drain J77 1940 8 off the water at such a time that the wheel has become J77 1950 6 substantially empty of water at the end of the sum J77 1960 4 of the times shown in Columns ~A and ~C, measured from J77 1970 1 the time the wash wheel was started. Immediately refill J77 1970 10 to a level of **f inches with water at 100-109` F& J77 1980 10 (38-43` C&). When this water level has been reached J77 1990 7 inject steam until the temperature is that shown in J77 2000 4 Column ~F. Drain off the water at such a time that J77 2010 1 the wheel has become substantially empty of water at J77 2010 10 the end of the sum of the times shown in Columns ~A, J77 2020 9 ~C, and ~E, measured from the time the wash wheel was J77 2030 7 started. J78 0010 1 High-gain, photoelectronic image intensification J78 0010 6 is applied under conditions of low incident light levels J78 0020 7 whenever the integration time required by a sensor J78 0030 5 or recording instrument exceeds the limits of practicability. J78 0040 2 Examples of such situations are (aerial) night reconnaissance, J78 0050 1 the recording of radioactive tracers in live body tissues, J78 0060 1 special radiography in medical or industrial applications, J78 0060 8 track recording of high energy particles, etc&. J78 0070 6 High-gain photoelectronic image intensification J78 0080 3 may be achieved by several methods; some of these are J78 0090 3 listed below: J78 0090 5 _(A)_ J78 0090 6 Cascading single stages by coupling lens systems, J78 0100 3 _(B)_ J78 0100 4 Channel-type, secondary emission image intensifier, J78 0110 1 _(C)_ J78 0110 2 Image intensifier based upon the "multipactor" principle, J78 0120 2 _(D)_ J78 0120 3 Transmission secondary electron multiplication image J78 0130 2 intensifiers (~TSEM tubes), J78 0130 5 _(E)_ J78 0130 6 Cascading of single stages, enclosed in one common J78 0140 6 envelope. J78 0140 7 Cascading single stages by coupling lens systems J78 0150 5 is rather inefficient as the lens systems limit the J78 0160 3 obtainable gain quite severely. Channel-type image J78 0160 10 intensifiers are capable of achieving high-gain values; J78 0170 8 suffer, however, from an inherently low resolution. J78 0180 6 Image intensifiers based upon the multipactor principle J78 0190 4 appear to hold promise as far as obtainable resolution J78 0200 2 is concerned. However, the unavoidable low-duty cycle J78 0200 10 restricts the effective gain. ~TSEM tubes have been J78 0210 8 constructed showing high gain and resolution. However, J78 0220 6 electrostatic focus, important for many applications, J78 0230 4 has not been realized for these devices. Resolution J78 0240 1 limitations with electrostatic focus might be anticipated J78 0240 8 due to chromatic aberrations. Furthermore, the thin J78 0250 6 film dynodes appear to have a natural diameter limitation J78 0260 6 wherever a mesh support cannot be tolerated. J78 0270 2 Cascaded single stages enclosed by a common envelope J78 0280 1 have been constructed with high gain and high resolution. J78 0280 10 These tubes may differ both in the choice of the electron J78 0290 11 optical system and in the design of the coupling members. J78 0300 9 The electron optical system may be either a magnetic J78 0310 6 or electrostatic one. The magnification may be smaller, J78 0320 4 equal, or larger than unity. J78 0320 9 An electrostatic system suffers generally from image J78 0330 6 plane curvature leading to defocusing in the peripheral J78 0340 4 image region if a flat viewing screen (or interstage J78 0350 1 coupler) is utilized, while a magnetic system requires J78 0350 9 accurate adjustment of the solenoid, which is heavy J78 0360 8 and bulky. As it will be discussed later, peripheral J78 0370 3 defocusing can be improved on by utilizing curved fiber J78 0380 3 couplers. It should be noted, however, that the paraxial J78 0390 1 resolution is quite similar for both electron optical J78 0390 9 systems. J78 0400 1 It is felt that fiber-coupled double- (and multi-) J78 0400 11 stage image intensifiers will gain considerable importance J78 0410 5 in the future. Therefore, we shall consider in this J78 0420 5 paper the theoretical gain and resolution capabilities J78 0430 1 of such tubes. The luminous efficiency and resolution J78 0430 9 of single stages, fiber couplers, and finally of the J78 0440 8 composite tube will be computed. J78 0450 2 It will be shown theoretically that the high image J78 0460 1 intensification obtainable with such a tube and contact J78 0460 9 photography permits the utilization of extremely low J78 0470 6 incident light levels. The effect of device and quantum J78 0480 5 noise, associated with such low input levels, will J78 0490 2 be described. J78 0490 4 After these theoretical considerations, constructional J78 0500 1 details of a fiber-coupled, double-stage X-ray image J78 0510 1 intensifier will be discussed. Measured performance J78 0510 7 characteristics for this experimental tube will be J78 0520 7 listed. J78 0520 8 The conclusion shall be reached that fiber-coupled, J78 0530 6 double-stage tubes represent a sensible and practical J78 0540 3 approach to high-gain image intensification. J78 0540 9 #BASIC DESIGN OF A FIBER-COUPLED, DOUBLE-STAGE IMAGE J78 0550 9 INTENSIFIER# J78 0550 10 The tube design which forms the basis of the theoretical J78 0560 9 discussion shall be described now. The electron optical J78 0570 7 system (see fig& 14-1) is based in principle on the J78 0580 6 focusing action of concentric spherical cathode and J78 0590 2 anode surfaces. The inner [anode] sphere is pierced, J78 0590 10 elongated into a cup, and terminated by the phosphor J78 0600 9 screen. The photoelectrons emitted from a circular J78 0610 5 segment of the cathode sphere are focused by the positive J78 0620 4 lens action of the two concentric spheres, pass through J78 0630 1 the [negative] lens formed by the anode aperture, and J78 0630 10 impinge upon the cathodoluminescent viewing screen. J78 0640 6 The cylindrical focusing electrode permits adjustment J78 0650 4 of the positive lens part by varying the focusing potential. J78 0660 3 The anode potential codetermines the gain, ~G, and J78 0670 2 magnification, ~M, of the stage. J78 0670 7 Both the photocathode and the image plane of such J78 0680 7 an electrode configuration are curved concave as seen J78 0690 4 from the anode aperture. The field-flattening property J78 0700 1 of the biconcave fiber coupler can be utilized to alleviate J78 0700 11 the peripheral resolution losses resulting with a flat J78 0710 8 phosphor-screen or coupling member. For the same reason, J78 0720 7 the output fiber plate is planoconcave, its exposed J78 0740 3 flat side permitting contact photography if a permanent J78 0750 1 record is desired. As it will be shown later, the J78 0750 11 field-flattening J78 0760 1 properties of the interstage and output fiber coupler J78 0760 9 comprise indeed the main advantage of such a design. J78 0770 8 The second photocathode and both phosphor surfaces J78 0780 5 are deposited on the fiber plate substrates. The photocathode J78 0790 3 sensitivities ~S, phosphor efficiencies ~P, and anode J78 0800 4 potentials ~V of the individual stages shall be distinguished J78 0810 3 by means of subscripts /1, and /2, in the text, where J78 0820 2 required. Both stages are assumed to have unity magnification. J78 0830 1 #THEORETICAL DISCUSSION OF FLUX GAIN# J78 0840 1 _FLUX GAIN OF A SINGLE STAGE_ J78 0840 2 The luminous gain of a single stage with **f (flux J78 0840 12 gain) is, to a first approximation, given by the product J78 0850 9 of the photocathode sensitivity ~S (amp/lumen), the J78 0860 5 anode potential ~V (volts), and the phosphor conversion J78 0870 5 efficiency ~P (lumen-watt). In general, ~P is a function J78 0880 6 of ~V and the current density, but it shall here be J78 0890 6 assumed as a constant. J78 0890 10 The luminous efficiency **f of a photocathode depends J78 0900 7 on the maximum radiant sensitivity **f and on the spectral J78 0910 7 distribution of the incident light **f by the relation: J78 0920 5 **f where **f **h normalized radiant photocathode sensitivity. J78 0930 2 **f **h standard visibility function. The luminous J78 0930 9 flux gain of a single stage is given by: **f If the J78 0940 12 input light distribution falls beyond the visible range, J78 0950 6 **f as expected, since **f. Such cases are not considered J78 0960 5 here. J78 0960 6 _EFFICIENCY OF FIBER COUPLERS_ J78 0970 1 The efficiency of fiber optics plates depends on J78 0970 8 four factors: J78 0980 1 _(A)_ J78 0980 1 numerical aperture (N&A&). J78 0980 4 _(B)_ J78 0980 5 end (Fresnel reflection) losses (~R). J78 1000 1 _(C)_ J78 1000 2 internal losses (I&L&). J78 1010 1 _(D)_ J78 1010 1 packing efficiency (F&R&). The numerical aperture J78 1010 7 of the fibers is given by: **f where **f. J78 1020 7 The angle **f is measured in the medium of index J78 1030 5 **f. Settled phosphors, as generally used in image J78 1040 1 intensifiers, have low optical contact with the substrate J78 1040 9 surface, hence **f shall be assumed. The numerical J78 1050 8 aperture should be in general close to unity. This J78 1060 5 condition can be satisfied, e&g&, with **f and **f J78 1070 3 or equivalent glass combinations. J78 1070 7 A sufficiently good approximation for determining J78 1080 4 the end reflection losses ~R can be obtained from the J78 1100 4 angle independent Fresnel formula: **f For phosphor J78 1110 1 to fiber and fiber to air surfaces, and assuming **f, J78 1110 11 we obtain **f percent. This value may be reduced to J78 1120 9 4.6 percent by means of a (very thin) glass layer of J78 1130 5 index 1.5. Hence, the **f factor for the output fiber J78 1140 2 coupler is **f. J78 1140 5 As the index of refraction of photosensitive surfaces J78 1150 2 of the ~SbCs-type lies around 2, the Fresnel losses J78 1160 1 at the fiber-photocathode interface are about 0.5 percent J78 1160 10 and the **f factor for the interstage coupler is 0.95. J78 1170 9 It might be anticipated that multiple coatings will J78 1180 5 reduce end reflection losses even further. J78 1190 1 The internal losses are due to absorption and the J78 1190 10 small but finite losses suffered in the numerous internal J78 1200 8 reflections due to deviations from the prescribed, J78 1210 5 cylindrical fiber cross-section and minute imperfections J78 1220 2 of the core-jacket interface. These losses depend on J78 1230 2 fiber diameter and length, absorption coefficient, J78 1230 8 the mean value of the loss per internal reflection J78 1240 6 and last but not least, on the angular distribution J78 1250 2 of the incident light. Explicit expressions (integral J78 1260 1 averages) are given in the literature. Lacking reliable J78 1260 9 data for some of the variables, we are relying on experimental J78 1270 9 data of about 20 percent internal losses for 1/4-inch J78 1280 6 long, small (5-10~|m) diameter fibers. This relatively J78 1290 4 high value is probably due to the small fiber diameters J78 1300 2 increasing the number of internal reflections. Since J78 1300 9 we are considering here relatively small diameter (1-1.5 J78 1310 8 inches) fiber plates, their average thickness can be J78 1320 6 kept below 1/4 inch and their internal losses may be J78 1330 4 assumed as 15 percent (per plate). J78 1330 10 The packing efficiency, F&R&, of fiber plates did J78 1340 7 not receive much attention in the literature, probably J78 1350 5 as it is high for the larger fibers generally used, J78 1360 2 until rather recently. For circular fibers in a closely J78 1370 1 packed hexagonal array, the packing efficiency is given J78 1370 9 by: **f where **f, and 0.906 is the ratio of the area J78 1380 10 of a circle to that of the circumscribed hexagon. For J78 1390 4 the small diameter fibers now technically feasible J78 1400 2 and required for about 100 **f resolution, **f. The J78 1400 11 cladding thickness is about 0.5~|m, hence, **f and J78 1410 8 **f. J78 1410 9 Thus, the efficiency ~|t couplers is given by- **f J78 1420 9 or approximately 50 percent each. J78 1430 4 It must be remembered that the fiber plates replace J78 1440 1 a glass window and a (mica) membrane, in addition to J78 1440 11 an optical output lens system. The efficiency **f of J78 1450 8 an **f lens at the magnification **f is: **f Neglecting J78 1460 5 absorption, the end losses of the coupling membrane J78 1470 2 and the output window **f would be 6 percent and 8 J78 1470 13 percent. Thus, the combined efficiency of the elements J78 1480 8 replaced by the two fiber plates (with a combined efficiency J78 1490 7 of 0.25) is 0.043 or about six times less than that J78 1500 6 of the two fiber plates. J78 1510 1 _GAIN OF FIBER COUPLED IMAGE INTENSIFIERS_ J78 1510 4 Including the brightness gain **f due to the **f J78 1520 4 area demagnification, the overall gain of a fiber coupled J78 1520 13 double stage image intensifier is: **f It is obvious J78 1530 9 that the careful choice of photocathode which maximizes J78 1540 6 **f for a given input ~E (in the case of the second J78 1550 7 stage, for the first phosphor screen emission) is very J78 1560 3 important. The same consideration should govern the J78 1560 10 choice of the second-stage phosphor screen for matching J78 1570 9 with the spectral sensitivity of the ultimate sensor J78 1580 6 (e&g&, photographic emulsion). J78 1590 1 We have evaluated the "matching integrals" for two J78 1590 9 types of photocathodes (~S-11 and ~S-20) and three J78 1600 10 types of light input. The input light distributions J78 1610 5 considered are ~P-11 and ~P-20 phosphor emission and J78 1620 4 the so-called "night light" (N&L&) as given by H&W& J78 1630 5 Babcock and J& J& Johnson. The integrals (in @ units) J78 1640 4 are listed in table 14-/1, below: J78 1640 11 #THEORETICAL DISCUSSION OF PARAXIAL DEVICE RESOLUTION# J78 1660 1 _RESOLUTION LIMITATIONS IN A SINGLE STAGE_ J78 1660 5 The resolution limitations for a single stage are J78 1670 1 given by the inherent resolution of the electron optical J78 1670 10 system as well as the resolution capabilities of the J78 1680 8 cathodoluminescent viewing screen. J78 1690 2 The resolution capabilities of an electrostatic J78 1690 8 system depend on both the choice of magnification and J78 1700 9 chromatic aberrations. It has been stated previously J78 1720 6 that a minifying electrostatic system yields a lower J78 1730 3 resolution than a magnifying system or a system with J78 1730 12 unity magnification. J78 1740 2 Furthermore, the chromatic aberrations depend on J78 1750 2 the chosen high voltage. In general, a high anode voltage J78 1750 12 reduces chromatic aberrations and thus increases the J78 1760 7 obtainable resolution. J78 1770 1 The luminous gain of the discussed tube was calculated J78 1770 10 from Eq& (6) for the 16 possible combinations of ~S-11 J78 1780 10 and ~S-20 photocathodes and ~P-11 and ~P-20 phosphor J78 1790 8 screens, for night light and ~P-20 light input. (The J78 1800 7 ~P-20 input is of interest because it corresponds roughly J78 1810 4 to the light emission of conventional X-ray fluorescent J78 1820 2 screens). The following efficiencies obtained from J78 1820 8 ~JEDEC and ~RCA specifications were used: **f J78 1830 7 The following table (14-/2,) lists the (luminous) J78 1840 7 gain values computed according to Eq& (6) with **f: J78 1850 6 The possibility of a space charge blowup of the J78 1860 4 screen crossover of the elementary electron bundles J78 1860 11 has been pointed out. It is obvious that such an influence J78 1870 11 can only be expected in the final stage of an image J78 1880 9 intensifier at rather high output levels. Space charge J78 1890 4 influences will also decrease at increased voltages. J78 1900 2 Electrostatic systems of the pseudo-symmetric type J78 1900 9 have been tested for resolution capabilities by applying J78 1910 8 electronography. A resolution of 70-80 line-pairs per J78 1920 9 millimeter appears to be feasible. J78 1930 1 The inherent resolution of a cathodoluminescent J78 1930 7 phosphor screen decreases with increasingly aggregate J78 1940 6 thickness (with increasing anode voltage), decreases J78 1950 4 with decreasing porosity (thus the advantage of cathodophoretic J78 1960 3 phosphor deposition) and might be impaired by the normally J78 1970 2 used aluminum mirror. Thus, in general, elementary J78 1970 9 light optical effects, light scatter, and electron J78 1980 7 scatter determine the obtainable resolution limit. J78 1990 3 It should be noted that photoluminescence, due to J78 2000 3 "Bremsstrahlung" J78 2000 4 generated within the viewing screen by electron impact, J78 2010 2 appears to be important only if anode voltages in excess J78 2020 1 of 30 ~KV are utilized. It has been stated that settled J78 2020 12 cathodoluminescent phosphor screens may have a limiting J78 2030 7 resolution of 60 **f at high voltage values of approximately J78 2040 7 20 ~KV. For the further discussion, we shall thus assume J78 2050 5 an electron optical resolution of 80 **f and phosphor J78 2060 3 screen resolution of 60 **f. J79 0010 1 The set of all decisions is called the operating policy J79 0010 11 or, more simply, the policy. An optimal policy is one J79 0020 8 which in some sense gets the best out of the process J79 0030 6 as a whole by maximizing the value of the product. J79 0040 1 There are thus three components to an optimal design J79 0040 10 problem: J79 0050 1 _(1)_ J79 0050 2 The specification of the state of the process stream; J79 0050 11 _(2)_ J79 0060 1 The specification of the operating variables and J79 0060 8 the transformation they effect; J79 0070 3 _(3)_ J79 0070 4 The specification of the objective function of which J79 0080 3 the optimization is desired. For a chemical process J79 0090 1 the first of these might involve the concentrations J79 0100 8 of the different chemical species, and the temperature J79 0110 5 or pressure of the stream. For the second we might J79 0120 4 have to choose the volume of reactor or amount of cooling J79 0130 1 to be supplied; the way in which the transformation J79 0130 10 of state depends on the operating variables for the J79 0140 7 main types of reactors is discussed in the next chapter. J79 0150 5 The objective function is some measure of the increase J79 0160 3 in value of the stream by processing; it is the subject J79 0170 1 of Chapter 4. J79 0170 4 The essential characteristic of an optimal policy J79 0180 1 when the state of the stream is transformed in a sequence J79 0180 12 of stages with no feedback was first isolated by Bellman. J79 0190 9 He recognized that whatever transformation may be effected J79 0200 6 in the first stage of an ~R-stage process, the remaining J79 0220 4 stages must use an optimal **f-stage policy with respect J79 0230 3 to the state resulting from the first stage, if there J79 0240 1 is to be any chance of optimizing the complete process. J79 0240 11 Moreover, by systematically varying the operating conditions J79 0250 6 in the first stage and always using the optimal **f-stage J79 0260 7 policy for the remaining stages, we shall eventually J79 0270 4 find the optimal policy for all ~R stages. Proceeding J79 0280 1 in this way, from one to two and from two to three J79 0280 13 stages, we may gradually build up the policy for any J79 0290 9 number. At each step of the calculation the operating J79 0300 4 variables of only one stage need be varied. J79 0310 1 To see how important this economy is, let us suppose J79 0310 11 that there are ~m operating variables at each stage J79 0320 8 and that the state is specified by ~n variables; then J79 0330 7 the search for the maximum at any one stage will require J79 0340 7 a number of operations of order **f (where ~a is some J79 0350 4 number not unreasonably large). To proceed from one J79 0360 2 stage to the next a sufficient number of feed states J79 0360 12 must be investigated to allow of interpolation; this J79 0370 6 number will be of the order of **f. If, however, we J79 0380 6 are seeking the optimal ~R-stage policy for a given J79 0390 4 feed state, only one search for a maximum is required J79 0390 14 at the final step. Thus a number of operations of the J79 0400 11 order of **f are required. If all the operating variables J79 0410 7 were varied simultaneously, **f operations would be J79 0420 5 required to do the same job, and as ~R increases this J79 0430 3 increases very much more rapidly than the number of J79 0430 12 operations required by the dynamic program. But even J79 0440 8 more important than this is the fact that the direct J79 0450 8 search by simultaneously varying all operating conditions J79 0460 3 has produced only one optimal policy, namely, that J79 0470 1 for the given feed state and ~R stages. In contrast, J79 0470 11 the dynamic program produces this policy and a whole J79 0480 8 family of policies for any smaller number of stages. J79 0490 6 If the problem is enlarged to require a complete coverage J79 0500 4 of feed states, **f operations are needed by the dynamic J79 0510 1 program and **f by the direct search. But **f is vastly J79 0510 12 larger than ~R. No optimism is more baseless than that J79 0520 10 which believes that the high speed of modern digital J79 0530 8 computers allows for use of the crudest of methods J79 0540 4 in searching out a result. Suppose that **f, and that J79 0550 2 the average operation requires only **f sec&. Then J79 0550 10 the dynamic program would require about a minute whereas J79 0560 8 the direct search would take more than three millennia! J79 0570 5 The principle of optimality thus brings a vital J79 0580 4 organization into the search for the optimal policy J79 0580 12 of a multistage decision process. Bellman (1957) has J79 0590 8 annunciated in the following terms: J79 0600 3 "An optimal policy has the property that whatever J79 0610 2 the initial state and initial decision are, the remaining J79 0610 11 decisions must constitute an optimal policy with respect J79 0620 8 to the state resulting from the first decision". J79 0630 5 This is the principle which we will invoke in every J79 0640 6 case to set up a functional equation. It appears in J79 0650 2 a form that is admirably suited to the powers of the J79 0650 13 digital computer. At the same time, every device that J79 0660 9 can be employed to reduce the number of variables is J79 0670 6 of the greatest value, and it is one of the attractive J79 0680 3 features of dynamic programming that room is left for J79 0690 1 ingenuity in using the special features of the problem J79 0690 10 to this end. J79 0700 1 #2.2 THE DISCRETE DETERMINISTIC PROCESS# J79 0700 5 Consider the process illustrated in Fig& 2.1, consisting J79 0710 5 of ~R distinct stages. These will be numbered in the J79 0720 6 direction opposite to the flow of the process stream, J79 0730 2 so that stage ~r is the ~rth stage from the end. Let J79 0740 2 the state of the stream leaving stage ~r be denoted J79 0740 12 by a vector **f and the operating variables of stage J79 0750 8 ~r by **f. Thus **f denotes the state of the feed to J79 0760 9 the ~R-stage process, and **f the state of the product J79 0770 7 from the last stage. Each stage transforms the state J79 0780 3 **f of its feed to the state **f in a way that depends J79 0780 16 on the operating variables **f. We write this **f. J79 0790 9 This transformation is uniquely determined by **f and J79 0800 7 we therefore speak of the process as deterministic. J79 0810 3 In practical situations there will be restrictions J79 0820 1 on the admissible operating conditions, and we regard J79 0820 9 the vectors as belonging to a fixed and bounded set J79 0830 7 ~S. The set of vectors **f constitutes the operating J79 0840 4 policy or, more briefly, the policy, and a policy is J79 0850 3 admissible if all the **f belong to ~S. When the policy J79 0860 1 has been chosen the state of the product can be obtained J79 0860 12 from the state of the feed by repeated application J79 0870 8 of the transformation (1); thus **f. The objective J79 0880 5 function, which is to be maximized, is some function, J79 0890 2 usually piecewise continuous, of the product state. J79 0890 9 Let this be denoted by **f. J79 0900 5 An optimal policy is an admissible policy **f which J79 0910 3 maximizes the objective function ~P. The policy may J79 0920 1 not be unique but the maximum value of ~P certainly J79 0920 11 is, and once the policy is specified this maximum can J79 0930 8 be calculated by (2) and (3) as a function of the feed J79 0940 7 state **f. Let **f where the maximization is over all J79 0950 4 admissible policies **f. When it is necessary to be J79 0950 13 specific we say that the optimal policy is an optimal J79 0960 10 ~R-stage policy with respect to the feed state **f. J79 0970 8 For any choice of admissible policy **f in the first J79 0980 6 stage, the state of the stream leaving this stage is J79 0990 4 given by **f. This is the feed state of the subsequent J79 1000 1 **f stages which, according to the principle of optimality, J79 1000 10 must use an optimal **f-stage policy with respect to J79 1010 8 this state. This will result in a value **f of the J79 1020 7 objective function, and when **f is chosen correctly J79 1030 1 this will give **f, the maximum of the objective function. J79 1030 11 Thus **f where the maximization is over all admissible J79 1040 8 policies **f, and **f is related to **f by (5). The J79 1050 8 sequence of equations (6) can be solved for **f when J79 1060 4 **f is known, and clearly **f, the maximization being J79 1070 1 over all admissible **f. J79 1070 5 The set of equations (5), (6), and the starting J79 1080 2 equation (7) is of a recursive type well suited to J79 1080 12 programming on the digital computer. In finding the J79 1090 8 optimal ~R-stage policy from that of **f stages, only J79 1100 7 the function **f is needed. When **f has been found J79 1110 5 it may be transferred into the storage location of J79 1120 1 **f and the whole calculation repeated. We also see J79 1120 10 how the results may be presented, although if ~n, the J79 1130 8 number of state variables, is large any tabulation J79 1140 5 will become cumbersome. A table or set of tables may J79 1150 2 be set out as in Table 2.1. J79 1150 9 To extract the optimal ~R-stage policy with respect J79 1160 6 to the feed state **f, we enter section ~R of this J79 1170 4 table at the state **f and find immediately from the J79 1180 3 last column the maximum value of the objective function. J79 1180 12 In the third column is given the optimal policy for J79 1190 10 stage ~R, and in the fourth, the resulting state of J79 1200 8 the stream when this policy is used. Since by the principle J79 1210 5 of optimality the remaining stages use an optimal **f-stage J79 1220 4 policy with respect to **f, we may enter section **f J79 1230 1 of the table at this state **f and read off the optimal J79 1230 13 policy for stage **f and the resulting state **f. Proceeding J79 1240 8 in this way up the table we extract the complete optimal J79 1250 6 policy and, if it is desired, we can check on **f by J79 1260 6 evaluating **f at the last stage. J79 1260 12 It may be that the objective function depends not J79 1270 7 only on **f but also on **f, as when the cost of the J79 1280 7 operating policy is considered. A moment's reflection J79 1290 2 shows that the above algorithm and presentation work J79 1290 10 equally well in this case. A form of objective function J79 1300 10 that we shall often have occasion to consider is **f. J79 1310 7 Here ~V(p) represents the value of the stream in state J79 1320 7 ~p and ~C(q) the cost of operating the stage with conditions J79 1330 7 ~q. Hence ~P is the increase in value of the stream J79 1340 9 minus the cost of operation, that is, the net profit. J79 1350 5 If **f denotes the net profit from stage ~r and **f J79 1360 3 then the principle of optimality gives **f This sequence J79 1370 1 of equations may be started with the remark that with J79 1370 11 no process **f there is no profit, i&e&, **f. J79 1380 6 #2.3 THE DISCRETE STOCHASTIC PROCESS# J79 1390 1 The process in which the outcome of any one stage is J79 1390 12 known only statistically is also of interest, although J79 1400 7 for chemical reactor design it is not as important J79 1410 6 as the deterministic process. In this case the stage J79 1420 3 ~r operating with conditions **f transforms the state J79 1430 1 of the stream from **f to **f, but only the probability J79 1430 12 distribution of **f is known. This is specified by J79 1440 8 a distribution function **f such that the probability J79 1450 4 that **f lies in some region ~D of the stage space J79 1460 2 is **f. J79 1460 4 We cannot now speak of maximizing the value of the J79 1470 3 objective function, since this function is now known J79 1470 11 only in a probabilistic sense. We can, however, maximize J79 1480 7 its expected value. For a single stage we may define J79 1490 7 **f where the maximization is by choice of **f. We J79 1500 4 thus have an optimal policy which maximizes the expected J79 1510 1 value of the objective function for a given **f. If J79 1510 11 we consider a process in which the outcome of one stage J79 1520 8 is known before passage to the next, then the principle J79 1530 5 of optimality shows that the policy in subsequent stages J79 1540 2 should be optimal with respect to the outcome of the J79 1540 12 first. Then **f, the maximization being over all admissible J79 1550 9 **f and the integration over the whole of stage space. J79 1560 7 The type of presentation of results used in the J79 1570 6 deterministic process may be used here, except that J79 1580 2 now the fourth column is redundant. The third column J79 1580 11 gives the optimal policy, but we must wait to see the J79 1590 11 outcome of stage ~R and enter the preceding section J79 1600 6 of the table at this state. The discussion of the optimal J79 1610 5 policy when the outcome of one stage is not known before J79 1620 3 passing to the next is a very much more difficult matter. J79 1630 1 #2.4 THE CONTINUOUS DETERMINISTIC PROCESS# J79 1630 6 In many cases it is not possible to divide the process J79 1640 6 into a finite number of discrete stages, since the J79 1650 3 state of the stream is transformed in a continuous J79 1650 12 manner through the process. We replace ~r, the number J79 1660 9 of the stage from the end of the process, by ~t, a J79 1670 10 continuous variable which measures the "distance" of J79 1680 5 the point considered from the end of the process. The J79 1690 3 word distance is used here in a rather general sense; J79 1700 1 it may in fact be the time that will elapse before J79 1700 12 the end of the process. If ~T is the total "length" J79 1710 8 of the process, its feed state may be denoted by a J79 1720 8 vector ~p(T) and the product state by ~p(O). ~p(t) J79 1730 5 denotes the state at any point ~t and ~q(t) the vector J79 1740 8 of operating variables there. J80 0010 1 A gyro-stabilized platform system, using restrained J80 0010 8 gyros, is well suited for automatic leveling because J80 0020 7 of the characteristics of the gyro-platform-servo combination. J80 0030 5 The restrained gyro-stabilized platform with reasonable J80 0040 3 response characteristics operates with an approximate J80 0050 1 equation of motion, neglecting transient effects, as J80 0050 8 follows: **f where ~U is a torque applied about the J80 0060 10 output axis of the controlling gyro. J80 0070 3 The platform angle ~|f is the angle about which J80 0080 2 the gyro is controlling. This is normally termed the J80 0080 11 gyro input axis, 90` away from the gyro output or ~|j J80 0090 10 axis. The gyro angular momentum is defined by ~H. J80 0100 6 Thus if the gyro and platform-controller combination J80 0110 2 maintains the platform with zero angular deviation J80 0120 2 about the ~|f axis, the system can be rotated with J80 0120 12 an angular velocity **f if a torque is supplied to J80 0130 10 the gyro output axis ~|j. It is assumed that the gyros J80 0140 7 are designed with electrical torquers so that a torque J80 0150 5 can be applied about their output axes. J80 0160 1 In the system shown in Fig& 7-1, the accelerometer J80 0160 11 output is amplified and the resulting voltage is applied J80 0170 7 to the gyro output-axis torquer. This torque causes J80 0180 4 the entire system to rotate about the ~|f axis, since J80 0190 3 the response to **f. If the polarities are correct, J80 0190 12 the platform rotates in such a direction as to reduce J80 0200 10 the accelerometer output to zero. As the accelerometer J80 0210 6 output is decreasing, the torque applied to the gyro J80 0220 4 output axis decreases and, therefore, the rate decreases. J80 0230 1 Finally, when the accelerometer output is zero, the J80 0230 9 entire system remains stationary, and the platform J80 0240 6 is, by definition, leveled. J80 0250 1 A mathematical block diagram for the leveling system J80 0250 9 is shown in Fig& 7-2. The platform is initially off J80 0260 9 level by the angle ~|f. The angle generated by the J80 0270 6 platform servo ~|f multiplied by ~g is the effective J80 0280 4 acceleration acting on the accelerometer. **f is the J80 0290 3 scale factor of the accelerometer (**f). The voltage J80 0290 11 **f is amplified by **f and applied to the gyro torquer J80 0300 9 with scale factor **f. Finally, the gyro-stabilized J80 0310 5 platform characteristic is represented by **f The system J80 0320 5 as indicated in Fig& 7-2 is fundamental and simple J80 0330 1 because the transient effects of both the platform J80 0330 9 servo and the accelerometer have been neglected. With J80 0340 6 these factors included, an upper limit is placed on J80 0350 5 the allowable loop gain by stability considerations. J80 0360 1 In this type of system, a high loop gain is desirable J80 0360 12 because it provides a fast response time. J80 0370 6 When the frequency response characteristics of practical J80 0380 3 components are considered, their effect on stability J80 0390 2 does not present the most serious limit on the system J80 0390 12 loop gain. The time required for the system to reach J80 0400 10 a level position is approximately inversely proportional J80 0410 3 to the servo loop gain. In addition, the cutoff frequency J80 0420 4 for input accelerations is approximately proportional J80 0430 1 to the servo loop gain; i&e&, high loop gain causes J80 0430 11 the system to respond to horizontal components of accelerations. J80 0440 9 This problem usually determines the lower limit of J80 0450 7 loop gain rather than response time. J80 0460 2 It must be noticed in Fig& 7-1 that the accelerometer J80 0470 1 responds to any input acceleration. The equation relating J80 0470 9 input acceleration to output platform angle is **f J80 0480 8 In practice, the preflight leveling process takes place J80 0490 5 with the system mounted in the airframe. When the system J80 0500 4 is arranged for automatic leveling, the platform angles J80 0510 2 respond to any horizontal components of acceleration J80 0510 9 acting on the accelerometers. There are many such components J80 0520 8 of acceleration present due to the effect of wind gusts, J80 0530 8 engine noise, turbulence around the vehicle, etc&. J80 0540 4 One of the greatest problems associated with automatic J80 0550 1 leveling is establishing a true level in the presence J80 0550 10 of high-level acceleration noise. One solution to the J80 0560 7 problem is to operate with a low loop gain and to include J80 0570 9 low-pass filters. This technique causes the system J80 0580 4 to respond only to low frequency acceleration components J80 0590 1 such as the platform tilt. Since a lower loop gain J80 0590 11 and low-pass filtering increases the response time, J80 0600 5 a practical compromise must be reached. J80 0610 1 One of the most desirable solutions is achieved J80 0610 9 by the use of a non-linear amplifier for **f. The amplifier J80 0620 11 is designed so that its gain is large for accelerometer J80 0630 8 signals above a certain threshold level. Below this J80 0640 4 level, the amplifier gain **f is proportional and is J80 0650 3 of small value, in order to provide adequate noise J80 0650 12 filtering. The effect is that the platform returns J80 0660 7 from an off-level position at a rapid rate until it J80 0670 6 is nearly level, at which point the platform is controlled J80 0680 2 by a proportional servo with low enough frequency response J80 0690 1 so that the noise has little effect on the leveling J80 0690 11 process. J80 0690 12 When the system is on automatic leveling, the gyro J80 0700 9 drift is canceled by the output of the leveling system J80 0710 7 (amplifier **f). The platform actually tilts off level J80 0720 4 so that the accelerometer output, when amplified by J80 0730 2 **f, will supply the correct current to the gyro torquer J80 0730 12 to cancel the gyro drift. The amount of platform dip J80 0740 9 required depends upon the scale factors of the system. J80 0750 6 #7-3. PRACTICAL LEVELING CONSIDERATIONS.# J80 0760 1 The automatic leveling system described in this section J80 0760 9 is readily adaptable to a gyro-stabilized platform J80 0770 7 consisting of three integrating gyros. The system requires J80 0780 5 some switching of flight equipment circuits. However, J80 0790 2 the leveling operation can be maintained and controlled J80 0800 1 remotely with no mechanical or optical contact with J80 0800 9 the platform. J80 0810 1 This leveling system will hold the platform on-level, J80 0810 10 automatically, as long as the system is actuated. A J80 0820 9 useful by-product of this system is that the information J80 0830 6 necessary to set the gyro drift biases is available J80 0840 3 from the currents necessary to hold the system in level. J80 0850 1 The leveling process can be accomplished manually, J80 0850 8 and the results are as satisfactory as those obtained J80 0860 7 with automatic equipment. The process consists in turning J80 0870 5 the platform manually until the outputs of both accelerometers J80 0880 4 are zero. The turning is accomplished by applying voltage J80 0890 2 to the gyro torquers described above. In brief, the J80 0890 11 human replaces amplifier **f in Figs& 7-1 and 7-2. J80 0900 11 Manual leveling requires an appropriate display J80 0910 5 of the accelerometer outputs. If high accuracy is required J80 0920 5 in preflight leveling, it is usually necessary to integrate J80 0930 3 or doubly integrate the accelerometer outputs (this J80 0930 10 also minimizes the noise problem). With integration, J80 0940 7 the effect of a small acceleration (or small platform J80 0950 5 tilt angle) can be seen after a time. However, skill J80 0960 3 is required on the part of an operator to level a platform J80 0970 2 to any degree of accuracy. Also, it requires more time J80 0970 12 as compared to the automatic approach. J80 0980 6 Manual leveling is inconvenient if the platform J80 0990 4 must be maintained accurately level for any prolonged J80 1000 1 period of time. The operator must continually supply J80 1000 9 the correct amount of turning current to the gyro torquers J80 1010 9 so that the effect of gyro drift is canceled. This J80 1020 6 process is especially difficult since gyro drifting J80 1030 2 is typically random. J80 1030 5 #7-4. PLATFORM HEADING.# J80 1030 9 Platform heading consists of orienting the sensitive J80 1040 7 axis of the accelerometers parallel to the desired J80 1050 5 coordinate system of the navigator. In simpler terms, J80 1060 2 it amounts to pointing the platform in the proper direction. J80 1070 1 For purely inertial navigators, two techniques are J80 1070 8 available to accomplish the platform heading: J80 1080 6 _1._ J80 1080 7 Use of external or surveying equipment to establish J80 1090 5 proper heading. J80 1090 7 _2._ J80 1090 8 Use of the characteristics of the platform components J80 1100 6 for an indication of true heading The choice of the J80 1110 6 heading technique is dependent upon the accuracy requirements, J80 1120 2 field conditions, and the time available to accomplish J80 1130 1 the heading. J80 1130 3 #7-5. EXTERNAL DETERMINATION OF HEADING- SURVEYING J80 1140 1 TECHNIQUE.# J80 1140 2 With the gyro-stabilized platform leveled, it can be J80 1150 1 headed in the proper direction by using surveying techniques. J80 1150 10 The platform accelerometers must be slightly modified J80 1160 6 for this procedure. Before the accelerometers are mounted J80 1170 5 on the platform, the direction of their sensitive axis J80 1180 4 must be accurately determined. A mirror is mounted J80 1190 1 on each accelerometer so that the plane of the mirror J80 1190 11 is perpendicular to the sensitive axis of the unit. J80 1200 8 _TRANSIT._ J80 1200 9 A precision transit is set up so that it is aligned J80 1210 9 with respect to true north. This can be done to a high J80 1220 7 degree of accuracy by existing surveying techniques. J80 1230 1 With the transit set up, a mirror on one of the accelerometers J80 1240 1 is sighted and the platform is turned until it is aligned. J80 1240 12 The sighting procedure includes the use of a fixture J80 1250 9 for the transit to project a beam of light, which is J80 1260 8 darkened by crossed hairs, on the accelerometer mirror. J80 1270 2 When the platform is aligned, the reflected image of J80 1280 2 the crossed hairs can be seen exactly superimposed J80 1280 10 upon the original crossed hairs. The images can easily J80 1290 7 be aligned with a high degree of accuracy. The platform J80 1300 5 is turned as required by supplying currents to the J80 1310 3 appropriate gyro torquers. J80 1310 6 Although this technique is simple and satisfactory, J80 1320 4 one practical difficulty does exist: the direction J80 1330 1 of true north must be known for each launch point. J80 1330 11 However, this difficulty is not too serious if it is J80 1340 10 realized that a surveying team can establish a true J80 1350 6 north base line with a few days' work. J80 1360 1 In many installations, the inertial platform is J80 1360 8 raised off the ground a considerable height when it J80 1370 6 is mounted in the vehicle before flight. With this J80 1380 3 situation, it is difficult to sight in on the platform J80 1380 13 with surveying equipment. If the platform is not too J80 1400 7 high off the ground, a transit can be mounted on a J80 1410 8 stand to raise it up to the platform. Obviously, the J80 1420 3 heading accuracy is lessened by such techniques since J80 1430 1 errors are introduced because of motion of the stand. J80 1440 1 _AUTOCOLLIMATOR._ J80 1440 1 The transit can be replaced by an autocollimator. J80 1440 9 This instrument provides an electrical signal proportional J80 1450 6 to the angular deviations of the platform and can be J80 1460 7 used to automatically hold the platform on true heading. J80 1470 4 The electrical signal from the autocollimator is amplified J80 1480 1 and supplied to the ~Z-gyro torquer. If the polarity J80 1480 11 is correct, the platform will turn until the heading J80 1490 9 error angle is zero. Information is also available J80 1500 5 from this autocollimator system to set the drift bias J80 1510 4 for the ~Z-axis gyro. If the ~Z gyro is drifting, a J80 1520 4 current generated by the autocollimator is delivered J80 1520 11 to the gyro torquer to cancel the drift. If the drift J80 1530 11 error is systematic, it can be canceled with a bias J80 1540 8 circuit which can be arranged and adjusted to supply J80 1550 3 the required compensating current. J80 1560 1 _ELECTRICAL PICKOFFS._ J80 1560 1 It is possible to locate an angular electrical pickoff, J80 1560 10 which will indicate the angular deviation between the J80 1570 8 true heading direction and the platform. Essentially, J80 1580 5 the stator or reference portion of the pickoff is established J80 1590 5 with respect to the true heading direction, and the J80 1600 3 platform is turned either manually or automatically J80 1600 10 until the angular electrical pickoff signal is reduced J80 1610 7 to zero. J80 1610 9 #7-6. GYROCOMPASS HEADING.# J80 1620 2 Gyrocompass alignment is an automatic heading system J80 1630 1 which depends upon the characteristic of one gyro to J80 1630 10 establish true heading. For the case of a purely inertial J80 1640 9 autonavigator consisting of three restrained gyros, J80 1650 4 a coordinate system is used where the sensitive axis J80 1660 2 of the ~X accelerometer is parallel to the east-west J80 1660 12 direction at the base point, and the ~Y accelerometer J80 1670 9 sensitive axis is parallel to the north-south direction J80 1680 9 at the base point. The accelerometers are mounted rigidly J80 1690 5 on the platform. Thus, if one accelerometer is properly J80 1700 3 aligned, the other is also. The input axis of the appropriate J80 1710 2 gyros are parallel to the sensitive direction of the J80 1710 11 accelerometers. J80 1720 1 Figure 7-3 shows a platform system with the gyro J80 1730 1 vectors arranged as described above. The platform is J80 1730 9 leveled and properly headed, so that the ~X-gyro input J80 1740 8 axis is parallel to the east-west direction and the J80 1750 6 ~Y-gyro input axis is parallel to the north-south direction. J80 1760 5 The input axis of the ~X gyro, when pointing in J80 1770 4 the east-west direction, is always perpendicular to J80 1780 1 the spin axis of earth. If the platform is not properly J80 1780 12 headed, the ~X-gyro input axis will see a component J80 1790 9 of the earth's rotation. The sensing of this rotation J80 1800 6 by the ~X gyro can be utilized to direct the platform J80 1810 5 into proper heading. J80 1810 8 In Fig& 7-4, the input axis of the three-axis platform J80 1820 9 is shown at some point on the earth. The point is at J80 1830 6 a latitude ~|l, and the platform is at an error in J80 1840 4 heading east. The earth is spinning at an angular velocity J80 1850 1 ~\q equal to one revolution per 24 hr&. When the platform J80 1850 12 is level, ~|e is a rotation about the ~Z axis of the J80 1860 12 platform **f. Since the earth is rotating and the unleveled J80 1870 10 gyro-stabilized platform is fixed with respect to a J80 1880 7 reference in space, an observer on the earth will see J80 1890 5 the platform rotating (with respect to the earth).